04 NCAC | Title 04 NCAC — Commerce

Chapter 01 Departmental Rules

Subchapter A

04 NCAC 01A .0101 Name and Address {#sec-04-ncac-01a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0101}

History

Status: expired
Authority G.S. 143A-171; 150B-10
Eff. February 1, 1976
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01A .0102 General Purposes {#sec-04-ncac-01a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0102}

History

Status: repealed
Authority G.S. 143A-6(b),(c); 143A-8; 143A-171; 143A-172; 150B-10
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0201 General Structure {#sec-04-ncac-01a-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0201}

History

Status: repealed
Authority G.S. 113A-153; 143A-6(c); 143A-9; 143A-172; 150B-10
Eff. February 1, 1976
Amended Eff. July 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0202 Policy Setting Division {#sec-04-ncac-01a-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0202}

History

Status: repealed
Authority G.S. 113A-153; 143A-6(c); 143A-9; 143A-172; 150B-10
Eff. February 1, 1976
Amended Eff. July 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0203 Personnel Division {#sec-04-ncac-01a-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0203}

History

Status: repealed
Authority G.S. 113A-153; 143A-6(c); 143A-9; 143A-172; 150B-10
Eff. February 1, 1976
Amended Eff. July 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0204 Budget Division {#sec-04-ncac-01a-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0204}

History

Status: repealed
Authority G.S. 113A-153; 143A-6(c); 143A-9; 143A-172; 150B-10
Eff. February 1, 1976
Amended Eff. July 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0301 Alcoholic Control Board {#sec-04-ncac-01a-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0301}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0302 Banking Commission: Commissioner of Banks {#sec-04-ncac-01a-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0302}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0303 Burial Commission {#sec-04-ncac-01a-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0303}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0304 Cemetery Commission {#sec-04-ncac-01a-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0304}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0305 Credit Union Commission: Credit Union Division {#sec-04-ncac-01a-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0305}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0306 Employment Security Commission {#sec-04-ncac-01a-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0306}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0307 Industrial Commission {#sec-04-ncac-01a-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0307}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0308 Milk Commission {#sec-04-ncac-01a-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0308}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0309 Rural Electrification Authority {#sec-04-ncac-01a-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0309}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0310 Savings and Loan Commission: Savings and Loan Division {#sec-04-ncac-01a-.0310 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0310}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01A .0311 Utilities Commission {#sec-04-ncac-01a-.0311 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01A .0311}

History

Status: repealed
Authority G.S. 18A-1; 18A-10; 18A-15; 36-61; 53-92; 53-104; 53-168; 53-194
54-24; 54-29; 54-44.3; 54-109.10; 54-109.11; 58-241.6; 62-2; 62-10; 62-12; 65-36.2; 65-53
65-57; 65-58; 96-3; 96-4; 97-77; 97-80; 106-266.7; 106-266.8; 117-1; 117-2
143A-173 through 143A-182; 143A-184; 143A-185
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

Subchapter B

04 NCAC 01B .0101 Petitions {#sec-04-ncac-01b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0101}

(a) Any person wishing to submit a petition requesting the adoption, amendment or repeal of a rule by the Secretary's Office of the Department of Commerce shall address a petition to:

4301 Mail Service Center

Raleigh, North Carolina 27699-4301.

(b) The petition should contain the following information:

(1) an indication of the subject area to which the petition is directed;

(2) either a draft of the proposed rule or a summary of its contents;

(3) reasons for proposal;

(4) effect of existing rules or orders;

(5) any data supporting the proposal;

(6) effect of the proposed rule on existing practices in the area involved, including cost factors;

(7) names of those most likely to be affected by the proposed rule, with addresses if reasonably known;

(8) name(s) and address(es) of petitioner(s).

History

Authority G.S. 150B-16
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
Amended Eff. January 1, 2020.

04 NCAC 01B .0102 Disposition of Petitions {#sec-04-ncac-01b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0102}

(a) The secretary will determine, based on a study of the facts stated in the petition whether the public interest will be served by granting it. Prior to making this determination, he may request additional information from the petitioner(s); he may contact interested person(s) likely to be affected by the proposed rule and request comments; he may use any other appropriate method for obtaining information on which to base his determination. He will consider all the contents of the submitted petition, plus any additional information he deems relevant.

(b) Within 30 days of submission of the petition, the secretary will render a final decision. If the decision is to deny the petition, the secretary will notify the petitioner in writing, stating the reasons therefor. If the decision is to grant the petition, within 30 days of submission and the final decision, the secretary will initiate a rule-making hearing by issuing a rule-making notice as provided in these rules.

History

Authority G.S. 150B-16
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01B .0103 Notice {#sec-04-ncac-01b-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0103}

(a) Upon a determination to hold a rule-making hearing, either in response to a petition or otherwise, the Secretary will give at least 10 days notice to all interested parties of a public hearing on the proposed rule.

(b) Any person or agency desiring to be placed on the mailing list for the Department of Commerce secretary's office rule-making notices may file such request in writing, furnishing his name and mailing address to:

4301 Mail Service Center

Raleigh, North Carolina 27699-4301.

The request must state the subject areas within the authority of the secretary's office for which the notice is requested. The secretary may require reasonable postage and stationery costs to be paid by persons receiving such notices.

(c) In addition to notices sent to persons requesting them, public notice of rule-making hearings will usually be by publication in three newspapers of general circulation in different parts of the state.

History

Authority G.S. 150B-12
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
Amended Eff. January 1, 2020.

04 NCAC 01B .0104 Hearings: Location of {#sec-04-ncac-01b-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0104}

Unless otherwise stated in a particular rule-making notice, hearings before the Secretary of the Department of Commerce will be held at the secretary's office, in Raleigh, North Carolina.

History

Authority G.S. 150B-12
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01B .0105 Request to Participate {#sec-04-ncac-01b-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0105}

(a) Any person desiring to present oral data, views, or arguments on the proposed rule must, at least five days before the hearing, file a notice with:

4301 Mail Service Center

Raleigh, North Carolina 27699-4301.

Notice of this presentation may be waived or a failure to give the notice may be excused by the secretary for good reason. Any person permitted to make an oral presentation is encouraged to submit a written copy of the presentation prior to or at the meeting.

(b) A request to make an oral presentation must contain a brief summary of the individual's views with respect thereto, and a statement of the length of time the individual intends to speak. Presentations may not exceed 10 minutes unless, upon request, either before or at the hearing, the secretary grants an extension of time, for good reason.

(c) Upon receipt of the request to make an oral presentation the secretary will acknowledge receipt of the request, and inform the person requesting of the imposition of any limitations deemed necessary to the end of a full and effective public hearing on the proposed rule.

History

Authority G.S. 150B-12
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
Amended Eff. January 1, 2020.

04 NCAC 01B .0106 Written Submissions {#sec-04-ncac-01b-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0106}

Any person may file a written submission containing data, comments or arguments, after publication of a rule-making notice up to, and including, the day of the hearing unless a longer period is stated in the particular notice or an extension of time is granted for good reason following notice. Written submissions, except when otherwise stated, must be sent to:

4301 Mail Service Center

Raleigh, North Carolina 27699-4301.

Such submissions must clearly state the rule(s) or proposed rule(s) to which the comments are addressed. Upon receipt of such written comments prompt acknowledgement will be made.

History

Authority G.S. 150B-12
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
Amended Eff. January 1, 2020.

04 NCAC 01B .0107 Presiding Officer: Powers and Duties {#sec-04-ncac-01b-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0107}

The presiding officer at the hearing shall have complete control of the proceedings, including: extensions of any time requirements, recognition of speakers, time allotments for presentations, direction of the flow of the discussion and management of the hearing. The presiding officer at all times shall ensure that each person participating in the hearing is given a fair opportunity to present views, data and comments.

History

Authority G.S. 150B-12
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01B .0108 Statement of Reasons for Decision {#sec-04-ncac-01b-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0108}

Any interested person desiring a concise statement of the principal reasons for and against the adoption of the rule by the secretary's office and the factors that led to overruling the considerations urged against its adoption, may submit a request addressed to:

Mail Service Center

Raleigh, North Carolina 27699-4301.

Such request must be submitted in writing prior to the adoption of the rule or within 30 days thereafter.

History

Authority G.S. 150B-12
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
Amended Eff. January 1, 2020.

04 NCAC 01B .0109 Record of Proceedings {#sec-04-ncac-01b-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0109}

History

Status: repealed
Authority G.S. 150B-12
Eff. February 1, 1976
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 01B .0110 Temporary Rules {#sec-04-ncac-01b-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0110}

History

Status: repealed
Authority G.S. 150B-13
Eff. February 1, 1976
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 01B .0201 Request for a Declaratory Ruling {#sec-04-ncac-01b-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0201}

(a) Any person substantially affected by a statute administered or rule promulgated by the secretary's office of the Department of Commerce may request a declaratory ruling as to:

(1) whether, and if so how, the statute or rule applies to a given factual situation; or

(2) whether a particular agency rule is valid.

(b) The secretary has the power to make such declaratory rulings. All requests for declaratory rulings shall be submitted in writing to:

4301 Mail Service Center

Raleigh, North Carolina 27699-4301.

(1) name and address of petitioner;

(2) statute or rule to which petition relates;

(3) concise statement of the manner in which petitioner is aggrieved by the rule or statute or its potential application to him; and

(4) a statement of whether an oral hearing is desired, and, if so, the reasons for such an oral hearing.

History

Authority G.S. 150B-17
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
Amended Eff. January 1, 2020.

04 NCAC 01B .0202 Disposition of Requests {#sec-04-ncac-01b-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0202}

(a) Whenever the secretary believes for good reason that the issuance of a declaratory ruling is undesirable, he may refuse to do so. When good reason for refusing to issue a declaratory ruling is deemed to exist, the secretary will notify the petitioner of this decision in writing, stating reasons for the denial of a declaratory ruling.

(b) For purposes of Paragraph (a) of this Rule, the secretary will ordinarily refuse to issue a declaratory ruling:

(1) unless the petitioner shows that the circumstances are so changed since the adoption of the rule that such a ruling would be warranted;

(2) unless the petitioner shows that the agency did not give a full consideration to the factors specified in the request for a declaratory ruling at the time the rule was issued;

(3) where there has been a similar controlling factual determination in a contested case, or where the factual context being raised for a declaratory ruling was specifically considered upon the adoption of the rule or directive being questioned, as evidenced by the rule-making record; or

(4) where the subject matter of the request is involved in pending litigation in any state or federal court in North Carolina.

(c) Where a declaratory ruling is deemed appropriate, the secretary will issue a ruling within 60 days of receipt of the petition.

(d) A declaratory ruling procedure may consist of written submissions, oral hearings, or such other procedures as may be appropriate in a particular case.

History

Authority G.S. 150B-17
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01B .0203 Record of Decision {#sec-04-ncac-01b-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0203}

A record of all declaratory ruling proceedings will be maintained in the secretary's office for as long as the ruling is in effect and for one year thereafter. This record will contain: the petition, the notice, all written submissions filed in the request, whether filed by the petitioner or any other person, and a record or summary of oral presentations, if any. Records of ruling proceedings will be available for public inspection during the regular office hours of the Department of Commerce.

History

Authority G.S. 150B-12
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01B .0204 Definition {#sec-04-ncac-01b-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01B .0204}

For purposes of Rule .0203 of this Section, a declaratory ruling shall be deemed to be "in effect": until the statute or rule interpreted by the declaratory ruling is amended, altered or repealed; until the Department of Commerce changes the declaratory ruling prospectively for good reasons; or until any court sets aside the ruling in litigation between the Department of Commerce and the party requesting the rule; or until any court of the Appellate Division of the General Court of Justice shall construe the statute or rule which is the subject of the declaratory ruling in a manner plainly irreconcilable with the declaratory ruling.

History

Authority G.S. 150B-12; 150B-17
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Subchapter C

04 NCAC 01C .0101 Policy Statement {#sec-04-ncac-01c-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0101}

(a) The policy of this department is to provide equal employment opportunities to all applicants for state employment and to provide training, compensation, promotion, and all other attributes of employment to current employees without regard to race, religion, national origin, sex, age or physical handicap, except where sex, age or physical requirements are essential, documented, occupational qualifications.

(b) This department's commitment to equal career opportunity requires a continuing program of affirmative action in order to assure that all personnel policies and practices relevant to total employment will guarantee equal opportunities for all persons of the state. Through planning and instruction, positive steps will be taken to implement an affirmative action program designed to meet the needs of each agency.

History

Authority G.S. 126-16; 143A-6
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01C .0102 Departmental Organization for Implementation {#sec-04-ncac-01c-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0102}

History

Status: repealed
Authority G.S. 126-4; 126-16; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0103 Recruitment {#sec-04-ncac-01c-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0103}

History

Status: repealed
Authority G.S. 126-4; 126-16; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0104 Hiring {#sec-04-ncac-01c-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0104}

History

Status: repealed
Authority G.S. 126-4; 126-16; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0105 Modifications to the Affirmative Action Policy {#sec-04-ncac-01c-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0105}

History

Status: repealed
Authority G.S. 126-4; 126-16; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0106 Utilization of Skills of Present Employees {#sec-04-ncac-01c-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0106}

History

Status: repealed
Authority G.S. 126-4; 126-16; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0107 Performance Evaluation and Response {#sec-04-ncac-01c-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0107}

History

Status: repealed
Authority G.S. 126-4; 126-16; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0201 General Policies {#sec-04-ncac-01c-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0201}

History

Status: expired
Authority G.S. 126-34; 126-37; 143A-6
Eff. February 1, 1976
Amended Eff. July 1, 1976
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01C .0202 Discussion with Immediate Supervisor {#sec-04-ncac-01c-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0202}

History

Status: expired
Authority G.S. 126-34; 126-37; 143A-6
Eff. February 1, 1976
Amended Eff. July 1, 1976
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01C .0203 Consideration by Agency Head {#sec-04-ncac-01c-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0203}

History

Status: expired
Authority G.S. 126-34; 126-37; 143A-6
Eff. February 1, 1976
Amended Eff. July 1, 1976
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01C .0204 Agency Grievance Committee {#sec-04-ncac-01c-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0204}

History

Status: expired
Authority G.S. 126-34; 126-37; 143A-6
Eff. February 1, 1976
Amended Eff. July 1, 1976
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01C .0205 Departmental Grievance Committee {#sec-04-ncac-01c-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0205}

History

Status: expired
Authority G.S. 126-34; 126-37; 143A-6
Eff. February 1, 1976
Amended Eff. July 1, 1976
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01C .0206 Appeal to State Personnel Commission {#sec-04-ncac-01c-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0206}

History

Status: expired
Authority G.S. 126-34; 126-37; 143A-6
Eff. February 1, 1976
Amended Eff. July 1, 1976
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01C .0207 Direct Appeal to State Personnel Commission {#sec-04-ncac-01c-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0207}

History

Status: expired
Authority G.S. 126-34; 126-37; 143A-6
Eff. February 1, 1976
Amended Eff. July 1, 1976
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01C .0301 Purpose {#sec-04-ncac-01c-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0301}

History

Status: repealed
Authority G.S. 126-4; 126-6; 126-7; 126-8; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0302 Time and Location {#sec-04-ncac-01c-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0302}

History

Status: repealed
Authority G.S. 126-4; 126-6; 126-7; 126-8; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0303 Content {#sec-04-ncac-01c-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0303}

History

Status: repealed
Authority G.S. 126-4; 126-6; 126-7; 126-8; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0401 Payrolls {#sec-04-ncac-01c-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0401}

History

Status: repealed
Authority G.S. 126-4; 143A-6; 147-9.4
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0402 Optional Payroll Deductions {#sec-04-ncac-01c-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0402}

History

Status: repealed
Authority G.S. 126-4; 143A-6; 147-9.4
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0501 Hospitalization Insurance {#sec-04-ncac-01c-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0501}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0502 Private Insurance Programs {#sec-04-ncac-01c-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0502}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0601 Agency Allocation of Parking Spaces {#sec-04-ncac-01c-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0601}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0602 Payroll Deduction {#sec-04-ncac-01c-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0602}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0701 General Information {#sec-04-ncac-01c-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0701}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0702 Programs Available {#sec-04-ncac-01c-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0702}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0801 Education Leave {#sec-04-ncac-01c-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0801}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0802 Tuition Refund {#sec-04-ncac-01c-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0802}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0901 Exempt and Nonexempt Positions {#sec-04-ncac-01c-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0901}

History

Status: repealed
Authority G.S. 143A-6; 29 U.S.C., s. 207(1966); 29 U.S.C., s. 211(1949)
29 U.S.C., s. 213(1974)
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0902 Employee Time Record {#sec-04-ncac-01c-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0902}

History

Status: repealed
Authority G.S. 143A-6; 29 U.S.C., s. 207(1966); 29 U.S.C., s. 211(1949)
29 U.S.C., s. 213(1974)
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0903 Overtime Worked {#sec-04-ncac-01c-.0903 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0903}

History

Status: repealed
Authority G.S. 143A-6; 29 U.S.C., s. 207(1966); 29 U.S.C., s. 211(1949)
29 U.S.C., s. 213(1974)
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .0904 Authorization of Overtime Work {#sec-04-ncac-01c-.0904 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .0904}

History

Status: repealed
Authority G.S. 143A-6; 29 U.S.C., s. 207(1966); 29 U.S.C., s. 211(1949)
29 U.S.C., s. 213(1974)
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .1001 Request for Reclassification {#sec-04-ncac-01c-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .1001}

History

Status: repealed
Authority G.S. 126-4; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .1002 Requisite Conditions {#sec-04-ncac-01c-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .1002}

History

Status: repealed
Authority G.S. 126-4; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .1003 Procedure {#sec-04-ncac-01c-.1003 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .1003}

History

Status: repealed
Authority G.S. 126-4; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .1004 Decision {#sec-04-ncac-01c-.1004 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .1004}

History

Status: repealed
Authority G.S. 126-4; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .1101 Annual Leave {#sec-04-ncac-01c-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .1101}

History

Status: repealed
Authority G.S. 126-4; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01C .1102 Sick Leave {#sec-04-ncac-01c-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01C .1102}

History

Status: repealed
Authority G.S. 126-4; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

Subchapter D

04 NCAC 01D .0101 Items Not Under State Contract {#sec-04-ncac-01d-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0101}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0102 Resource Materials {#sec-04-ncac-01d-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0102}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0103 Contact with Vendors {#sec-04-ncac-01d-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0103}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0104 Surplus Property {#sec-04-ncac-01d-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0104}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0201 Purchases of Printed Materials {#sec-04-ncac-01d-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0201}

History

Status: repealed
Authority G.S. 143-56; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0202 Purchases of Less Than Ten Dollars {#sec-04-ncac-01d-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0202}

History

Status: repealed
Authority G.S. 143-56; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0301 Submission of Expense Forms {#sec-04-ncac-01d-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0301}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0302 Forms {#sec-04-ncac-01d-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0302}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0401 Definition {#sec-04-ncac-01d-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0401}

History

Status: repealed
Authority G.S. 97-40.1; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0402 Disbursements {#sec-04-ncac-01d-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0402}

History

Status: repealed
Authority G.S. 97-40.1; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0403 Depletion of Fund {#sec-04-ncac-01d-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0403}

History

Status: repealed
Authority G.S. 97-40.1; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0501 Requests for Forms and Acts {#sec-04-ncac-01d-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0501}

History

Status: repealed
Authority G.S. 97-81; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0502 Quantities and Prices {#sec-04-ncac-01d-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0502}

History

Status: repealed
Authority G.S. 97-81; 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0601 Records {#sec-04-ncac-01d-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0601}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01D .0602 Preparation of Leases {#sec-04-ncac-01d-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01D .0602}

History

Status: repealed
Authority G.S. 143A-6
Eff. February 1, 1976
Repealed Eff. March 1, 1985.

Subchapter E

04 NCAC 01E .0101 Purpose of Subchapter {#sec-04-ncac-01e-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0101}

The purpose of this Subchapter is to set out the procedures and criteria by and under which the Secretary of the Department of Commerce shall make the findings under his project approval responsibility as spelled out in North Carolina General Statutes Section 159C-7.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Amended Eff. June 7, 1977
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0102 Industrial Project {#sec-04-ncac-01e-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0102}

History

Status: repealed
Authority G.S. 159C-7; 159C-3
Eff. August 2, 1976
Amended Eff. March 1, 1983; February 11, 1980
Repealed Eff. March 1, 1985.

04 NCAC 01E .0103 Pollution Control Project {#sec-04-ncac-01e-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0103}

History

Status: repealed
Authority G.S. 159C-7; 159C-3
Eff. August 2, 1976
Amended Eff. March 1, 1983; February 11, 1980
Repealed Eff. March 1, 1985.

04 NCAC 01E .0104 Operator {#sec-04-ncac-01e-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0104}

(a) An "operator" shall mean the persons or corporate entity entitled to the use or occupancy of a project. Where all or virtually all of the stock in one corporate entity is owned (either directly or indirectly) by another corporation (i.e., a relationship commonly known as a "parent--wholly-owned subsidiary") and where final management control rests with the parent, "operator" shall be construed so as to include the total corporate responsibility implied by such a relationship. Such presumption may be rebutted where the department finds clear and convincing evidence of the independence of the subsidiary from the parent.

(b) If the initial proposed operator of a project is not expected to be the operator for the term of the bonds proposed to be issued, the Secretary may make the findings required pursuant to Rules .0303 and .0307 of this Subchapter only with respect to the initial operator identified in the application for approval of the project. When the current operator discontinues serving as operator, and arrangements have been made by the obligor for a new operator, the new operator shall be subject to the approval of the Secretary pursuant to Rules .0303 and .0307 of this Subchapter.

(c) If an operator subsequently seeks to sell, to lease, or to sublease the project to a non-affiliated person(s) or entity, the operator must give written notice to the Department of Commerce including information prescribed by the secretary. This information shall include details of the proposed transaction, as well as name, address, NAICS code, and financial status of the non-affiliated person(s) or entity.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Amended Eff. August 1, 2000; March 1, 1983; November 21, 1978; June 7, 1977
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0105 Obligor {#sec-04-ncac-01e-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0105}

History

Status: repealed
Authority G.S. 159C-3(7); 159C-7
Eff. August 2, 1976
Repealed Eff. March 1, 1985.

04 NCAC 01E .0106 Department {#sec-04-ncac-01e-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0106}

The term "department" shall mean the Department of Commerce.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Amended Eff. June 7, 1977
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0107 Secretary {#sec-04-ncac-01e-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0107}

The term "secretary" shall mean the Secretary of the Department of Commerce, or his appointed designee.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Amended Eff. June 7, 1977
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0108 Authority {#sec-04-ncac-01e-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0108}

The term "authority" shall mean an authority created pursuant to North Carolina General Statutes Section 159C-4.

History

Authority G.S. 159C-4
Eff. August 2, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0201 Generally {#sec-04-ncac-01e-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0201}

This Section provides the application procedures which shall be followed, including data and information submissions, before the secretary will make his final decision relative to project approval.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0202 Pre-Application Conference {#sec-04-ncac-01e-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0202}

(a) Authorities may advise the Department when the authority enters serious consideration of financing a project. The department shall assist the authority, as requested, within the limits of available resources. Information, liaison and coordination shall be effected by the Department through the Commerce Finance Center. Available services include:

(1) provision of forms and documents relating to the application process with informative comments;

(2) comment on the type of projects consummated by other authorities;

(3) examination of and comment on assembled facts and data which might be used in the preparation of application;

(4) analysis of likely or potential procedural or environmental problems.

(b) At least one week prior to submission to the Department of a project application, the authority shall arrange for a pre-application conference with the Department. Parties present at the pre-application conference will include representatives from the authority, the Department, the operator, the obligor, if other than the operator, the Local Government Commission, and the Department of Environment and Natural Resources or its successor agency.

(d) The operator shall offer verbal, and if available, written project descriptions. The operator will be encouraged to provide data relative to the character and volume of process wastes, water and air discharges of pollutants, as well as any comment already received from the Division of Environmental Management.

(e) Another purpose of this conference will be to reach an understanding among all parties that the project is of the type that may be considered for approval by the secretary.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Amended Eff. April 1, 1999; March 1, 1983; February 11, 1980; November 21, 1978; June 7, 1977
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0203 Approval in Principle {#sec-04-ncac-01e-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0203}

No application for approval of the project will be officially received until the elected board of commissioners in the county from which the application is to be made, has, by resolution, approved in principle the proposed project and the issuance of bonds to finance or partially finance that project. That resolution will not be considered by the elected board of county commissioners until the public hearing required in Rule .0204 of this Subchapter has been completed. If the elected board of county commissioners delegates to the authority the responsibility for holding the public hearing and if that public hearing is not attended by a quorum of the elected board of county commissioners, the summary of the public hearing required in Rule .0204(d) of this Subchapter will be presented to the elected board of county commissioners prior to their consideration of the resolution. A certified copy of such resolution will be provided to the department as an addendum to the authority application.

History

Authority G.S. 159C-7; 159C-8
Eff. August 2, 1976
Temporary Amendment Eff. January 7, 1983 for a Period of 120 Days to Expire on May 7, 1983
Amended Eff. March 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0204 Public Hearing {#sec-04-ncac-01e-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0204}

(a) No application will be officially received until either the elected board of county commissioners or the authority, if so designated by the elected board, has held a public hearing on the advisability of the proposed project and the issuance of the bonds to finance or partially finance the project. The public hearing will take place after the completion of the preapplication conference required in Rule .0202 of this Subchapter. The department will be notified of the public hearing at least three working days in advance of the hearing. That notice will specify the date, place and time of the hearing.

(b) The public notice of the public hearing must be given by the elected board or the authority by publication at least fourteen days prior to the public hearing in one or more newspapers of general circulation in the county. In addition to the place, date and time of the public hearing, the notice of the public hearing will indicate the date on which the authority entered into the inducement agreement with the proposed operator, the type of facility, its location, an estimate of the number of employees' jobs saved or added (except for pollution control projects for public utilities), the approximate cost of the project, the maximum principal amount of the bonds proposed to be issued by the authority, and the intention of the authority to submit to the department an application for approval of the project. The public notice of the public hearing shall also indicate that persons wishing to make written comment about the proposed project and the related bond issue may do so to the authority, to the elected board of county commissioners and to the Secretary of the Department of Commerce, or his designee, within fourteen days of the date of the publication thereof. Certification of the notice of the public hearing will be provided to the department as an addendum to the authority application.

(c) The applicant should be prepared at the public hearing to discuss the details concerning the proposed project and bond issue, including the following:

(1) the site location;

(2) the building specifications;

(3) the type of operations to be conducted at the project;

(4) pertinent environmental questions;

(5) employment and wage projections, including whether the operator will meet or seek waiver of the wage test in Rule .0303 of this Chapter;

(6) the size of the proposed bond issue; and

(7) a description of plans for sale of the bonds.

(d) A summary of oral comment made at the public hearing, including a list of the names and addresses of those who spoke at the hearing, and a copy of any written comment received, will be prepared and made a part of the authority application.

History

Authority G.S. 159C-7; 159C-8
Eff. August 2, 1976
Amended Eff. June 7, 1977
Temporary Amendment Eff. January 7, 1983 for a Period of 120 Days to Expire on May 7, 1983
Amended Eff. March 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0205 Formal Application Procedures: Required Data: Information {#sec-04-ncac-01e-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0205}

(a) When making application for an approval of an industrial project for a prospective industry or for an existing industry, a pollution control project for a prospective industry or for an existing industry, or a pollution control project for a utility, the authority shall complete the pertinent application form developed by the secretary and made available by the Commerce Finance Center in the Department of Commerce.

(b) Any application which has factual data which is incomplete shall be returned to the authority with reasons for the return being stated in writing. Missing or deficient information shall be noted. Once the requested information is provided, the application will be accepted as officially received and processing shall begin.

History

Authority G.S. 159C-7; 159C-8
Eff. August 2, 1976
Amended Eff. April 1, 1999; November 21, 1978; June 7, 1977
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0206 Formal Application Procedures: Public Hearing {#sec-04-ncac-01e-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0206}

(a) Where the project has caused significant adverse public reaction as determined from the responses to the public notice or the public hearing held by the elected board of county commissioners, or the authority, or where the facts are unclear and do not support clear finding, the secretary may hold a public hearing on the proposed project for the purpose of obtaining the views of the community to be affected. The community is hereby defined as the county in which the project is to be located.

(b) Public notice shall be given - least seven days prior to the hearing. The notice shall specify the date, time, place and subject matter of the hearing.

(c) A complete transcript of the hearing shall be prepared by the secretary. The secretary shall provide to the Secretary of the Department of Environment and Natural Resources a copy of the transcript.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Amended Eff. February 11, 1980; June 7, 1977
Temporary Amendment Eff. January 7, 1983 for a period of 120 days to expire on May 7, 1983
Amended Eff. April 1, 1999; March 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0207 Project Certification from Denr: or Its Successor Agency {#sec-04-ncac-01e-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0207}

(a) Prior to giving final consideration to the authority application, the secretary shall inform the Secretary of the Department of Environment and Natural Resources, or its successor agency, that the particular application is pending, shall furnish him with a copy of the authority application, and shall make a request that the Department of Environment and Natural Resources, or its successor agency, issue a certification, under G.S. 159C-7(3) that in the case of a proposed industrial project, the proposed project shall not have a materially adverse effect on the environment and that, in the case of the proposed pollution control project, the proposed project shall have a materially favorable impact on the environment or shall prevent or diminish materially the impact of pollution which could otherwise occur.

(b) Prior to making any of the findings required in 159C-7(1)(b) and (2), the Secretary of the Department of Commerce shall have received the project certification requested from the Department of Environment and Natural Resources, or its successor agency.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Amended Eff. April 1, 1999; February 11, 1980; June 7, 1977
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0208 Formal Application Procedures: Approval {#sec-04-ncac-01e-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0208}

(a) Where the secretary makes all the findings necessary, including discretionary approval where the operator of an industrial project does not pay an above average manufacturing wage or where there is an abandonment of an existing facility, he will do so in writing to the authority at the earliest possible date after following the procedures set forth in (b) of this Rule.

(b) The secretary will prepare a certificate of approval in which all his findings are set forth and cause this certificate to be published in a newspaper of general circulation within the county. If no appeal is taken within a 30-day period from date of notice or after the successful expiration of any appeal process, the secretary will forward the certificate of approval to the authority.

History

Authority G.S. 159C-7; 159C-8
Eff. August 2, 1976
Amended Eff. March 1, 1983; June 7, 1977
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0209 Formal Application Procedures: Denial {#sec-04-ncac-01e-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0209}

(a) Where there is significant unresolved public controversy or where the secretary is unable to make one or more required findings, the secretary will so indicate in writing and with specificity the reasons for denial.

(b) The secretary in his letter shall indicate that the authority is invited to prepare a presentation, either written or oral which speaks factually to the unresolved issues. The secretary or his designee will be present at the meeting to hear and discuss the issues with the authority. It will be the responsibility of the authority to persuade the secretary that he should make all the necessary findings.

(c) Where the authority does accomplish its responsibility to persuade the secretary, further procedures shall be as in .0208 of this Section.

(d) Where the authority does not accomplish its responsibility to persuade the secretary, the secretary shall notify the authority of his decision in writing specifying the reasons for denial.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Amended Eff. June 7, 1977
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0210 Reimbursement of Extraordinary Expense {#sec-04-ncac-01e-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0210}

Where the department finds it necessary to incur "extraordinary" expense pertinent to consideration of/or the approval of an authority application, the department will expect to be reimbursed for those expenses by the authority or its proposed lessee. The expenditure will not be made or committed except as agreed to by the authority. Such expenditures will be confined to those costs to be incurred relative to a particular application, such as the "out-of-pocket" costs relative to "out-of-state" trips made by the secretary, or his designee, or the cost of advertising the certificate of approval.

History

Authority G.S. 159C-7
Eff. June 7, 1977
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0301 General {#sec-04-ncac-01e-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0301}

In order for the secretary to approve a project he must make certain findings as specified in G.S. 159C-7(1) or (2) and (3). It is the purpose of this Section to specify the standards and criteria the secretary will use in making his findings.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0302 Jurisdictional Findings {#sec-04-ncac-01e-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0302}

(a) Before the department can begin to make technical findings specified in G.S. 159C-7(1) to (3), a finding must be made that the project is either:

(1) an industrial project for industry,

(2) a pollution control project for industry, or

(3) a pollution control project for public utility, as defined in G.S. 159C-3, and as defined in Article V, Section 9 of the constitution of North Carolina.

(b) The department shall use the definitions of those terms found in Section .0100 of this Subchapter to make those jurisdictional findings.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Amended Eff. March 1, 1985
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0303 Manufacturing Wage Test {#sec-04-ncac-01e-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0303}

History

Status: repealed
Authority G.S. 159C-7
Eff. August 2, 1976
Temporary Amendment Eff. January 7, 1983 for a period of 120 days to expire May 7, 1983
Amended Eff. March 1, 1985; November 1, 1984
Temporary Amendment Eff. September 15, 1988 for a period of 180 days to expire March 14, 1989
Amended Eff. April 1, 1999; July 1, 1989; March 1, 1989
Repealed Eff. March 1, 2005.

04 NCAC 01E .0304 No Materially Adverse Effect on the Environment Test {#sec-04-ncac-01e-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0304}

History

Status: repealed
Authority G.S. 159C-7; 159C-8
Eff. August 2, 1976
Amended Eff. March 1, 1983; February 11, 1980; November 21, 1978; June 1, 1977
Repealed Eff. March 1, 1985.

04 NCAC 01E .0305 Materially Favorable Impact Test {#sec-04-ncac-01e-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0305}

History

Status: repealed
Authority G.S. 159C-7; 159C-8
Eff. August 2, 1976
Amended Eff. March 1, 1983; February 11, 1980; November 21, 1978; June 1, 1977
Repealed Eff. March 1, 1985.

04 NCAC 01E .0306 Jobs Saved or Generated Test {#sec-04-ncac-01e-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0306}

(a) G.S. 159C-7 specifies that in the case of either "... an industrial or a pollution project, except a pollution control project for a public utility, (a), that the jobs to be generated or saved, directly or indirectly by the proposed project will be large enough in number to have a measurable impact on the area immediately surrounding the proposed project and will be commensurate with the size and cost of the proposed project."

(b) The department shall use as a guideline, a standard of requiring one job saved or generated for each two hundred fifty thousand dollars ($250,000) of bond financing. This ratio may be lower and still acceptable depending upon other critical factors, including but not limited to:

(1) the wage scale of the facility;

(2) the present economic situation in the county;

(3) the effect of the facility on the tax base of the county;

(4) the expected effect that the industrial facility will have on the development of new industry and services as well as any other factors which the applicant feels pertinent to the issue.

(5) the machinery and equipment financed is "state of the art" in technology increasing efficiency with moderate effect on employment.

(c) The applicant has the burden of demonstrating that the jobs saved or generated will have a measurable impact on the county. The applicant must show by clear and convincing evidence the number and type of such jobs generated or saved.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Amended Eff. April 1, 1999; March 1, 1983; February 11, 1980; November 21, 1978
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0307 Capability Test {#sec-04-ncac-01e-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0307}

(a) G.S. 159C-7 specifies that in the case of either "...an industrial or a pollution control project, except for a public utility, that the proposed operator of the proposed project has demonstrated or can demonstrate the capability to operate such a project...."

(b) The applicant has the burden of showing that capability exists in the operator to operate and maintain the facility efficiently and effectively. Financial strength and prior related experience by the operator will be given great weight. Where little or no prior experience can be demonstrated, the qualifications of management, including production or engineering staff, as applicable, will be of great significance.

History

Authority G.S. 159C-7; 159C-8
Eff. August 2, 1976
Amended Eff. November 21, 1978
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0308 Abandonment Test {#sec-04-ncac-01e-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0308}

(a) G.S. 159C-7 specifies that in the case of either "an industrial or a pollution project, except a pollution project for a public utility, that the financing of such project by the authority will not cause or result in abandonment of an existing industrial or manufacturing facility of the proposed operator or an affiliate elsewhere within the state unless the facility is to be abandoned because of obsolescence, lack of available labor, or site limitations."

(b) The department shall consider an abandonment statement as prima facie proof of lack of abandonment.

History

Authority G.S. 159C-7
Eff. August 2, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01E .0309 The Secretary's Findings {#sec-04-ncac-01e-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01E .0309}

(a) Unless the applicant has met his various burdens of proof, the secretary shall not make his required findings.

(b) All findings shall be in writing and where adverse findings are made, they shall specifically indicate in detail which elements of proof were weak, the required conclusions which could not be made, and any suggestions for amending the application.

History

Authority G.S. 159C-7; 159C-8
Eff. August 2, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Subchapter F

04 NCAC 01F .0101 Purpose of Subchapter {#sec-04-ncac-01f-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0101}

History

Status: expired
Authority G.S. 143B-428; 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0102 Goals and Policies {#sec-04-ncac-01f-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0102}

History

Status: expired
Authority G.S. 143B-428; 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0201 Basic Industrial Buildings {#sec-04-ncac-01f-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0201}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0202 Developer Entity {#sec-04-ncac-01f-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0202}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0203 Industrial Builder {#sec-04-ncac-01f-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0203}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0204 Obligor {#sec-04-ncac-01f-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0204}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0205 Construction Loan Lender {#sec-04-ncac-01f-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0205}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0206 Construction Loan {#sec-04-ncac-01f-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0206}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0207 Allowable Job Costs {#sec-04-ncac-01f-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0207}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0208 Guaranty Against Loss Reserve {#sec-04-ncac-01f-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0208}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0209 Interest Rates {#sec-04-ncac-01f-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0209}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0301 Generally {#sec-04-ncac-01f-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0301}

History

Status: expired
Authority G.S. 143B-429; 143B-430
Eff. February 11, 1980
Amended Eff. March 1, 1983; March 25, 1980
Temporary Rule Eff. February 27, 1987 for a Period of 120 Days to Expire on
June 27, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0302 Need Determination: Basic Buildings {#sec-04-ncac-01f-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0302}

History

Status: expired
Authority G.S. 143B-429; 143B-430
Eff. February 11, 1980
Amended Eff. March 1, 1983; March 25, 1980
Temporary Rule Eff. February 27, 1987 for a Period of 120 Days to Expire on
June 27, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0303 Preapplication Conference {#sec-04-ncac-01f-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0303}

History

Status: expired
Authority G.S. 143B-429; 143B-430
Eff. February 11, 1980
Amended Eff. March 1, 1983; March 25, 1980
Temporary Rule Eff. February 27, 1987 for a Period of 120 Days to Expire on
June 27, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0304 Public Notice {#sec-04-ncac-01f-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0304}

History

Status: expired
Authority G.S. 143B-429; 143B-430
Eff. February 11, 1980
Amended Eff. March 1, 1983; March 25, 1980
Temporary Rule Eff. February 27, 1987 for a Period of 120 Days to Expire on
June 27, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0305 Formal Application Procedures: Required Data: Information {#sec-04-ncac-01f-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0305}

History

Status: expired
Authority G.S. 143B-429; 143B-430
Eff. February 11, 1980
Amended Eff. March 1, 1983; March 25, 1980
Temporary Rule Eff. February 27, 1987 for a Period of 120 Days to Expire on
June 27, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0306 Staff Approval and Review {#sec-04-ncac-01f-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0306}

History

Status: expired
Authority G.S. 143B-429; 143B-430
Eff. February 11, 1980
Amended Eff. March 1, 1983; March 25, 1980
Temporary Rule Eff. February 27, 1987 for a Period of 120 Days to Expire on
June 27, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0307 Formal Application Procedures: Designation {#sec-04-ncac-01f-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0307}

History

Status: expired
Authority G.S. 143B-429; 143B-430
Eff. February 11, 1980
Amended Eff. March 1, 1983; March 25, 1980
Temporary Rule Eff. February 27, 1987 for a Period of 120 Days to Expire on
June 27, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0308 Formal Application Procedures: Denial {#sec-04-ncac-01f-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0308}

History

Status: expired
Authority G.S. 143B-429; 143B-430
Eff. February 11, 1980
Amended Eff. March 1, 1983; March 25, 1980
Temporary Rule Eff. February 27, 1987 for a Period of 120 Days to Expire on
June 27, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0309 Termination of Agreement {#sec-04-ncac-01f-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0309}

History

Status: expired
Authority G.S. 143B-429; 143B-430
Eff. February 11, 1980
Amended Eff. March 1, 1983; March 25, 1980
Temporary Rule Eff. February 27, 1987 for a Period of 120 Days to Expire on
June 27, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0401 General {#sec-04-ncac-01f-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0401}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0402 Jurisdiction Determinations {#sec-04-ncac-01f-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0402}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0403 Experienced Industrial Builder {#sec-04-ncac-01f-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0403}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0404 Involvement of Community Leadership {#sec-04-ncac-01f-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0404}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0405 The Industrial Site {#sec-04-ncac-01f-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0405}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0406 Building Specifications and Materials {#sec-04-ncac-01f-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0406}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0407 Water Service {#sec-04-ncac-01f-.0407 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0407}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0408 Sewer Service {#sec-04-ncac-01f-.0408 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0408}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0409 Rail Service {#sec-04-ncac-01f-.0409 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0409}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0410 Natural Gas {#sec-04-ncac-01f-.0410 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0410}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0411 Labor Availability {#sec-04-ncac-01f-.0411 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0411}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0412 Professional Industrial Developer {#sec-04-ncac-01f-.0412 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0412}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01F .0413 Financing Programs {#sec-04-ncac-01f-.0413 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01F .0413}

History

Status: expired
Authority G.S. 143B-429; 143B-430; 143B-432; 143B-434(a); 143B-434(c)
Eff. February 11, 1980
Amended Eff. March 1, 1983
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

Subchapter G

04 NCAC 01G .0101 Background {#sec-04-ncac-01g-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01G .0101}

History

Status: expired
Authority G.S. 143B-429; 143B-430; Rev. Code Sec. 42; Fed Reg 26 CFR 1.42-1T
Eff. November 1, 1987
Temporary Rule Eff. October 16, 1987, for a Period of 120 Days to Expire on
February 13, 1988
Temporary Rule Eff. April 27, 1987, for a Period of 120 Days to Expire on
August 24, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01G .0102 Objectives {#sec-04-ncac-01g-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01G .0102}

History

Status: expired
Authority G.S. 143B-429; 143B-430; Rev. Code Sec. 42; Fed Reg 26 CFR 1.42-1T
Eff. November 1, 1987
Temporary Rule Eff. October 16, 1987, for a Period of 120 Days to Expire on
February 13, 1988
Temporary Rule Eff. April 27, 1987, for a Period of 120 Days to Expire on
August 24, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01G .0103 Definitions {#sec-04-ncac-01g-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01G .0103}

History

Status: expired
Authority G.S. 143B-429; 143B-430; Rev. Code Sec. 42; Fed Reg 26 CFR 1.42-1T
Eff. November 1, 1987
Temporary Rule Eff. October 16, 1987, for a Period of 120 Days to Expire on
February 13, 1988
Temporary Rule Eff. April 27, 1987, for a Period of 120 Days to Expire on
August 24, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01G .0201 Eligible Projects {#sec-04-ncac-01g-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01G .0201}

History

Status: expired
Authority G.S. 143B-429; 143B-430; Rev. Code Sec. 42; Fed Reg 26 CFR 1.42-1T
Temporary Rule Eff. October 16, 1987, for a Period of 120 Days to Expire on
February 13, 1988
Temporary Rule Eff. April 27, 1987, for a Period of 120 Days to Expire on
August 24, 1987
Eff. November 1, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01G .0202 Application Procedure {#sec-04-ncac-01g-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01G .0202}

History

Status: expired
Authority G.S. 143B-429; 143B-430; Rev. Code Sec. 42; Fed Reg 26 CFR 1.42-1T
Temporary Rule Eff. October 16, 1987, for a Period of 120 Days to Expire on
February 13, 1988
Temporary Rule Eff. April 27, 1987, for a Period of 120 Days to Expire on
August 24, 1987
Eff. November 1, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01G .0203 Fees {#sec-04-ncac-01g-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01G .0203}

History

Status: expired
Authority G.S. 143B-429; 143B-430; Rev. Code Sec. 42; Fed Reg 26 CFR 1.42-1T
Temporary Rule Eff. October 16, 1987, for a Period of 120 Days to Expire on
February 13, 1988
Temporary Rule Eff. April 27, 1987, for a Period of 120 Days to Expire on
August 24, 1987
Eff. November 1, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01G .0301 Review of Applications {#sec-04-ncac-01g-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01G .0301}

History

Status: expired
Authority G.S. 143B-429; 143B-430; Rev Code Sec. 42; Fed Reg 26 CFR 1.42-1T
Temporary Rule Eff. October 16, 1987, for a Period of 120 Days to Expire on
February 13, 1988
Temporary Rule Eff. April 27, 1987, for a Period of 120 Days to Expire on
August 24, 1987
Eff. November 1, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01G .0302 Approval or Rejection of Application {#sec-04-ncac-01g-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01G .0302}

History

Status: expired
Authority G.S. 143B-429; 143B-430; Rev Code Sec. 42; Fed Reg 26 CFR 1.42-1T
Temporary Rule Eff. October 16, 1987, for a Period of 120 Days to Expire on
February 13, 1988
Temporary Rule Eff. April 27, 1987, for a Period of 120 Days to Expire on
August 24, 1987
Eff. November 1, 1987
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

Subchapter H

04 NCAC 01H .0101 Background {#sec-04-ncac-01h-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0101}

The rules of this Subchapter apply to the administration of the Private Activity Bond Volume Capacity Program. Made necessary by Federal legislation, this program will relate to a type of financing now defined and controlled as "private activity" bonds. Executive Order No. 37, issued by Governor James G. Martin on March 17, 1987 is a response to federal mandates. It is hereby referenced and incorporated herein as if fully set out in this Paragraph.

History

Authority G.S. 143B-429; 143B-430; Ch. 588 (1987 Session Law)
Eff. December 1, 1987
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01H .0102 Objectives {#sec-04-ncac-01h-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0102}

The purpose of this Subchapter is to set out the procedures and criteria by and under which the North Carolina Federal Tax Reform Allocation Committee will carry out the duties set out in Executive Order No. 37 and Chapter 588 of the 1987 General Assembly Session of North Carolina.

History

Authority G.S. 143B-429; 143B-430; Ch. 588 (1987 Session Law)
Eff. December 1, 1987
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01H .0103 Definitions {#sec-04-ncac-01h-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0103}

(a) Act - shall mean the Tax Reform Act of 1986, as amended.

(b) Committee - shall mean the North Carolina Federal Tax Reform Allocation Committee created by Executive Order No. 37.

(d) Issuer - shall mean the entity authorized to issue Private Activity Bonds, except that in the case of Private Activity Bonds issued pursuant to Article 22 of Chapter 160A of the General Statutes of North Carolina, or issued solely pursuant to regulations, rules, procedures or rulings of the Internal Revenue Service of the United States, "Issuer" shall mean the municipal corporation which created the issuing commission or the municipal corporation which approved the issuance of the bonds pursuant to such regulations, rules, procedures or rulings.

(e) "Private Activity Bond" - will mean any instrument of debt defined by federal law and regulation as a Private Activity Bond, thusly requiring an allocation of Private Activity Bond Volume capacity.

(f) "Private Activity Bond Volume Capacity" - will constitute a statewide resource which is measured by a formula contained in the Federal Tax Reform Act of 1986, as amended. The resource will constitute a total volume limitation of such bonds that can be issued by North Carolina issuers.

(g) "Uniform Volume Limitations" - shall mean the total volume capacity for North Carolina allowed by the formula contained in federal legislation pertaining to private activity bonds.

(h) "Election as Carryforward Purpose" - shall mean a designation made by the committee under the definitions continued in federal legislation. Generally, it allows an allocation made from the present year volume capacity to be used in a named subsequent year.

History

Authority G.S. 143B-429; 143B-430; Ch. 588 (1987 Session Law)
Eff. December 1, 1987
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01H .0201 General {#sec-04-ncac-01h-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0201}

This Section provides the application procedures which shall be followed, including data and information submissions, before the committee will make the final decision relating to allocations of capacity for private activity bonds.

History

Authority G.S. 143B-429; 143B-430; Ch. 588 (1987 Session Law)
Eff. December 1, 1987
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01H .0202 Information and Applications {#sec-04-ncac-01h-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0202}

(a) Issuers and interested parties may obtain general information pertinent to this program at:

(1) The North Carolina Department of Commerce, Commerce Finance Center, 4318 Mail Service Center, Raleigh, NC 27699, (919) 814-4613.

(2) Department of State Treasurer, 3200 Atlantic Avenue, Raleigh, NC 27604, (919) 814-4300.

(b) Applications may be filed at either of the above addresses, but for the most part, should be directed to the Director of the Commerce Finance Center in care of the Industrial Financing Group in the Department of Commerce, 4318 Mail Service Center, Raleigh, NC 27699, (919) 814-4613.

(1) Pertinent facts as to the project being financed;

(2) Details of sale and market distribution;

(3) Details as to the economic benefit to the area impacted by the project;

(d) Applications will be processed by the Director or staff available to the Director.

History

Authority G.S. 143B-429; 143B-430; Ch. 588 (1987 Session Law)
Eff. December 1, 1987
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
Amended Eff. December 1, 2019.

04 NCAC 01H .0203 Formal Procedures: Approval {#sec-04-ncac-01h-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0203}

When the committee can approve the Allocation of Capacity, the chairman, or his designee, will indicate in writing and describe any terms or conditions of the allocation, including the expiration date of the allocation. Any unused portion of the allocation will revert back to the statewide pool of volume resource. The use of any allocation is predicated on the Issuer of the bonds, within ten business days after such issue, advising in writing, that the allocation has been used, and stating the amount of unused allocation. All allocations will be issued with a stated time of expiration. If the Issuer becomes aware that the bond closing cannot be effected within the time scheduled, he may apply for an extension. In the case of a time extension, the Issuer will provide written confirmation from all parties to the transaction that they have seen and agreed to all terms and conditions for the financing.

History

Authority G.S. 143B-429; 143B-430; Ch. 588 (1987 Session Law)
Eff. December 1, 1987
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01H .0204 Formal Procedures: Denial {#sec-04-ncac-01h-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0204}

When the committee is unable to approve the application, the chairman, or his designee, will so indicate in writing, including with specificity, the reasons for such denial.

History

Authority G.S. 143B-429; 143B-430; Ch. 588 (1987 Session Law)
Eff. December 1, 1987
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01H .0301 General {#sec-04-ncac-01h-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0301}

It is the purpose of this Section to specify the standards and the criteria the committee will use in making decisions.

History

Authority G.S. 143B-429; 143B-430; Ch. 588 (1987 Session Law)
Eff. December 1, 1987
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01H .0302 Establishment of Availability Capacity {#sec-04-ncac-01h-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0302}

The committee will determine the amount of the Uniform Bond Limitations for Private Activity Bonds available in North Carolina for the pertinent years. These formulas are contained in federal legislation.

History

Authority G.S. 143B-429; 143B-320; Ch. 588 (1987 Session Law)
Eff. December 1, 1987
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01H .0303 Considerations of the Capacity Resource Usage and Demand {#sec-04-ncac-01h-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0303}

The committee will consult with informed authorities, with Issuers, and with legislative lenders. When it appears that the demand for the resource will be so large that the needs of all issuers might not be met, the committee will make allocations on a first-come, first-serve basis. When demand, or potential demand, becomes so large that the resource will prove to be inadequate, the committee would consider, but not limit their consideration of approvals to the following:

(1) the overall good of the state and the people of North Carolina;

(2) relative economic need and benefit to the Issuer and the area to be impacted by the following;

(a) whether or not alternative structure or mechanisms for the project agreements and the financing documents might resolve or reduce the need for a "private activity bond" capacity allocation;

(b) whether or not the Issuer is in competition with another out of state Issuer for the project benefits such as jobs and tax base;

(c) whether or not the availability of the allocation is a crucial part of keeping an existing industrial plant open, whereas the alternatives would be for that plant to close.

History

Authority G.S. 143B-429; 143B-430; Ch. 588 (1987 Session Law)
Eff. December 1, 1987
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01H .0401 Background {#sec-04-ncac-01h-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0401}

History

Status: expired
Authority G.S. 143-433.6(c); 143-433.8; 143-433.9(a); 150B-21.1B; S.L. 2009-140; S.L. 2009-475
Emergency Adoption Eff. October 30, 2009
Temporary Adoption Eff. December 23, 2009
Temporary Rule Expired June 30, 2012.

04 NCAC 01H .0402 Definitions {#sec-04-ncac-01h-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0402}

History

Status: expired
Authority G.S. 143-433.6(c); 143-433.8; 143-433.9(a); 150B-21.1B; S.L. 2009-140; S.L. 2009-475
Emergency Adoption Eff. October 30, 2009
Temporary Adoption Eff. December 23, 2009
Temporary Rule Expired June 30, 2012.

04 NCAC 01H .0403 Procedures {#sec-04-ncac-01h-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0403}

History

Status: expired
Authority G.S. 143-433.6(c); 143-433.8; 143-433.9(a); 150B-21.1B; S.L. 2009-140; S.L. 2009-475
Emergency Adoption Eff. October 30, 2009
Temporary Adoption Eff. December 23, 2009
Temporary Rule Expired June 30, 2012.

04 NCAC 01H .0404 Reallocation {#sec-04-ncac-01h-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0404}

History

Status: expired
Authority G.S. 143-433.6(c); 143-433.8; 143-433.9(a); 150B-21.1B; S.L. 2009-140; S.L. 2009-475
Emergency Adoption Eff. October 30, 2009
Temporary Adoption Eff. December 23, 2009
Temporary Rule Expired June 30, 2012.

04 NCAC 01H .0501 procedures and CRITERIA FOR ALLOCAtion of qualified energy conservation bonds {#sec-04-ncac-01h-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01H .0501}

(a) The North Carolina Tax Reform Allocation Committee (the "Committee") shall allocate Qualified Energy Conservation Bond ("QECB") capacity to entities eligible to issue the bonds under 26 U.S.C.S. 54D as follows:

(1) To "large local governments," as the term is used in 26 U.S.C.S. 54D(e)(2) in the amounts and manner as directed by the United States Internal Revenue Service ("IRS") in 26 U.S.C.S. 54D and all relevant implementing notices provided by the IRS (including IRS Notice 2009-29), as modified, amended or supplemented (as listed at http://www.irs.gov/irb/2009-16irb/ar10.html#d0e3578). For purposes of calculating the populations of local governments to determine which constitutes a "large local government," the Committee shall use population estimates as of July 1, 2007, as directed by the IRS (as listed at http://www.census.gov/popest/data/counties/totals/2009/CO-EST2009-01.html and http://www.census.gov/popest/data/cities/totals/2009/SUB-EST2009-4.html).

(2) To "Indian tribal governments," as the term is used in 26 U.S.C.S. 54D(h) in the amounts as directed by the IRS in 26 U.S.C.S. 54D and relevant implementing notices provided by the IRS (including IRS Notice 2009-29), as modified, amended or supplemented (as listed at http://www.irs.gov/irb/2009-16irb/ar10.html#d0e3578).

(b) Following the allocations described in Paragraph (a) of this Rule, the Committee shall allocate the remaining QECB capacity to other issuers. The allocation shall be made by the Committee upon completed application by an issuer, and after consideration of the following factors:

(1) The ability of the State to ensure that at least 70 percent of the State's allocation is used for government projects, and no more than 30 percent for projects considered QECB private activity bonds under IRS rules, regulations and guidelines;

(2) The extent to which the project constitutes an eligible conservation purpose under 26 U.S.C.S. 54D and all implementing notices provided by the IRS (including IRS Notice 2009-29), as may be modified, amended or supplemented;

(3) The extent to which the project demonstrates the potential to conserve energy;

(4) The extent to which the project supports the development or implementation of energy conservation technology;

(5) The extent to which the project uses renewable resources to produce energy;

(6) The number of citizens benefiting from the project;

(7) The estimated number of jobs to be produced by the projects (for private activity allocations) and the amount of QECB authority per job produced;

(8) The readiness of the project to proceed;

(9) The certainty of the issuer using the allocation within the estimated timelines;

(10) The amount of other public and private funding leveraged by the QECB allocation;

(11) The amount of local community support for the project;

(12) Whether the unit of local government is in competition with another state for project benefits such as jobs and tax base;

(13) Whether the availability of the allocation is a crucial part of attracting a new company or keeping an existing company in place;

(14) Whether the requested allocation will benefit a project for which an eligible issuer is already issuing QECBs;

(15) The ability of the unit of local government or company benefiting from the QECB to obtain financing and close the issue in a timely manner, including demonstration of a commitment from a bank or other financial institution to purchase or underwrite the QECBs;

(16) The total amount of capacity available to the Committee for allocation in relation to the total number of pending requests for allocation;

(17) The tier status of the county in which the project is to be located, as defined in G.S. 143B-437.08; and

(18) The geographic location of the project in light of the location of other projects benefitting from QECB capacity.

(c) If so required by G.S. Chapter 159 or G.S. 160A-20, local governments shall coordinate issuance of QECBs with and through the North Carolina Local Government Commission (the "LGC") in the Office of the North Carolina State Treasurer and shall obtain approval from the LGC for QECB issuance.

(d) Entities allocated QECB capacity by the Committee and entities who issue QECBs shall ensure compliance with all federal and state laws, rules, regulations and requirements applicable to the allocation or issue.

(e) Entities receiving an allocation under Paragraph (a) of this Rule ("large local governments" and "Indian tribal governments") may waive or reallocate to the State of North Carolina all or a portion of their allocation. Upon the State's receipt of any additional QECB capacity through any waiver or reallocation, the Committee shall allocate the capacity to eligible issuers in the manner described in Paragraph (b) of this Rule.

(f) To ensure timely use of any QECB allocation, the Committee shall attach to an allocation of capacity made under Paragraph (b) of this Rule contingencies relating to a time deadline for issuance of the QECBs pursuant to the allocated capacity and contingencies limiting the use of the allocated QECB capacity for public or private activity bonds.

History

Authority G.S. 143-433.6(d); 143-433.8; 143-433.9(a); 150B-21.1B; S.L. 2009-140; S.L. 2009-475
Emergency Adoption Eff. July 15, 2011
Temporary Adoption Eff. September 8, 2011
Eff. July 1, 2012
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Subchapter I

04 NCAC 01I .0101 Background and Objectives {#sec-04-ncac-01i-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0101}

(a) BASIC - The purpose of the North Carolina Industrial Development Fund is to assist town, city or county governments with incentive industrial financing in areas of the state that have been designated as eligible tier areas by NC General Statutes. This assistance is intended to help units of government offer to its new and expanding industry, new or improved infrastructure, or funds for building renovation and equipment in exchange for commitments to create new, full-time jobs in industries currently eligible under NC General Statutes. (The fund is not designed to be used for the acquisition of land and buildings or constructing new buildings.) If the assistance is used for infrastructure, it shall be granted to local governments with no repayment; however, if it is used to purchase equipment or to renovate industrial buildings, then the funds must be repaid. But whether a grant or a loan, the amount of funds to be made available for a project shall be determined by the number of new jobs committed, with a maximum job limit and project limit as currently authorized for the program by NC General Statutes.

(b) EMERGENCY ECONOMIC DEVELOPMENT ASSISTANCE - This special assistance from the Industrial Development Fund is available to units of government that have, or shall imminently experience, a loss of 500 or more manufacturing jobs in the county, or a number of manufacturing jobs equal to at least 10% of the manufacturing workforce in the county. Where a unit of government relies on the 500 jobs lost as the threshold for obtaining this special assistance, it must submit evidence that the loss impacts the county's economy, taking into account the county's tier ranking under Rule .0701 of this Subchapter. The funding obtainable under this emergency assistance category shall not necessarily be determined by the number of new jobs to be created, although the project should lead to new jobs or saved jobs or both and help alleviate a jobs dislocation problem. The Secretary shall determine the amount of funds for a project, up to the maximum currently authorized for the program by NC General Statutes. This assistance shall be in the form of a low interest loan to the governmental unit, amortized over five years with repayment beginning at the end of the second year.

(c) UTILITY ACCOUNT - Within the IDF structure, the Utility Account provides financing to units of government for jobs creation and investment in the tier area(s), and for benefiting firms currently authorized by NC General Statutes. Funds may be used for construction or improvements to water, sewer, gas, or electrical utility lines and equipment for existing or proposed industrial buildings. There is no specific amount of funding specified for each new job or project, but the impact of the funding shall lead to the creation of new jobs and new investment. As with basic IDF financing, if Utility Account funds are spent for public property, the assistance shall be a grant; for private property, it shall be a loan.

History

Authority G.S. 143B-437.01
Temporary Rule Eff. November 16, 1987 for a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. July 1, 2012; August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0102 Definitions {#sec-04-ncac-01i-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0102}

(a) These definitions apply to all parts of the Industrial Development Fund including the Basic Emergency Economic Development Assistance, Utility Account and Clean Water Bonds for Economic Development:

(1) "Department" means the North Carolina Department of Commerce, or its Secretary.

(2) "Applicant" means a North Carolina unit of government that applies for IDF funds.

(3) "Industrial Development Fund" as referenced in G.S. 143B-437.01 means the fund within the Department's fiscal structure in which the appropriation of monies for industrial development projects is received and disbursed.

(4) "IDF" means the Industrial Development Fund.

(5) "Eligible tier areas” means the aggregation of North Carolina counties into groups in which certain economic benefits apply, as currently authorized by G.S. 105-129.3.

(6) "Unit of Government" means a town, city or county of the state.

(7) "Full-time Job" means a job that requires at least 1600 hours of work in a year.

(8) "Infrastructure" means utilities, typically referred to as "public utilities," or a rail spur where

there is public ownership of the rail property.

(9) "Grant" means money given to a unit of government to pay for an economic development project and does not have to be repaid, if the terms of the grant are fulfilled, i.e. the jobs commitment is met.

(10) "Loan" means money loaned to a unit of government to pay for an economic development project, to be repaid by the borrower.

(11) "Project" means an activity proposed for IDF funding. It shall be described narratively in an application and accompanied by a preliminary set of drawings, or sketches, or other data that present the project in factual detail, together with a schedule or itemization of costs from an engineer or contractor. The schedule of costs shall constitute the ability to complete a project with no more than a 10 percent contingency.

(12) Project expenditures means:

(A) For basic IDF -

(i) the construction of, or improvements to water, sewer, gas or electrical utility systems, distribution lines, or required storage facilities, or a rail spur when either is publicly owned and operated, and or;

(ii) the renovation of buildings including structural repairs, repairs, addition of docks, erection of walls, structural supports for heavy equipment, electrical upgrades, or HVAC upgrades;

(iii) improvements that are necessary to make a building suitable for occupancy by the operator of the project. Such improvements may include mechanical equipment such as heating and air conditioning equipment, plumbing, pipes or trenching to handle effluents or process water, special electrical additions and lighting. If an improvement is critical to the operation of a or is critical to the decision making process pertinent to the creation of jobs, the actual improvement need not be located on the site of the main project building. If, however, a grant of funds is involved, the improvement must be constructed on public right-of-ways or on property which the unit of government has an easement to treat as it normally would do as if it owned the property. However, when extending infrastructure to a firm, IDF assistance ends at the private property line. In either situation, the application must document the exact relationship between the jobs and the project. An example of a fundable project would be where the unit of government must construct an elevated water tank and service lines to provide water to a building where such service is directly required to operate an industrial business. An example of an unfundable project would be where a unit of government seeks to expand or to repair its water utility (or other infrastructure) system and where the relationship to the creation of jobs is fairly general or vague. The project shall be described from the perspective of employment to be created and its impact to the project.

(iv) the purchase and installation of equipment that is associated with the industrial classification of the project.

(B) For Emergency Economic Development Assistance -

Loans to local units of government for economic development projects designed to create jobs, lead to the creation of jobs, or save jobs, and to assist in alleviating the economic dislocation created by the loss of jobs.

(i) the construction of, or improvements to water, sewer, gas or electrical utility systems, distribution lines, or required storage facilities, or a rail spur or rail line when either is publicly owned and operated, and/or

(ii) equipment for existing or proposed industrial buildings for operations in the industrial classifications that are currently eligible to receive Utility Account.

(D) For Clean Water Bonds -

(i) the construction of or improvements to new or existing water or sewer distribution lines or equipment,

(ii) the construction or improvements to new or existing wastewater treatment facilities, or

(iii) improvements that will expand the capacity of existing wastewater treatment facilities or water supply systems.

(13) "State" means the State of North Carolina.

(14) "Application" means the pages of documents in which an applicant for IDF funds identifies itself, describes a project, specifies the funds required, provides a breakdown of project costs, and submits the benefiting firm’s commitment to create jobs and evidence of its credit worthiness.

(15) "Local Matching Funds" means funds of a unit of government contributed to an economic development project for the purpose of assisting in a total financing package and earning (or winning) other funds by doing so. Matching is usually expressed as a ratio, i.e. one local dollar for three state dollars, or one for three.

(16) "Participation Loan" means a loan among at least three parties, including: A bank or financial institution, the private firm, and the unit of government. The essence of a participation loan is that the bank, or financial institution, and the unit of government shall share at least equally in the lending arrangements, meaning the money loaned and the risk involved and collateral shared.

(17) "Borrower" means the private firm identified in a participation loan for building improvement or equipment in the basic IDF, or the unit of government when the money is spent for emergency economic dislocation assistance or when the money is reloaned in a utility account project. Additionally, the unit of government shall be the borrower when IDF is used to assist local matching, or in other cases when the Department believes the project can be more prudently structured as a loan rather than a grant.

(18) "Preapplication Conference" means a meeting held at the Department to discuss a proposed IDF application and includes: a representative of Commerce Finance Center; the applicant; an official of the benefiting firm; and a banker, if a participation loan is involved. A preapplication conference may be waived when the total IDF expenditures are expected to be fifty thousand dollars ($50,000) or less.

(19) "Clean Water Objectives of the State" include:

(A) Reducing the reliance on wells, septic tanks and similar facilities;

(B) Allowing residences, businesses, or local governments not otherwise served by water or sewer or wastewater infrastructure to connect into a distribution line or system (for water supply, sewer, or wastewater) being furnished in an economic development project for new or expanding industry.

(b) "Local Matching Requirement.' The Department requires local matching in grant projects except for Emergency Economic Development Assistance projects and those located in a tier area that has been exempted from matching by NC General Statutes. The required rate shall be one for three, or one local dollar for each three state dollars.

History

Authority G.S. 143B-437.01; 105-129.3
Temporary Rule Eff. November 16, 1987 for a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1990 for a Period of 180 Days to Expire on July 9, 1990
Amended Eff. September 1, 1990
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0201 Date of Receipt of Applications {#sec-04-ncac-01i-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0201}

The Department shall receive applications after November 15, 1987 on a first-come, first-serve basis. An application shall be assigned a processing number when it is received and is judged sufficiently complete for consideration. When possible, applications shall be processed in the order of the processing numbers assigned.

History

Authority G.S. 143B-437.01
Temporary Rule Eff. November 16, 1987 for a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0202 Application Categories and Requirements {#sec-04-ncac-01i-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0202}

(a) Applicants may apply for funding under the following categories:

(1) Basic IDF;

(2) Emergency Economic Development Assistance;

(3) The Utility Account; and

(4) Clean Water Bonds Proceeds.

(b) There is no set minimum amount of funding which applicants may request to be awarded. If there are practical difficulties about a small amount or cost disadvantages, these shall be discussed with the applicant in a preapplication conference. IDF awards shall not exceed the total amount appropriated by the General Assembly in its appropriation process. For basic IDF, Emergency Economic Development Assistance, and Clean Water Bonds Proceeds, per job or per project maximum funding limitation will be the amounts established under current law. There is no maximum set for Utility Account funding; but the amount of awards shall be determined by the Secretary. For basic IDF, the per job limitation shall be applied on the basis of requiring a commitment from the operator of the business as to the number of jobs that shall be created over a reasonable period of time, not to exceed three years. Those shall be permanent, full-time jobs; no temporary or contract jobs.

(c) Under basic IDF, improvements to building properties and equipment purchases (either of which becomes private property) shall be loan projects and shall be accomplished with participation loans. The three parties to a participation loan shall be: the borrower's North Carolina bank, the borrower, and the unit of government. The bank shall commit at least as much funding as the unit of government, with the risk and collateral shared on a pro rata basis. Also, in the matter of sharing equally, this means that if the bank takes a certain collateral position, the unit of government shall share in that position. The participation by a financial institution based outside North Carolina may be done at the Secretary's (or his designate) discretion, based on findings made by Department staff concerning that institution's capacity for the proposed loan project. Such findings may include documentation of the bank's charter or institution type, credit reports, and documentation of the institution's financial history with the project company or companies.

(d) IDF funds may be loaned to a unit of government to meet matching funds requirements. In this case the Department shall furnish a loan repayment schedule to the mayor, city manager or county manager, which, in addition to the award letter and application, shall establish the responsibility for repayment, and times and amounts of repayment.

(e) Loans for Emergency Economic Development projects shall be accomplished as in Paragraph (d) of this Rule.

(f) Loans for Utility Account projects shall be accomplished as in Paragraph (d) of this Rule.

(g) With either grants or loans, the Department shall require financial information from the project owner or operator to establish financial capability. The usual requirement shall be the preceding three years' financial and operating statements; for new businesses, at least three years pro forma statements and a business plan. In any case, the Department may use credit reports, bank information, or other data that it deems appropriate to establish the credit worthiness of the borrower.

(h) A project shall be subject to review by the Department at any time during the first three years after the project begins.

(i) The Department may require a unit of government to partially or fully accelerate loan repayments if the operator's business has closed, moved, or if the company has not reached 90% of its job creation commitment within twenty-four months of the grant approval date. The Department may require repayment of a grant, partially or fully, if the operating company has moved, closed, or has not created 90% of its job creation commitment; and, in the case of Emergency Economic Development Assistance or the Utility Account, if funds are not spent for the specific activities which were approved in the project application.

History

Authority G.S. 143B-437.01
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0301 Review of Applications and Funding {#sec-04-ncac-01i-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0301}

(a) When an application is deemed complete, it shall be assigned a processing number.

(b) Applications may be submitted directly to the Secretary of the Department. They may also be submitted to the Department's Commerce Finance Center, 301 North Wilmington Street, 4318 Mail Service Center, Raleigh, North Carolina 27699-4318. Applications shall be approved or denied by the last day of the calendar month following assignment of a processing number. When possible, applications shall be processed in the order that processing numbers are assigned.

History

Authority Chapter 754, 1989 S.L.
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1998
Amended Eff. September 1, 1990
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0302 Eligibility Requirements {#sec-04-ncac-01i-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0302}

Applications shall show that:

(1) This funding is a vital part of the proposal to create the jobs set out and that the jobs shall not be created if the project goes unfunded;

(2) For Emergency Economic Development Assistance Projects, the project is completely funded or financed, except for the particular funds sought in the application;

(3) The involvement of the local unit of government is authorized by its elected board under specific resolution and by specific State Statute;

(4) The participating private entity has provided a statement of commitment relating to the project. That commitment shall state that the project is to be carried out as described in the application, with specificity as to time schedules and to the parties involved;

(5) The expenditure of private money on the project has not begun;

(6) The project has not yet begun, i.e. money spent on the project, or public announcements made that the benefiting firm plans to do the project before the Department has been requested to participate with IDF;

(7) For Emergency Economic Development Assistance Projects, there exists an emergency in the economy large enough to be considered an economic dislocation as set out in G.S. 143B-437.01 (a)(1a); and

(8) The project for which funding is sought might help to alleviate the economic emergency described in Item (7) of this Rule.

History

Authority G.S. 143B-437.01
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0303 REVIEW: APP/FUNDING/EMGCY ASST PROJ DEFINED/RULE .0102(h) {#sec-04-ncac-01i-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0303}

History

Status: repealed
Authority S.L. 1989, c. 754
Eff. September 1, 1990
Temporary Repealed Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Repealed Eff. October 6, 1999
Repealed Eff. August 1, 2000.

04 NCAC 01I .0304 ELIGIBILITY REQ/EMGY ASST PROJ DEFINED/RULE .0102(h) {#sec-04-ncac-01i-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0304}

History

Status: repealed
Authority S.L. 1989, c. 754
Eff. September 1, 1990
Temporary Repeal Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Repeal Eff. October 6, 1999
Repealed Eff. August 1, 2000.

04 NCAC 01I .0401 General {#sec-04-ncac-01i-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0401}

History

Status: repealed
Filed as a Temporary Amendment Eff. January 11, 1990 for a Period of 180 Days to Expire on July 9, 1990
Filed as a Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Authority S.L. 1987, c. 830, s. 111 of Part XXII, S.L. 1989, c. 754, s. IX
Eff. May 1, 1988
Amended Eff. September 1, 1990
Temporary Repeal Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Repeal Eff. October 6, 1999
Repealed Eff. August 1, 2000.

04 NCAC 01I .0402 Required Findings {#sec-04-ncac-01i-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0402}

(a) Before the Department shall approve a project, a finding must be made that the project:

(1) shall assist a unit of Government in one of eligible tier areas of the State; and

(2) the funds shall be used for renovation of buildings or infrastructure or equipment by firms that have industry classifications currently eligible for tax incentives under G.S. 105-129.4.

(b) The Department shall document a finding based on data provided in the application or by staff research, that the jobs to be created by a project, over no more than a three year period, shall be large enough in number to have a measurable favorable impact on the area immediately surrounding the project and shall be commensurate with the size and cost of the grant to the project. The applicant has the burden of demonstrating that the jobs shall have a measurable impact on the county. The applicant must show by clear and convincing evidence the number and type of such jobs generated.

(c) The Department shall make a finding that the operator of the proposed project has demonstrated the capabilities to operate such a facility. The applicant shall show that capability exists in the operator to operate and maintain the facility efficiently and effectively. Financial strength and prior related experience by the operator shall be evaluated. Where little or no experience can be demonstrated, the qualifications of management, including production or engineering staff, as applicable, shall be of prime significance.

(d) The Department shall make a finding that IDF financing for a project shall not cause or result in the abandonment of an existing similar industrial facility of the proposed operator or an affiliate elsewhere in the State unless the facility is to be abandoned because of obsolescence, lack of available labor, or site limitations. The Department shall consider an abandonment statement as prima facie proof of lack of abandonment.

(e) For Emergency Economic Development projects, the Department shall make a finding that:

(1) the economic emergency exists, or is imminent and;

(2) the project shall, or shall tend to, alleviate the especially severe economic emergency caused by the described economic dislocation.

(f) For Utility Account projects, the Department shall make a finding that the proposed funding will create new jobs or reasonably be expected to lead to the creation of new jobs in the industries currently eligible for Utility Account financing assistance as specified in G.S. 143B-437.01(b1).

(g) For Clean Water Bonds projects, the Department shall make a finding that the proposed project will have a favorable impact on the Clean Water Objectives of the State.

(h) The Department shall use the definitions of terms found in Rule .0102 of this Subchapter to make these findings.

History

Authority G.S. 143B-437.01
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0403 Formal Applications Procedures: Denial {#sec-04-ncac-01i-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0403}

(a) Unless the applicant has met its various burdens of proof, the Department shall not make the required findings.

(b) Where adverse findings are made, they shall specifically indicate in detail which elements of proof were weak, the required conclusions which could not be made, and any suggestions for amending the application.

History

Authority G.S. 143B-437.01
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0404 Formal Application Procedures: Approval {#sec-04-ncac-01i-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0404}

(a) Where the Department makes all the findings necessary, it shall do so in writing to the applicant at the earliest possible date after following the procedures as set forth in this Subchapter.

(b) The Department shall prepare a letter of approval and cause this letter to be mailed to the applicant.

History

Authority G.S. 143B-437.01
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0405 FINDINGS REQ/APPROVAL/EMGCY PROJ DEFINED/RULE .0102(h) {#sec-04-ncac-01i-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0405}

History

Status: repealed
Authority S.L. 1989, c. 754, s. IX
Eff. September 1, 1990
Temporary Repeal Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Repeal Eff. October 6, 1999
Repealed Eff. August 1, 2000.

04 NCAC 01I .0501 General {#sec-04-ncac-01i-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0501}

Units of government may apply for a "45 day reservation" of funds, relating to a particular IDF project to induce prospective private sector employers to locate or expand and create new jobs. The Department may accept and approve the requests where local units of government can document that:

(1) they have the potential for a project of strong merit;

(2) a particular employer is interested in a proposed industrial building;

(3) strong offers have been made to a client by other states or by communities located in the tier areas not currently eligible for IDF funding. A request shall be prepared along the lines of the application for approval described in Rule .0302 of this Subchapter, except that the data normally obtained from the client or potential employees would not necessarily be prepared by the client and would not be required in such detail.

History

Authority G.S. 143B-437.01
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0502 Limitations {#sec-04-ncac-01i-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0502}

A request for a reservation of funds may be approved for a project if the funds required do not exceed one-half of the total of program funds available and not previously committed. The total of programs funds not previously committed shall include appropriated funds, those funds received in repayment from recipients, interest earned, and funds not used and reverted from either approved projects or from "reserved" funds.

History

Authority G.S. 143B-437.01
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0503 Reversion of Funds {#sec-04-ncac-01i-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0503}

An approval for "reservation" of funds for projects shall not predicate approval or funding of a project. When a formal and complete application for approval of a project has not been filed by the applicant that requested the reservation of funds, before the expiration date of the "reservation of funds", the Department may revert those funds back to the program without any obligation to the unit of government. The unit of government shall keep track of when the reservation of funds expires.

History

Authority G.S. 143B-437.01
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01I .0601 Reporting Requirements {#sec-04-ncac-01i-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0601}

History

Status: repealed
Filed as a Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15,
1988
Authority S.L. 1987, c. 830, s. 111, Part 4II
Eff. May 1, 1988
Temporary Repeal Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Repeal Eff. October 6, 1999
Repealed Eff. August 1, 2000.

04 NCAC 01I .0701 annual designation {#sec-04-ncac-01i-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0701}

History

Status: repealed
Authority G.S. 105-129.3 ,143B-437.01
Eff. September 1, 1990
Temporary Amendment Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Repealed Eff. August 1, 2000.

04 NCAC 01I .0801 Compliance with North Carolina Environmental Rules {#sec-04-ncac-01i-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01I .0801}

Any local unit of government or grantee receiving Industrial Development Funds (IDF), including Basic IDF, Utility Account funds, Emergency Economic Assistance funds or Clean Water Bonds proceeds shall comply with North Carolina Environmental Policy Rules as cited in the North Carolina Administrative Code unless the project activity is a non-major activity, as cited in 15A NCAC 1C .0504.

History

Authority G.S. 143B-437.01
Temporary Adoption Eff. January 11, 1999
Codifier determined that agency findings did not meet criteria for temporary rule
Temporary Amendment Eff. October 6, 1999
Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Subchapter J

04 NCAC 01J .0101 background and objectives {#sec-04-ncac-01j-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01J .0101}

History

Status: repealed
Authority G.S. 105-130.40(a),(b),(c), and (d); 105-151.17(a),(b),(c), and (d);Chapter 568, 1987 S.L.; Chapter 111 and 753, 1989 S.L.
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Amended Eff. December 1, 1989
Repealed Eff. July 1, 2012.

04 NCAC 01J .0102 definitions {#sec-04-ncac-01j-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01J .0102}

History

Status: repealed
Authority G.S. 105-130.40(a),(b),(c), and (d); 105-151.17(a),(b),(c), and (d);Chapter 568, 1987 S.L.; Chapter 111 and 753, 1989 S.L.
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Amended Eff. December 1, 1989
Repealed Eff. July 1, 2012.

04 NCAC 01J .0201 designation of severly distressed counties {#sec-04-ncac-01j-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01J .0201}

History

Status: repealed
Authority G.S. 105-130.40(c) and (d); 105-151.17(c) and (d); Chapter 568, 1987 S.L.; Chapter 111, 1989 S.L.
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Amended Eff. March 1, 1991; December 1, 1989
Repealed Eff. July 1, 2012.

04 NCAC 01J .0301 letter of commitment {#sec-04-ncac-01j-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01J .0301}

History

Status: repealed
Authority G.S. 105-130.40(c) and (d); 105-151.17(c) and (d); Chapter 568, 1987 S.L.
Temporary Rule Eff. November 16, 1987 For a Period of 180 Days to Expire on May 15, 1988
Eff. May 1, 1988
Amended Eff. December 1, 1989
Repealed Eff. July 1, 2012.

04 NCAC 01J .0401 substantiation of credit claimed {#sec-04-ncac-01j-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01J .0401}

History

Status: repealed
Authority G.S. 105-130.40(f); 105-151.17(f); Chapter 111, 1989 S.L.
Eff. December 1, 1989
Repealed Eff. July 1, 2012.

04 NCAC 01J .0501 determination of eligibility {#sec-04-ncac-01j-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01J .0501}

History

Status: repealed
Authority G.S. 105-130.40(b1); 105-151.17(b1); Chapter 753, 1989 S.L.
Eff. March 1, 1991
Repealed Eff. July 1, 2012.

Subchapter K

04 NCAC 01K .0101 Program Purpose and Objective {#sec-04-ncac-01k-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0101}

The purposes and objectives of the North Carolina Community Development Block Grant program are set out in full in the North Carolina Administrative Codes Title 4, Subchapter l9L, as promulgated by the Division of Community Assistance of the Department of Commerce. While the Division of Community Assistance is the lead agency for the Community Development Block Grant Program, the Commerce Finance Center is responsible for the administration of activities conducted under the Economic Development section of that program. Economic Development projects and grant activities consist of projects which directly support the creation or retention of jobs, principally for persons of low and moderate family income (LMI) status. Sixty percent of jobs created shall be filled by persons with LMI status prior to being hired by the Employer, or who are documented as having LMI status at the time of project application in the case of retained jobs. If at any time during the grant period the percentage of jobs held by persons who qualified as LMI when hired drops below 51% of the jobs retained or created, the beneficiary or beneficiaries and the grantee shall be directly liable for repayment of the grant. All CDBG expenditures which directly assist participating private businesses must be provided as loan funds, and be repaid under terms established at the time the program funds are awarded to the local government grantee. Other program income, or a portion of other program income, such as connection fees, acreage development fees, or consideration received for the sale of public utilities to private concerns or regulated utilities shall be returned to the CDBG Economic Development Program and used to finance other such Economic Development projects.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489; 24 C.F.R. 570.494; 42 U.S.C.A. 5301
Temporary Rule Eff. July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Amended Eff. April 1, 1999
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0102 Definitions {#sec-04-ncac-01k-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0102}

The following definitions apply to the Community Development Block Grant program Rules .0102 through .0404.

(1) "Act" means Title I of the Housing and Community Development Act of 1974, P.L. 93-383, as amended.

(2) "Applicant" means a local government which makes application pursuant to the provisions of this Subchapter.

(3) "CDBG" means the State administered Community Development Block Grant Program.

(4) "Chief Elected Official" of a local government means either the elected mayor of a city or the chairman of a county board of commissioners.

(5) "Community Development Program" means the program of projects and activities to be carried out by the applicant with funds provided annually under this Subchapter and other resources.

(6) "HUD" means the U.S. Department of Housing and Urban Development.

(7) "Local Government" means any unit of general municipal or county government in the State.

(8) "Low-Income Families" means those with a family income of 50 percent or less of median-family income. For purposes of such terms, the area involved and median income shall be determined in the same manner as provided for under the Act.

(9) "Moderate-Income Families" means those with a family income greater than 50 percent and less than or equal to 80 percent of median-family income.

(10) "Low and Moderate Income Persons" means members of families whose incomes are within the income limits of low and moderate income families as defined in Paragraphs (h) and (i) of this Rule.

(11) "Metropolitan Area" means a standard metropolitan statistical area, as established by the U.S. Office of Management and Budget.

(12) "Metropolitan City" means a city as defined by Section 102(a)(4) of the Act.

(13) "Department" means the North Carolina Department of Commerce (DOC).

(14) "Project" means any eligible business as defined in Paragraph (o) of this Rule and which the Economic Development Grant sector of the CDBG Program may consider so long as the project business (or businesses) presents separate, identifiable opportunities to create or retain jobs, principally for low and moderate income people. Such jobs must be created within the grant period.

(15) The following definitions determine eligible business types for projects for which CDBG assistance is requested:

(a) All business types identified as eligible for New and Expanding Business tax incentives under the North Carolina William S. Lee Quality Jobs and Business Expansion Act (Article 3A of Chapter 105 G.S. 105, Article 3A), as amended; and

(b) Other project businesses that provide public benefit and can reasonably be interpreted as being eligible for CDBG assistance under Sections 105(a)(14) and 105(a)(17 of the Housing and Community Development Act of 1974, as amended. (Also see Rule .0105 of this Subchapter regarding projects not to be considered for funding in N. C.)

(16) "Utility Project" shall mean any water, sewer, electric or natural gas utility improvement needed to provide services to the economic development project. The applicant shall delineate which projects are to be owned and operated by a unit of government, which projects are to be owned by a unit of government and leased to an operating utility company, and which projects are to be owned and operated by a private utility company. If the project is for infrastructure which shall be leased to and maintained by a privately owned and regulated natural gas distributor, the application will state the terms of the lease between the unit of government and the private entity.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489
Temporary Adoption Effective July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0103 Eligible Applicants {#sec-04-ncac-01k-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0103}

(a) All counties except those designated by HUD as urban counties and all cities except those designated by HUD as entitlement cities or urban county cities may be applicants under this Economic Development Program.

(b) Eligibility to submit an application shall depend upon an applicant's satisfactory administrative performance with present or prior CDBG program projects. A letter of certification of eligibility from the Division of Community Assistance shall be evidence of eligibility.

History

Authority G.S. 143B-431; 42 U.S.C.A. 5301
Temporary Adoption Effective July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 29, 1992
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0104 Funding Limitations {#sec-04-ncac-01k-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0104}

Economic Development Grant awards are limited by:

(1) maximum dollar amounts for each unit of government determined by the amount of (HUD) money received in any one funding year; and

(2) the State-HUD approved program statement of operation for each respective CDBG program year. Those program and project maximums are specifically set out in the Grant Agreement between the state and HUD and in the official program statement issued by the State and approved by HUD.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489; 42 U.S.C.A. 5301
Temporary Adoption Eff. July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Amended Eff. April 1, 1999
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0105 Projects Not to Be Considered for Funding {#sec-04-ncac-01k-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0105}

(a) Projects that have evidence of prior major financial commitment by the local government applicant or the proposed project shall not be eligible for CDBG assistance. After an operator or beneficiary becomes economically committed to a project, it shall not be eligible for funding and the unit of government shall not be eligible to request any funding assistance to serve that project with utilities or CDBG loan assistance. "Economic commitment" is not a quantitative measure, but those types of prohibited situations shall include the following:

(1) when construction contracts have been signed;

(2) when equipment purchase orders for site specific installations have been issued;

(3) when true, simple options for the purchase of an existing facility are bound with deposits that are so large that the option constitutes a sales contract; or

(4) when conditions or contingencies in a contract of sale have all been met.

(b) Proposed projects that are specifically prohibited by current State and HUD rules due to lack of public benefit and potential failure to meet required program objectives shall not be eligible for CDBG assistance when the following occurs:

(1) provide general, non-specific promotion of a community as a whole;

(2) assist professional sports teams;

(3) assist privately-owned recreational facilities that would serve a predominantly higher-income clientele, where such recreational benefit clearly outweighs employment or other benefits to LMI persons;

(4) acquire land for which no specific purpose has yet been identified; or

(5) assist a for-profit business while that business or any other business owned by the same person, persons or entity is the subject of unresolved findings of non-compliance relating to present or previous CDBG assistance provided by the applicant.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489; 42 U.S.C.A. 5301
Temporary Adoption Eff. July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Amended Eff. July 1, 2012; April 1, 1999
Amended Eff. April 1, 1999
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0201 General {#sec-04-ncac-01k-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0201}

This Section provides the application procedures which shall be followed by applicants before the Secretary will make a final decision relative to project approval. The Secretary may request additional facts, details and informed or expert opinions on facts or conditions described in the application. Narratives and statements of fact will be attested as true and accurate by elected officials or by a company official or official objectives designees.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489; 42 U.S.C.A. 5301
Temporary Adoption Effective July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0202 pre-application conference {#sec-04-ncac-01k-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0202}

History

Status: repealed
Authority G.S. 143B-431; 24 C.F.R. 570.489; 24 C.F.R. 570.496
Temporary Adoption Eff. July 20, 1992 for a period of 180 days or until the Permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Amended Eff. April 1, 1999
Repealed Eff. July 1, 2012.

04 NCAC 01K .0203 Applications {#sec-04-ncac-01k-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0203}

Each Applicant that proceeds with a formal application shall take the following steps:

(1) the applicant may employ or designate an application preparer and service provider for its application. If applicable, federal procurement guidelines shall be followed. Documentation of compliance or non-applicability shall be provided to the Commerce Finance Center.

(2) The applicant may proceed with three critical areas of the application as follows:

(a) the environmental assessment, or the state clearing house review process;

(b) the determination of Davis-Bacon applicability and the pertinent wage decision; and

(3) All applications for CDBG funds shall include a disclosure report. Such report, in addition to requesting identifying information and the amount of funds requested, shall disclose whether or not, and the extent, to which interested parties have a financial interest in the application. Interested parties include developers, contractors, consultants, individuals, entities including units of government with a financial interest greater than fifty thousand dollars ($50,000) or 10 percent of the assistance requested, whichever is lower. Additionally, the report shall show any sources and uses of funds for the project which are not identified in the application's source and use of funds statement.

(4) The unit of government shall complete its application on forms developed by the Department and made available by the Commerce Finance Center.

(5) Any application which has incomplete factual data or lacks sufficient detail may be returned to the applicant with specific reasons for the return being stated in writing. Upon receipt of the requested information the Department's review of the application shall be completed.

(6) In the event that an application is received at a time when current year funding is no longer available (all funds have been allocated), the Department shall so advise the applicant of the funding status. By mutual agreement between the applicant and the Department, the application may be retained by the Department for final review of the application and the proposed project when CDBG program funds are available.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489; 42 U.S.C.A. 5301
Temporary Adoption Eff. July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Amended Eff. April 1, 1999
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0204 discretionary public hearing by the department {#sec-04-ncac-01k-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0204}

History

Status: repealed
Authority G.S. 143B-431; 42 U.S.C.A. 5301
Temporary Adoption Eff. July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 29, 1992
Amended Eff. April 1, 1999
Repealed Eff. July 1, 2012.

04 NCAC 01K .0205 Formal Application Procedures: Approval {#sec-04-ncac-01k-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0205}

(a) The Secretary shall prepare a Letter of Approval and Grant Offer setting forth all findings and grant conditions.

(b) The chief elected official who signed the original application shall be the addressee of the Letter of Approval and Grant Offer from the Secretary.

History

Authority G.S. 143B-431; 42 U.S.C.A. 5301
Temporary Adoption Eff. July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 29, 1992
mended Eff. April 1, 1999
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0206 Formal Application Procedures: Denial {#sec-04-ncac-01k-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0206}

(a) The Secretary shall indicate in writing the reasons for denial of an application.

(b) The Secretary shall indicate in writing that the unit of government may prepare a presentation, either written or oral which speaks factually to the unresolved issues. The Secretary or designee shall be present at the meeting to hear and discuss the issues with the unit of government. The unit of government shall persuade the Secretary that all the necessary findings should be made.

(c) Where the unit of government does persuade the Secretary, further procedures shall be as in Rule .0205 of this Section.

(d) Where the unit of government does not persuade the Secretary, the Secretary shall notify the unit of government the decision in writing, again specifying the reasons for denial.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489; 42 U.S.C.A. 5301
Temporary Adoption Eff. July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 29, 1992
Amended Eff. April 1, 1999
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0207 reimbursement of department expense {#sec-04-ncac-01k-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0207}

History

Status: repealed
Authority G.S. 143B-431; 24 C.F.R. 570-489
Eff. December 29, 1992
Repealed Eff. July 1, 2012.

04 NCAC 01K .0301 General {#sec-04-ncac-01k-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0301}

In order to approve a project it is necessary for the Secretary to find that:

(1) the project shall have a measurable beneficial and desirable impact on the community; and

(2) that the funding for the project is appropriate under state rules and federal rules and guidelines for the Community Development Block Grant programs.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489; 42 U.S.C.A. 5301
Temporary Adoption Eff. July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Amended Eff. April 1, 1999
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0302 Criteria for Making Necessary Findings {#sec-04-ncac-01k-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0302}

The Department shall determine criteria for making the approval findings, as follows:

(1) The Department shall determine that the project business is capable of completing its proposed project activities in a successful manner. Capable means that there is a business history, a financial condition, or other outstanding business qualifications which support the conclusion that the project business is capable of operating in a successful manner;

(2) The Department shall determine that the project is identifiable and free-standing, with its own measurable and significantly beneficial impact. Identifiable and free-standing means a project which can literally be separated out and specifically identified and determined as the project being discussed, and as such shall have its own measurable and significantly beneficial result at the project location;

(3) The Department shall determine that the project shall be completed. The provision of legally binding commitments from the grantee and the beneficiary employer or employers shall be sufficient evidence that the project is to be completed;

(4) The Department shall determine that there is a substantial benefit to persons of low and moderate income. Substantial benefit to persons of low and moderate income may be evidenced by employer commitments to assure that 60% of jobs created or saved shall be held by persons of prior low and moderate family income status;

(5) The Department shall determine that there is a favorable ratio or relationship between the jobs created and the number of CDBG dollars invested in the project. Favorable shall mean that a project will create or retain jobs at a rate equal to a ratio of CDBG dollars required for the type of project company involved, and the local government has committed to meet the local to CDBG match requirement as required by current program rules and for the project type proposed.

(6) The Department shall determine that there is a favorable relationship between the total dollars invested in the project, the amount of CDBG money invested, and the anticipated taxes or other revenues to either or both the municipality and county having taxing authority and jurisdiction.

(7) The Department shall determine for jobs to be created (or retained), the NC Enterprise Tier or Development Zone designation level of the project site shall be considered for each application, along with the latest unemployment figures and impact on the actual number of unemployed persons. To the extent feasible, priority consideration shall be given for CDBG assistance for projects in the most distressed areas of the state.

(8) The Department shall determine that required compliance with federal and state rules and legal requirements are documented by the grantee. The extent of documentation required shall be that as considered as reasonable by the Director of the Commerce Finance Center.

(9) The Department shall determine that if the project involves retail, service or other local market business, the application shall include surveys or other market studies as evidence that similar businesses in the 15-25 mile labor work force area support the project and that the project shall not jeopardize the jobs in their businesses; and

(10) The Department shall determine that the application presents evidence for a finding that the local government applicant, or the project business in the case of a loan project, has a reasonable and appropriate gap or need for the CDBG assistance requested.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489; 42 U.S.C.A. 5301
Temporary Adoption Effective July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 29, 1992
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0401 Grant Agreement and Funding Approval {#sec-04-ncac-01k-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0401}

When the Secretary approves the project, offer of the grant agreement and funding approval and all modifications shall accompany and be attached to the communication of project approval. When the grant agreement is received by the unit of government, it shall be signed and returned to the Department and shall be deemed to be effective.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489
Temporary Adoption Eff. July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Amended Eff. April 1, 1999
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0402 Method of Payment {#sec-04-ncac-01k-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0402}

Recipients shall receive payments based on requisitions submitted for immediate disbursing needs as approved by the Department. No funds shall be kept on deposit for more than three banking days by the local government grantee. If for any reason the grant costs for which funds were requisitioned cannot be paid as intended within three days, the local government finance officer shall return the unused funds to the Commerce Finance Center.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489; 42 U.S.C.A. 5304(g)
Temporary Adoption Effective July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Amended Eff. August 1, 2000
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0403 Method of Administration {#sec-04-ncac-01k-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0403}

Units of government may contract with authorized entities certain responsibilities affecting Economic Development projects and monitoring the compliance of beneficiaries with grant conditions. Such a delegation by contract will not absolve the unit from its responsibilities for compliance with state and federal guidelines or grant agreements.

History

Authority G.S. 143B-431; 24 C.F.R. 570.494
Temporary Adoption Effective July 20, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Eff. December 1, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0404 Monitoring and Grant Close Out {#sec-04-ncac-01k-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0404}

The Commerce Finance Center shall provide copies of the forms and documents needed to fulfill grant requirements in an annual performance report and in a final grant close out audit. Location visits and conferences with benefiting employers shall be conducted by the Commerce Finance Center. A minimum of one on-site visit for monitoring purposes by Commerce Finance Center staff is required before the active grant agreement between the State and the local government grantee can be closed.

History

Authority G.S. 143B-431; 24 C.F.R. 570.489
Eff. December 1, 1992
Amended Eff. April 1, 1999
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 01K .0405 Administrative Hearings {#sec-04-ncac-01k-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01K .0405}

(a) Recipients may contest departmental actions with respect to this Subchapter under the Contested Case Hearing Procedures set forth in G.S. 150B and 26 NCAC 3 - Office of Administrative Hearings, Hearings Division.

(b) The Department may also commence contested case hearing procedures against recipients pursuant to G.S. 150B and 26 NCAC 3 - Office of Administrative Hearings, Hearings Division.

History

Authority G.S. 143B-431
Eff. December 1, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Subchapter L

04 NCAC 01L .0101 Scope {#sec-04-ncac-01l-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01L .0101}

History

Status: expired
Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 18, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010
The Department of Commerce and the Department of Crime Control & Public Safety consider this rule to be extended and currently in effect pursuant to Session Law 1999-463 Extra Session House Bill 2, Session Law 2005-1, Executive Order 8 dated July 6, 2001 and Executive Order 75 dated June 10, 2005
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01L .0102 Eligibility {#sec-04-ncac-01l-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01L .0102}

History

Status: expired
Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 18, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010
The Department of Commerce and the Department of Crime Control & Public Safety consider this rule to be extended and currently in effect pursuant to Session Law 1999-463 Extra Session House Bill 2, Session Law 2005-1, Executive Order 8 dated July 6, 2001 and Executive Order 75 dated June 10, 2005
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01L .0103 Benefits {#sec-04-ncac-01l-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01L .0103}

History

Status: expired
Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 18, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010
The Department of Commerce and the Department of Crime Control & Public Safety consider this rule to be extended and currently in effect pursuant to Session Law 1999-463 Extra Session House Bill 2, Session Law 2005-1, Executive Order 8 dated July 6, 2001 and Executive Order 75 dated June 10, 2005
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01L .0104 Procedures for Homeowners {#sec-04-ncac-01l-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01L .0104}

History

Status: expired
Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 18, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010
The Department of Commerce and the Department of Crime Control & Public Safety consider this rule to be extended and currently in effect pursuant to Session Law 1999-463 Extra Session House Bill 2, Session Law 2005-1, Executive Order 8 dated July 6, 2001 and Executive Order 75 dated June 10, 2005
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01L .0105 Procedures for Counties {#sec-04-ncac-01l-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01L .0105}

History

Status: expired
Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 18, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010
The Department of Commerce and the Department of Crime Control & Public Safety consider this rule to be extended and currently in effect pursuant to Session Law 1999-463 Extra Session House Bill 2, Session Law 2005-1, Executive Order 8 dated July 6, 2001 and Executive Order 75 dated June 10, 2005
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01L .0106 Appeal {#sec-04-ncac-01l-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01L .0106}

History

Status: expired
Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 18, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010
The Department of Commerce and the Department of Crime Control & Public Safety consider this rule to be extended and currently in effect pursuant to Session Law 1999-463 Extra Session House Bill 2, Session Law 2005-1, Executive Order 8 dated July 6, 2001 and Executive Order 75 dated June 10, 2005
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

Subchapter M

04 NCAC 01M .0101 Scope {#sec-04-ncac-01m-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01M .0101}

History

Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 1, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010.

04 NCAC 01M .0102 Eligibility {#sec-04-ncac-01m-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01M .0102}

History

Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 1, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010.

04 NCAC 01M .0103 Benefits Under the Interest Rebate Program {#sec-04-ncac-01m-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01M .0103}

History

Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 1, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010.

04 NCAC 01M .0104 Benefits Under Nc Reade {#sec-04-ncac-01m-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01M .0104}

History

Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 1, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010.

04 NCAC 01M .0105 Procedures for Interest Rebate for Sba Borrowers {#sec-04-ncac-01m-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01M .0105}

History

Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 1, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010.

04 NCAC 01M .0106 Procedures for Nc Reade {#sec-04-ncac-01m-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01M .0106}

History

Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 1, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010.

04 NCAC 01M .0107 Appeal {#sec-04-ncac-01m-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01M .0107}

History

Authority G.S. 150B-21.1; S.L. 1999-463
Temporary Adoption Eff. February 1, 2000 to expire on January 1, 2003
Codifier approved request on December 30, 2002 to extend expiration until January 1, 2005
Codifier approved request on December 30, 2004 to extend expiration until January 1, 2010.

Subchapter N

04 NCAC 01N .0101 Scope {#sec-04-ncac-01n-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01N .0101}

History

Status: expired
Authority G.S. 143B-430(c); 143B-431(a)(1); S.L. 2005-1
Emergency Adoption Eff. April 25, 2005
Temporary Adoption Eff. July 29, 2005
Eff. January 1, 2006
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01N .0102 Eligibility {#sec-04-ncac-01n-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01N .0102}

History

Status: expired
Authority G.S. 143B-430(c); 143B-431(a)(1); S.L. 2005-1
Emergency Adoption Eff. April 25, 2005
Temporary Adoption Eff. July 29, 2005
Eff. January 1, 2006
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01N .0103 Benefits Under the Interest Rebate Program {#sec-04-ncac-01n-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01N .0103}

History

Status: expired
Authority G.S. 143B-430(c); 143B-431(a)(1); S.L. 2005-1
Emergency Adoption Eff. April 25, 2005
Temporary Adoption Eff. July 29, 2005
Eff. January 1, 2006
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01N .0104 BENEFITS UNDER The Business REcovery Loan Program {#sec-04-ncac-01n-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01N .0104}

History

Status: expired
Authority G.S. 143B-430(c); 143B-431(a)(1); S.L. 2005-1
Emergency Adoption Eff. April 25, 2005
Temporary Adoption Eff. July 29, 2005
Eff. January 1, 2006
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01N .0105 Procedures for Interest Rebate for Sba Borrowers {#sec-04-ncac-01n-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01N .0105}

History

Status: expired
Authority G.S. 143B-430(c); 143B-431(a)(1); S.L. 2005-1
Emergency Adoption Eff. April 25, 2005
Temporary Adoption Eff. July 29, 2005
Eff. January 1, 2006
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01N .0106 PROCEDURES FOR The Business Recovery Loan Program {#sec-04-ncac-01n-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01N .0106}

History

Status: expired
Authority G.S. 143B-430(c); 143B-431(a)(1); S.L. 2005-1
Emergency Adoption Eff. April 25, 2005
Temporary Adoption Eff. July 29, 2005
Eff. January 1, 2006
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

04 NCAC 01N .0107 Appeal {#sec-04-ncac-01n-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 01N .0107}

History

Status: expired
Authority G.S. 143B-430(c); 143B-431(a)(1); S.L. 2005-1
Emergency Adoption Eff. April 25, 2005
Temporary Adoption Eff. July 29, 2005
Eff. January 1, 2006
Expired Eff. October 1, 2016 pursuant to G.S. 150B-21.3A.

Chapter 02 Alcoholic Beverage Control Commission

Subchapter A

04 NCAC 02A .0101 Purpose {#sec-04-ncac-02a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02A .0101}

History

Status: repealed
Authority G.S. 18A-1; 18A-2; 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02A .0102 Location and Address {#sec-04-ncac-02a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02A .0102}

History

Status: repealed
Authority G.S. 18A-1; 18A-2; 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02A .0103 Definitions {#sec-04-ncac-02a-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02A .0103}

History

Status: repealed
Authority G.S. 18A-1; 18A-2; 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02A .0201 Board {#sec-04-ncac-02a-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02A .0201}

History

Status: repealed
Authority G.S. 18A-14; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02A .0202 Board Meetings {#sec-04-ncac-02a-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02A .0202}

History

Status: repealed
Authority G.S. 18A-14; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02A .0203 Divisions {#sec-04-ncac-02a-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02A .0203}

History

Status: repealed
Authority G.S. 18A-14; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02A .0204 Administrative Division: Functions {#sec-04-ncac-02a-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02A .0204}

History

Status: repealed
Authority G.S. 18A-14; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02A .0205 Enforcement Division: Functions {#sec-04-ncac-02a-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02A .0205}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-19; 18A-21; 18A-22; 18A-24
Eff. February 1, 1976
Repealed Eff. November 1, 1977.

04 NCAC 02A .0206 Hearings Division: Functions {#sec-04-ncac-02a-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02A .0206}

History

Status: repealed
Authority G.S. 18A-14; 18A-15(14); 18A-44
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

Subchapter B

04 NCAC 02B .0101 Distribution of Regulations {#sec-04-ncac-02b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0101}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11; 150B-62
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0102 Public Inspection of Regulations and Records {#sec-04-ncac-02b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0102}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11; 150B-62
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0201 General Provisions {#sec-04-ncac-02b-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0201}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-12; 150B-16
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0202 Petition for Adoption of Rules {#sec-04-ncac-02b-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0202}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-12; 150B-16
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0203 Administrative Action {#sec-04-ncac-02b-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0203}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-12; 150B-16
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0204 Notice of Rule-Making Hearing {#sec-04-ncac-02b-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0204}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-12; 150B-16
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0205 Rule-Making Hearing {#sec-04-ncac-02b-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0205}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-12; 150B-16
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0301 Adoption of Permanent Regulation {#sec-04-ncac-02b-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0301}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-54; 14-288.1 through 14-288.19
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0302 Revocation or Suspension of Permit {#sec-04-ncac-02b-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0302}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-54; 14-288.1 through 14-288.19
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0401 Definition {#sec-04-ncac-02b-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0401}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0402 Issuance: Grounds {#sec-04-ncac-02b-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0402}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0403 Request for Declaratory Ruling: Validity of Regulation {#sec-04-ncac-02b-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0403}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0404 Grounds for Denial of Ruling on Validity {#sec-04-ncac-02b-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0404}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0405 Request for Declaratory Ruling: Specific Fact Situations {#sec-04-ncac-02b-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0405}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0406 Grounds for Denial: Pending Controversy {#sec-04-ncac-02b-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0406}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0407 Withdrawal of Request for Declaratory Ruling {#sec-04-ncac-02b-.0407 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0407}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0408 Notice of Denial of Request {#sec-04-ncac-02b-.0408 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0408}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0409 Issuance of Ruling {#sec-04-ncac-02b-.0409 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0409}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0410 Effect of Declaratory Ruling {#sec-04-ncac-02b-.0410 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0410}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0411 Alteration of Declaratory Ruling {#sec-04-ncac-02b-.0411 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0411}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0412 Judicial Review of Declaratory Rulings {#sec-04-ncac-02b-.0412 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0412}

History

Status: repealed
Authority G.S. 18A-15(14); 150B-11(1); 150B-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0501 Standards for State Board and Employees {#sec-04-ncac-02b-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0501}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-16; 126-13; 126-14; 126-34; 126-35
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0502 Political Activity {#sec-04-ncac-02b-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0502}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-16; 126-13; 126-14; 126-34; 126-35
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0503 Background Investigation of Applicant {#sec-04-ncac-02b-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0503}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-16; 126-13; 126-14; 126-34; 126-35
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0504 Tenure of Employment {#sec-04-ncac-02b-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0504}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-16; 126-13; 126-14; 126-34; 126-35
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0505 Dismissal of Employee {#sec-04-ncac-02b-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0505}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-16; 126-13; 126-14; 126-34; 126-35
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0506 Resolution of Complaints: General Policy {#sec-04-ncac-02b-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0506}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-16; 126-13; 126-14; 126-34; 126-35
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0507 Grievance Procedure {#sec-04-ncac-02b-.0507 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0507}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-16; 126-13; 126-14; 126-34; 126-35
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .0801 Definitions {#sec-04-ncac-02b-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0801}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0802 Notice of Proposed Board Action {#sec-04-ncac-02b-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0802}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0803 Denial of Application for Permit: Hearing {#sec-04-ncac-02b-.0803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0803}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0804 Suspension or Revocation: Official Notice of Hearing {#sec-04-ncac-02b-.0804 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0804}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0805 Service of Notice {#sec-04-ncac-02b-.0805 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0805}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0806 Subpoenas {#sec-04-ncac-02b-.0806 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0806}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0807 Challenge of Subpoena {#sec-04-ncac-02b-.0807 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0807}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0808 Challenge of Subpoena: Hearing {#sec-04-ncac-02b-.0808 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0808}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0809 Venue of Hearings {#sec-04-ncac-02b-.0809 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0809}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0810 Pre-Hearing Conference {#sec-04-ncac-02b-.0810 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0810}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0811 Intervention {#sec-04-ncac-02b-.0811 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0811}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0812 Discovery {#sec-04-ncac-02b-.0812 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0812}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0813 Depositions {#sec-04-ncac-02b-.0813 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0813}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0814 Filing and Form of Briefs: Motions: Documents {#sec-04-ncac-02b-.0814 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0814}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0815 Continuances {#sec-04-ncac-02b-.0815 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0815}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0816 Disqualification of Hearing Officer {#sec-04-ncac-02b-.0816 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0816}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0817 Availability of Hearing Officer {#sec-04-ncac-02b-.0817 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0817}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0818 Hearing Procedure {#sec-04-ncac-02b-.0818 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0818}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0819 Findings: Conclusions: Recommendations of Hearing Officer {#sec-04-ncac-02b-.0819 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0819}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0820 Final Administrative Decision {#sec-04-ncac-02b-.0820 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0820}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-44.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0901 Definitions {#sec-04-ncac-02b-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0901}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0902 Newspapers: Magazines {#sec-04-ncac-02b-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0902}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0903 Radio: Television {#sec-04-ncac-02b-.0903 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0903}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0904 General Provisions {#sec-04-ncac-02b-.0904 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0904}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0905 Prohibited Statements {#sec-04-ncac-02b-.0905 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0905}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0906 General Prohibitions {#sec-04-ncac-02b-.0906 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0906}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0907 Point-of-Sale Advertising {#sec-04-ncac-02b-.0907 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0907}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0908 Outdoor Advertising {#sec-04-ncac-02b-.0908 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0908}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0909 Retailer Advertising Specialty Items {#sec-04-ncac-02b-.0909 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0909}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0910 Novelties Utilizing Trademarks/Names: Other Materials {#sec-04-ncac-02b-.0910 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0910}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0911 Bottle Neck Hangers {#sec-04-ncac-02b-.0911 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0911}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0912 Advertising by Mail {#sec-04-ncac-02b-.0912 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0912}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0913 Window Displays {#sec-04-ncac-02b-.0913 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0913}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0914 Recipes and Booklets {#sec-04-ncac-02b-.0914 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0914}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0915 Promotions {#sec-04-ncac-02b-.0915 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0915}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0916 Advertising Within Transportation Terminals {#sec-04-ncac-02b-.0916 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0916}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0917 Revocation or Suspension of Permits {#sec-04-ncac-02b-.0917 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0917}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. August 1, 1980; January 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02B .0918 Aerial Displays {#sec-04-ncac-02b-.0918 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .0918}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. August 1, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02B .1001 Permits Issued by Board {#sec-04-ncac-02b-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .1001}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-28; 18A-29; 18A-31; 18A-31.1; 18A-37; 18A-38
18A-39; 18A-41
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .1002 Information Required on Application {#sec-04-ncac-02b-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .1002}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-28; 18A-29; 18A-31; 18A-31.1; 18A-37; 18A-38
18A-39; 18A-41
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02B .1101 Application for Fuel Alcohol Permit: Operation {#sec-04-ncac-02b-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .1101}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-19; 18A-20; 18A-67; 18A-69
Eff. October 15, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02B .1102 Change of Plant Location {#sec-04-ncac-02b-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .1102}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-19; 18A-20; 18A-67; 18A-69
Eff. October 15, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02B .1103 Inspection of Premises: Availability of Permit {#sec-04-ncac-02b-.1103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02B .1103}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-19; 18A-20; 18A-67; 18A-69
Eff. October 15, 1980
Repealed Eff. January 1, 1982.

Subchapter C

04 NCAC 02C .0101 General Provisions {#sec-04-ncac-02c-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0101}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-16(a); 18A-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0102 Local Control Units Exempt from Bond {#sec-04-ncac-02c-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0102}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-16(a); 18A-17
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0201 Standards for Local Abc Board Members and Employees {#sec-04-ncac-02c-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0201}

History

Status: repealed
Authority G.S. 14-234; 18A-15(4), (9), (14); 18A-16(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0202 Use of Abc Property {#sec-04-ncac-02c-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0202}

History

Status: repealed
Authority G.S. 14-234; 18A-15(4), (9), (14); 18A-16(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0203 Consumption of Intoxicating Liquor by Employee {#sec-04-ncac-02c-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0203}

History

Status: repealed
Authority G.S. 14-234; 18A-15(4), (9), (14); 18A-16(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0204 Employment Age Requirements {#sec-04-ncac-02c-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0204}

History

Status: repealed
Authority G.S. 14-234; 18A-15(4), (9), (14); 18A-16(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0205 Warehouse: Presence of Unauthorized Person Prohibited {#sec-04-ncac-02c-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0205}

History

Status: repealed
Authority G.S. 14-234; 18A-15(4), (9), (14); 18A-16(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0206 Removal of Local Board Members {#sec-04-ncac-02c-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0206}

History

Status: repealed
Authority G.S. 14-234; 18A-15(4), (9), (14); 18A-16(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0207 Employment and Discharge of Personnel {#sec-04-ncac-02c-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0207}

History

Status: repealed
Authority G.S. 14-234; 18A-15(4), (9), (14); 18A-16(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0208 Conflicts of Interest {#sec-04-ncac-02c-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0208}

History

Status: repealed
Authority G.S. 14-234; 18A-15(4), (9), (14); 18A-16(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0301 Common Interest {#sec-04-ncac-02c-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0301}

History

Status: repealed
Authority G.S. 18A-15(7), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0302 Local Regulations {#sec-04-ncac-02c-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0302}

History

Status: repealed
Authority G.S. 18A-15(7), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0303 Audits to Be Forwarded to State Board {#sec-04-ncac-02c-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0303}

History

Status: repealed
Authority G.S. 18A-15(7), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0304 Cost of Audit {#sec-04-ncac-02c-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0304}

History

Status: repealed
Authority G.S. 18A-15(7), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0401 State Board Prohibited from Entertaining Complaint {#sec-04-ncac-02c-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0401}

History

Status: repealed
Authority G.S. 18A-15(10), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0402 State Board to Consider Objections {#sec-04-ncac-02c-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0402}

History

Status: repealed
Authority G.S. 18A-15(10), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0403 Approval of New Stores {#sec-04-ncac-02c-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0403}

History

Status: repealed
Authority G.S. 18A-15(10), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0404 New Stores Prohibited in Certain Areas {#sec-04-ncac-02c-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0404}

History

Status: repealed
Authority G.S. 18A-15(10), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0405 Closing of Store {#sec-04-ncac-02c-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0405}

History

Status: repealed
Authority G.S. 18A-15(10), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02C .0501 Permit Required {#sec-04-ncac-02c-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0501}

History

Status: repealed
Authority G.S. 18A-15(13), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02C .0502 Inspection Upon Application {#sec-04-ncac-02c-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0502}

History

Status: repealed
Authority G.S. 18A-15(13), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02C .0503 Requirements for Storage {#sec-04-ncac-02c-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0503}

History

Status: repealed
Authority G.S. 18A-15(13), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02C .0504 Prohibited Practices {#sec-04-ncac-02c-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0504}

History

Status: repealed
Authority G.S. 18A-15(13), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02C .0505 Inspection of Premises and Records {#sec-04-ncac-02c-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0505}

History

Status: repealed
Authority G.S. 18A-15(13), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02C .0506 Suspension of Permit {#sec-04-ncac-02c-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02C .0506}

History

Status: repealed
Authority G.S. 18A-15(13), (14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980
Repealed Eff. January 1, 1982.

Subchapter D

04 NCAC 02D .0101 Regulation of Spirituous Liquors {#sec-04-ncac-02d-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0101}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02D .0102 Definitions {#sec-04-ncac-02d-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0102}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02D .0201 Purchase Limited to Approved Brands {#sec-04-ncac-02d-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0201}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0202 Permit Required to Sell Alcoholic Beverages {#sec-04-ncac-02d-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0202}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0203 Direct Orders by Local Board {#sec-04-ncac-02d-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0203}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0204 Special Orders {#sec-04-ncac-02d-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0204}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0205 Commemorative Bottles {#sec-04-ncac-02d-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0205}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0206 Records Required {#sec-04-ncac-02d-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0206}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0207 State Board to Approve Deliveries {#sec-04-ncac-02d-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0207}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0208 Shipments by Common Carrier {#sec-04-ncac-02d-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0208}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0209 Extra Shipments {#sec-04-ncac-02d-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0209}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0210 Shortages: Overages and Breakage in Shipments {#sec-04-ncac-02d-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0210}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0301 Requirements: Authorization to Do Business {#sec-04-ncac-02d-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0301}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-55
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0302 Requirements: Brands to Be Approved and Listed: Warranty {#sec-04-ncac-02d-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0302}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-55
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0303 Vendor Representatives: Permit {#sec-04-ncac-02d-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0303}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-55
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0304 Vendor Representatives: Prohibited Acts {#sec-04-ncac-02d-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0304}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-55
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0305 Revocation or Suspension of Permits {#sec-04-ncac-02d-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0305}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-55
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0401 Permit and Bond Required {#sec-04-ncac-02d-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0401}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02D .0402 Commercial Transportation Permit: Procedures {#sec-04-ncac-02d-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0402}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02D .0403 Transportation from State Abc Warehouse {#sec-04-ncac-02d-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0403}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02D .0404 Requirements for Common Carrier Shipments {#sec-04-ncac-02d-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0404}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02D .0405 Direct Shipments {#sec-04-ncac-02d-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0405}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02D .0501 Price Increases {#sec-04-ncac-02d-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0501}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0502 Markup Formula {#sec-04-ncac-02d-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0502}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0601 Removal of Beverages from Abc Stores {#sec-04-ncac-02d-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0601}

History

Status: repealed
Authority G.S. 18A-15(3); 18A-15(14); 18A-15(17); 18A-28; 18A-29.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980; November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0602 Approved Brands: Prices {#sec-04-ncac-02d-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0602}

History

Status: repealed
Authority G.S. 18A-15(3); 18A-15(14); 18A-15(17); 18A-28; 18A-29.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980; November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0603 Stores: Display: State List {#sec-04-ncac-02d-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0603}

History

Status: repealed
Authority G.S. 18A-15(3); 18A-15(14); 18A-15(17); 18A-28; 18A-29.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980; November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0604 Sale of Wine {#sec-04-ncac-02d-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0604}

History

Status: repealed
Authority G.S. 18A-15(3); 18A-15(14); 18A-15(17); 18A-28; 18A-29.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980; November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0605 Hours of Sale {#sec-04-ncac-02d-.0605 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0605}

History

Status: repealed
Authority G.S. 18A-15(3); 18A-15(14); 18A-15(17); 18A-28; 18A-29.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980; November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0606 Sale to Persons Under 21 Prohibited {#sec-04-ncac-02d-.0606 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0606}

History

Status: repealed
Authority G.S. 18A-15(3); 18A-15(14); 18A-15(17); 18A-28; 18A-29.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980; November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0607 Sale to Intoxicated Persons Prohibited {#sec-04-ncac-02d-.0607 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0607}

History

Status: repealed
Authority G.S. 18A-15(3); 18A-15(14); 18A-15(17); 18A-28; 18A-29.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980; November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0608 Customer Service {#sec-04-ncac-02d-.0608 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0608}

History

Status: repealed
Authority G.S. 18A-15(3); 18A-15(14); 18A-15(17); 18A-28; 18A-29.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980; November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0609 Sales Recommendations Prohibited {#sec-04-ncac-02d-.0609 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0609}

History

Status: repealed
Authority G.S. 18A-15(3); 18A-15(14); 18A-15(17); 18A-28; 18A-29.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980; November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02D .0610 Sale of More Than Four Liters Prohibited {#sec-04-ncac-02d-.0610 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02D .0610}

History

Status: repealed
Authority G.S. 18A-15(3); 18A-15(14); 18A-15(17); 18A-28; 18A-29.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. October 15, 1980; November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

Subchapter E

04 NCAC 02E .0101 General Requirements {#sec-04-ncac-02e-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0101}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-38(c),(d)(1); 18A-39
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 5, 1980; February 27, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02E .0102 Definitions {#sec-04-ncac-02e-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0102}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-38(c),(d)(1); 18A-39
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 5, 1980; February 27, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02E .0103 On-Premise Permits {#sec-04-ncac-02e-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0103}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-38(c),(d)(1); 18A-39
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 5, 1980; February 27, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02E .0104 Off-Premise Permits {#sec-04-ncac-02e-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0104}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-38(c),(d)(1); 18A-39
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 5, 1980; February 27, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02E .0105 Temporary Permits {#sec-04-ncac-02e-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0105}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-38(c),(d)(1); 18A-39
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 5, 1980; February 27, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02E .0106 Permanent Permit {#sec-04-ncac-02e-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0106}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-38(c),(d)(1); 18A-39
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 5, 1980; February 27, 1980
Repealed Eff. January 1, 1982.

04 NCAC 02E .0201 Hours for Sale: Clearing Tables: Removal from Premises {#sec-04-ncac-02e-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0201}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0202 Hours for Consumption {#sec-04-ncac-02e-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0202}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0203 Sales to and Consumption by Minors Prohibited {#sec-04-ncac-02e-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0203}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0204 Employee Age Requirements {#sec-04-ncac-02e-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0204}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0205 Supervision of Premises by Minor Prohibited {#sec-04-ncac-02e-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0205}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0206 Intoxicated Persons {#sec-04-ncac-02e-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0206}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0207 Gambling: Gambling Devices Prohibited {#sec-04-ncac-02e-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0207}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0208 Sales: Consumption During Unauthorized Hours Prohibited {#sec-04-ncac-02e-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0208}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0209 Consumption: Intoxication by Permittee Prohibited {#sec-04-ncac-02e-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0209}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0210 Use of Profanity Prohibited {#sec-04-ncac-02e-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0210}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0211 Disorderly Conduct Prohibited {#sec-04-ncac-02e-.0211 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0211}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0212 Possession or Consumption of Intoxicating Liquors {#sec-04-ncac-02e-.0212 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0212}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0213 Employment of Unsuitable Person {#sec-04-ncac-02e-.0213 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0213}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0214 Cooperation with Law Enforcement Officers {#sec-04-ncac-02e-.0214 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0214}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0215 Illegal Use of Permits {#sec-04-ncac-02e-.0215 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0215}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0216 Supervision of Premises {#sec-04-ncac-02e-.0216 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0216}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0217 Entertainers and Conduct {#sec-04-ncac-02e-.0217 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0217}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0218 Visual Displays {#sec-04-ncac-02e-.0218 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0218}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0219 Coin Vending Machines to Dispense Beer Prohibited {#sec-04-ncac-02e-.0219 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0219}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0220 Maximum Quantity Allowed to Be Sold {#sec-04-ncac-02e-.0220 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0220}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0221 Permittees Prohibited from Accepting Food Coupons {#sec-04-ncac-02e-.0221 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0221}

History

Status: repealed
Authority G.S. 18A-3; 18A-15(14); 18A-33; 18A-34(a)(3),(4); 18A-43
14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0222 Trade Name Signs {#sec-04-ncac-02e-.0222 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0222}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02E .0301 Retailer Dealing with Wholesaler: Bottler: Etc. {#sec-04-ncac-02e-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0301}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14); 18A-43; 18A-44(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0302 Monthly Sales Tickets: Records of Receipt {#sec-04-ncac-02e-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0302}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14); 18A-43; 18A-44(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0303 Display of Beverages with Food {#sec-04-ncac-02e-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0303}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14); 18A-43; 18A-44(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0304 Brand Name Required on Draught Beer {#sec-04-ncac-02e-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0304}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14); 18A-43; 18A-44(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0305 Retail Sales at Public Places Restricted {#sec-04-ncac-02e-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0305}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14); 18A-43; 18A-44(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0306 Fill or Refill of Original Container Prohibited {#sec-04-ncac-02e-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0306}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14); 18A-43; 18A-44(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0307 Revocation or Suspension of Permits {#sec-04-ncac-02e-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0307}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14); 18A-43; 18A-44(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0308 Revocation of Permit Held by Husband or Wife {#sec-04-ncac-02e-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0308}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14); 18A-43; 18A-44(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0309 Prohibited Activity During Period of Suspension {#sec-04-ncac-02e-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0309}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14); 18A-43; 18A-44(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0310 Placing Beer Within Store {#sec-04-ncac-02e-.0310 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0310}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14); 18A-43; 18A-44(b)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02E .0311 Draught Sales {#sec-04-ncac-02e-.0311 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0311}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02E .0312 Return of Military Items {#sec-04-ncac-02e-.0312 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0312}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02E .0313 Platform Sales {#sec-04-ncac-02e-.0313 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0313}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02E .0314 Consignment Sales {#sec-04-ncac-02e-.0314 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02E .0314}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-49
Eff. March 15, 1978
Repealed Eff. January 1, 1982.

Subchapter F

04 NCAC 02F .0101 Definitions {#sec-04-ncac-02f-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0101}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-42; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02F .0102 General Requirements {#sec-04-ncac-02f-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0102}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-42; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02F .0103 Suspension of Wholesaler's Permit {#sec-04-ncac-02f-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0103}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-42; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02F .0104 Permit Restriction {#sec-04-ncac-02f-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0104}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-42; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02F .0201 Analysis: Approval and Listing of Malt Beverages {#sec-04-ncac-02f-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0201}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-48; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0202 Procedure for Listing Malt Beverages {#sec-04-ncac-02f-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0202}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-48; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0203 Approved Label Required on All Malt Beverages {#sec-04-ncac-02f-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0203}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-48; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0204 Publication of Malt Beverage List {#sec-04-ncac-02f-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0204}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-48; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0205 Contracts {#sec-04-ncac-02f-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0205}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-48; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0206 Change of Wholesalers {#sec-04-ncac-02f-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0206}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-48; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0207 Gifts Prohibited {#sec-04-ncac-02f-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0207}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-48; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0208 Allowances for Damage {#sec-04-ncac-02f-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0208}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-48; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0209 Fill or Refill of Original Container {#sec-04-ncac-02f-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0209}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-48; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0210 Adulteration of Malt Beverages Prohibited {#sec-04-ncac-02f-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0210}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-48; 18A-49
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0301 Sales Only to Bona Fide Retailers or Wholesalers {#sec-04-ncac-02f-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0301}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0302 Draught Sales {#sec-04-ncac-02f-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0302}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0303 Draught Equipment Sales: Terms of Sale {#sec-04-ncac-02f-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0303}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0304 Holding of Checks Prohibited {#sec-04-ncac-02f-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0304}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0305 Sales Tickets to Be Retained {#sec-04-ncac-02f-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0305}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0306 Collection of Amount of Sale {#sec-04-ncac-02f-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0306}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0307 Platform Sales {#sec-04-ncac-02f-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0307}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02F .0401 Restricted Hours on Sundays {#sec-04-ncac-02f-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0401}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-41(b)
Eff. February 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0402 Removal or Disturbance of Other Brands Prohibited {#sec-04-ncac-02f-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0402}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-41(b)
Eff. February 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0403 Shipments to Military Reservations {#sec-04-ncac-02f-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0403}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-41(b)
Eff. February 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0404 Deliveries for Military Reservations {#sec-04-ncac-02f-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0404}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-41(b)
Eff. February 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0501 Exclusive Outlets {#sec-04-ncac-02f-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0501}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-49:
Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0502 Inducements (tied House) {#sec-04-ncac-02f-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0502}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-49:
Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0503 Commercial Bribery {#sec-04-ncac-02f-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0503}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-49:
Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02F .0504 Consignment Sales: Conditional Sales {#sec-04-ncac-02f-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02F .0504}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-49:
Eff. March 15, 1978
Repealed Eff. January 1, 1982.

Subchapter G

04 NCAC 02G .0101 Minimum Standards {#sec-04-ncac-02g-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0101}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2); 18A-31; 18A-43(a)
Eff. November 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0102 Local Ordinances {#sec-04-ncac-02g-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0102}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2); 18A-31; 18A-43(a)
Eff. November 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0103 Application for Permits {#sec-04-ncac-02g-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0103}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2); 18A-31; 18A-43(a)
Eff. November 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0104 Burden on Permittee to Comply with Regulations {#sec-04-ncac-02g-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0104}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2); 18A-31; 18A-43(a)
Eff. November 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0105 Consumption of Liquors During Period of Suspension {#sec-04-ncac-02g-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0105}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2); 18A-31; 18A-43(a)
Eff. November 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0106 Definition {#sec-04-ncac-02g-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0106}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2); 18A-31; 18A-43(a)
Eff. November 1, 1976
Amended Eff. February 1, 1977
Readopted Eff. November 1, 1977
Amended Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0107 Trade Name Signs {#sec-04-ncac-02g-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0107}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02G .0108 Living Quarters Prohibited {#sec-04-ncac-02g-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0108}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02G .0201 Possession of Intoxicating Liquors {#sec-04-ncac-02g-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0201}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0202 Storage of Intoxicating Liquors {#sec-04-ncac-02g-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0202}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0203 Hours of Operation: Clearing Counters and Tables {#sec-04-ncac-02g-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0203}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0204 Minors: Age Requirements {#sec-04-ncac-02g-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0204}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0205 Intoxicated Persons: Disorderly Conduct {#sec-04-ncac-02g-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0205}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0206 Gambling: Gambling Devices Prohibited {#sec-04-ncac-02g-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0206}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0207 Consumption: Intoxication by Permittee Prohibited {#sec-04-ncac-02g-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0207}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0208 Use of Profanity Prohibited {#sec-04-ncac-02g-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0208}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0209 Possession of Intoxicating Liquors {#sec-04-ncac-02g-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0209}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0210 Sales of Intoxicating Liquors {#sec-04-ncac-02g-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0210}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0211 Employment of Unsuitable Person {#sec-04-ncac-02g-.0211 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0211}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0212 Cooperation with Law Enforcement Officers {#sec-04-ncac-02g-.0212 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0212}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0213 Entertainers and Conduct {#sec-04-ncac-02g-.0213 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0213}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0214 Visual Displays {#sec-04-ncac-02g-.0214 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0214}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02G .0215 Illegal Use of Permits {#sec-04-ncac-02g-.0215 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02G .0215}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-27(a); 18A-30(2),(6); 18A-35.1; 18A-43
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

Subchapter H

04 NCAC 02H .0101 Definitions: General Requirements {#sec-04-ncac-02h-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0101}

History

Status: repealed
Authority G.S. 18A-13; 18A-15(14); 18A-30(4); 18A-31; 18A-43(a)
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. May 1, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02H .0102 Local Ordinances {#sec-04-ncac-02h-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0102}

History

Status: repealed
Authority G.S. 18A-13; 18A-15(14); 18A-30(4); 18A-31; 18A-43(a)
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. May 1, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02H .0103 Application for Permits {#sec-04-ncac-02h-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0103}

History

Status: repealed
Authority G.S. 18A-13; 18A-15(14); 18A-30(4); 18A-31; 18A-43(a)
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. May 1, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02H .0104 Burden on Permittee to Comply with Regulations {#sec-04-ncac-02h-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0104}

History

Status: repealed
Authority G.S. 18A-13; 18A-15(14); 18A-30(4); 18A-31; 18A-43(a)
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. May 1, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02H .0105 Trade Name Signs {#sec-04-ncac-02h-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0105}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02H .0106 Living Quarters Prohibited {#sec-04-ncac-02h-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0106}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02H .0107 Financial Statements and Record Keeping {#sec-04-ncac-02h-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0107}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4)
Eff. May 1, 1979
Repealed Eff. November 15, 1979.

04 NCAC 02H .0201 Display of Beverages {#sec-04-ncac-02h-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0201}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0202 Mixing of Alcoholic Beverages: Sale of Set-Ups {#sec-04-ncac-02h-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0202}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0203 Control of Alcoholic Beverages {#sec-04-ncac-02h-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0203}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0204 Hours of Operation {#sec-04-ncac-02h-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0204}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0205 Minors: Age Requirements {#sec-04-ncac-02h-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0205}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0206 Intoxicated Persons: Disorderly Conduct {#sec-04-ncac-02h-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0206}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0207 Gambling: Gambling Devices Prohibited {#sec-04-ncac-02h-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0207}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0208 Consumption: Intoxication by Permittee Prohibited {#sec-04-ncac-02h-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0208}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0209 Use of Profanity Prohibited {#sec-04-ncac-02h-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0209}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0210 Possession of Intoxicating Liquors {#sec-04-ncac-02h-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0210}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0211 Sales of Intoxicating Liquors {#sec-04-ncac-02h-.0211 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0211}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0212 Employment of Unsuitable Person {#sec-04-ncac-02h-.0212 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0212}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0213 Cooperation with Law Enforcement Officers {#sec-04-ncac-02h-.0213 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0213}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0214 Entertainers and Conduct {#sec-04-ncac-02h-.0214 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0214}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0215 Visual Displays {#sec-04-ncac-02h-.0215 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0215}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02H .0216 Illegal Use of Permits {#sec-04-ncac-02h-.0216 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02H .0216}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(4),(6); 18A-43; 14-292; 14-293
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

Subchapter I

04 NCAC 02I .0101 Application for Permit {#sec-04-ncac-02i-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0101}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0102 Storage Prohibited: Exceptions {#sec-04-ncac-02i-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0102}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0103 Local Ordinances {#sec-04-ncac-02i-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0103}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0104 Notice to Be Posted {#sec-04-ncac-02i-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0104}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0105 Exceptions {#sec-04-ncac-02i-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0105}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0106 Hours of Operation: Clearing Counters and Tables {#sec-04-ncac-02i-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0106}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0107 Minors: Age Requirements {#sec-04-ncac-02i-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0107}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0108 Intoxicated Persons: Disorderly Conduct {#sec-04-ncac-02i-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0108}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0109 Gambling: Gambling Devices Prohibited {#sec-04-ncac-02i-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0109}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0110 Consumption: Intoxication by Permittee Prohibited {#sec-04-ncac-02i-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0110}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0111 Use of Profanity Prohibited {#sec-04-ncac-02i-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0111}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0112 Possession of Intoxicating Liquor by Permittee: Member {#sec-04-ncac-02i-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0112}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0113 Sales of Intoxicating Liquor {#sec-04-ncac-02i-.0113 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0113}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0114 Employment of Unsuitable Person {#sec-04-ncac-02i-.0114 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0114}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0115 Cooperation with Law Enforcement Officers {#sec-04-ncac-02i-.0115 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0115}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0116 Entertainers and Conduct {#sec-04-ncac-02i-.0116 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0116}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0117 Visual Displays {#sec-04-ncac-02i-.0117 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0117}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0118 Illegal Use of Permits {#sec-04-ncac-02i-.0118 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0118}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0119 Definition {#sec-04-ncac-02i-.0119 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0119}

History

Status: repealed
Authority G.S. 18A-13(d); 18A-15(14); 18A-30(3),(6); 18A-31; 18A-43; 14-292
14-293
Eff. November 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0120 When Special Occasions Permit Invalid {#sec-04-ncac-02i-.0120 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0120}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30
Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0201 Conditions for Permit {#sec-04-ncac-02i-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0201}

History

Status: repealed
Authority G.S. 18A-15(14), (17)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0202 Information Required on Permit {#sec-04-ncac-02i-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0202}

History

Status: repealed
Authority G.S. 18A-15(14), (17)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0203 Activity Authorized Under Permit {#sec-04-ncac-02i-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0203}

History

Status: repealed
Authority G.S. 18A-15(14), (17)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0204 Destruction of Leftover Beverages {#sec-04-ncac-02i-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0204}

History

Status: repealed
Authority G.S. 18A-15(14), (17)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0301 General Requirements {#sec-04-ncac-02i-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0301}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-31.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0302 Possession of Alcoholic Beverages {#sec-04-ncac-02i-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0302}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-31.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0303 Records Required {#sec-04-ncac-02i-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0303}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-31.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0304 Use of Alcohol {#sec-04-ncac-02i-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0304}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-31.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0305 Storage {#sec-04-ncac-02i-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0305}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-31.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0306 Application for Permit {#sec-04-ncac-02i-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0306}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-31.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0307 Suspension of Permit {#sec-04-ncac-02i-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0307}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-31.1
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02I .0401 Definitions {#sec-04-ncac-02i-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0401}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29(c); 18A-38(g)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02I .0402 Importation and Transportation Under Customs Bonds {#sec-04-ncac-02i-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0402}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29(c); 18A-38(g)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02I .0403 Transportation Into State Under Internal Revenue Bonds {#sec-04-ncac-02i-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0403}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29(c); 18A-38(g)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02I .0404 Taxes {#sec-04-ncac-02i-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0404}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29(c); 18A-38(g)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02I .0405 Application for Permit {#sec-04-ncac-02i-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0405}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29(c); 18A-38(g)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02I .0406 Compliance: Inspection {#sec-04-ncac-02i-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02I .0406}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29(c); 18A-38(g)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

Subchapter J

04 NCAC 02J .0101 Definitions {#sec-04-ncac-02j-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0101}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-38(e),(f); 18A-39; 18A-40
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02J .0102 General Requirements {#sec-04-ncac-02j-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0102}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-38(e),(f); 18A-39; 18A-40
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02J .0103 Types of Permits {#sec-04-ncac-02j-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0103}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-38(e),(f); 18A-39; 18A-40
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02J .0104 Issuance of Permits {#sec-04-ncac-02j-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0104}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-37; 18A-38(e),(f); 18A-39; 18A-40
Eff. February 1, 1976
Amended Eff. February 1, 1977; November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02J .0105 Loss of Grade a Rating {#sec-04-ncac-02j-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0105}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-39(e); 18A-38(g)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 1, 1978
Repealed Eff. November 15, 1979.

04 NCAC 02J .0106 Relationship with Wholesaler: Bottler: Manufacturer {#sec-04-ncac-02j-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0106}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43; 18A-47(a)(2)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0107 Seizure of Substandard Wine {#sec-04-ncac-02j-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0107}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43; 18A-47(a)(2)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0108 Sanitation Standards {#sec-04-ncac-02j-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0108}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43; 18A-47(a)(2)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0109 Suspension or Revocation of Permit: Effect {#sec-04-ncac-02j-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0109}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43; 18A-47(a)(2)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0110 Shipment to Military Bases {#sec-04-ncac-02j-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0110}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43; 18A-47(a)(2)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0111 Return of Military Items {#sec-04-ncac-02j-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0111}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02J .0112 Trade Name Signs {#sec-04-ncac-02j-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0112}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02J .0113 Platform Sales {#sec-04-ncac-02j-.0113 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0113}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02J .0201 Hours for Sale: Clearing Tables: Removal from Premises {#sec-04-ncac-02j-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0201}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0202 Hours for Consumption {#sec-04-ncac-02j-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0202}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0203 Sales to and Consumption by Minors Prohibited {#sec-04-ncac-02j-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0203}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0204 Employee Age Requirements {#sec-04-ncac-02j-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0204}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0205 Supervision of Premises by Minor Prohibited {#sec-04-ncac-02j-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0205}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0206 Intoxicated Persons {#sec-04-ncac-02j-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0206}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0207 Gambling: Gambling Devices Prohibited {#sec-04-ncac-02j-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0207}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0208 Sales: Consumption During Unauthorized Hours Prohibited {#sec-04-ncac-02j-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0208}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0209 Consumption: Intoxication by Permittee Prohibited {#sec-04-ncac-02j-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0209}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0210 Use of Profanity Prohibited {#sec-04-ncac-02j-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0210}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0211 Disorderly Conduct Prohibited {#sec-04-ncac-02j-.0211 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0211}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0212 Possession or Consumption of Intoxicating Liquor {#sec-04-ncac-02j-.0212 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0212}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0213 Employment of Unsuitable Person {#sec-04-ncac-02j-.0213 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0213}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0214 Cooperation with Law Enforcement Officers {#sec-04-ncac-02j-.0214 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0214}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0215 Illegal Use of Permits {#sec-04-ncac-02j-.0215 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0215}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0216 Supervision of Premises {#sec-04-ncac-02j-.0216 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0216}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0217 Entertainers and Conduct {#sec-04-ncac-02j-.0217 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0217}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0218 Visual Displays {#sec-04-ncac-02j-.0218 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0218}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0219 Coin Vending Machines to Dispense Wine Prohibited {#sec-04-ncac-02j-.0219 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0219}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0220 Maximum Quantity Allowed to Be Sold {#sec-04-ncac-02j-.0220 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0220}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0221 Permittees Prohibited from Accepting Food Coupons {#sec-04-ncac-02j-.0221 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0221}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0222 Sale Only of Approved Wines: Special Orders {#sec-04-ncac-02j-.0222 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0222}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0223 On-Premise Wine Sales {#sec-04-ncac-02j-.0223 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0223}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0224 Off-Premise Sales {#sec-04-ncac-02j-.0224 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0224}

History

Status: repealed
Authority G.S. 18A-3; 18A-8; 18A-15(14); 18A-33; 18A-34(a),(b),(d); 18A-38(e)(1)
18A-43; 14-292 through 14-296; 110-7
Eff. February 1, 1976
Amended Eff. November 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. November 15, 1979; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02J .0301 Places Where Wine Tasting Parties May Be Held {#sec-04-ncac-02j-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0301}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02J .0302 Wines Provided by Non-Retail Permittees {#sec-04-ncac-02j-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0302}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02J .0303 Miscellaneous Restriction {#sec-04-ncac-02j-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02J .0303}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

Subchapter K

04 NCAC 02K .0101 Definitions {#sec-04-ncac-02k-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0101}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-34; 18A-38(b); 18A-43(a); 18A-47(a)(1),(2)
18A-55; 110-7
Eff. February l, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0102 Permit Required {#sec-04-ncac-02k-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0102}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-34; 18A-38(b); 18A-43(a); 18A-47(a)(1),(2)
18A-55; 110-7
Eff. February l, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0103 Inspection of Premises and Records: Invoices {#sec-04-ncac-02k-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0103}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-34; 18A-38(b); 18A-43(a); 18A-47(a)(1),(2)
18A-55; 110-7
Eff. February l, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0104 Sanitation {#sec-04-ncac-02k-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0104}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-34; 18A-38(b); 18A-43(a); 18A-47(a)(1),(2)
18A-55; 110-7
Eff. February l, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0105 Samples Required on Request {#sec-04-ncac-02k-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0105}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-34; 18A-38(b); 18A-43(a); 18A-47(a)(1),(2)
18A-55; 110-7
Eff. February l, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0106 General Requirements {#sec-04-ncac-02k-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0106}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-34; 18A-38(b); 18A-43(a); 18A-47(a)(1),(2)
18A-55; 110-7
Eff. February l, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0201 Listing of Wine by Board {#sec-04-ncac-02k-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0201}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-34(c); 18A-47(c)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0202 Procedure for Listing Wines {#sec-04-ncac-02k-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0202}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-34(c); 18A-47(c)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0203 Publishing Wine List {#sec-04-ncac-02k-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0203}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-34(c); 18A-47(c)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0204 Special Orders {#sec-04-ncac-02k-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0204}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-34(c); 18A-47(c)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0301 Application of Standards {#sec-04-ncac-02k-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0301}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0302 Grape Wine {#sec-04-ncac-02k-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0302}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0303 Sparkling Wine {#sec-04-ncac-02k-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0303}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0304 Fruit Wine {#sec-04-ncac-02k-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0304}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0305 Carbonated Wine {#sec-04-ncac-02k-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0305}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0306 Sake {#sec-04-ncac-02k-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0306}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0307 Grape Type Designations {#sec-04-ncac-02k-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0307}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0308 Appellation of Origin {#sec-04-ncac-02k-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0308}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0309 Prohibited Practices {#sec-04-ncac-02k-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0309}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0310 Seizure of Substandard Wine {#sec-04-ncac-02k-.0310 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0310}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0311 Suspension or Revocation of Permits {#sec-04-ncac-02k-.0311 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0311}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-43(d); 18A-47(a),(b),(d)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0401 Labels to Be Submitted to the Board {#sec-04-ncac-02k-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0401}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0402 Packaging Requirements {#sec-04-ncac-02k-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0402}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0403 Label Alteration {#sec-04-ncac-02k-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0403}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0404 Mandatory Information {#sec-04-ncac-02k-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0404}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0405 Prohibited Statements: False or Misleading Labels {#sec-04-ncac-02k-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0405}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0501 General Applicability {#sec-04-ncac-02k-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0501}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-55
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0502 Sales of Wine: Prohibited Acts: Retention of Records {#sec-04-ncac-02k-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0502}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-55
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0503 Delivery of Wine {#sec-04-ncac-02k-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0503}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-55
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0504 Removals {#sec-04-ncac-02k-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0504}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-55
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Amended Eff. March 15, 1978; January 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0505 Shipments to Military Reservations {#sec-04-ncac-02k-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0505}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0506 Platform Sales {#sec-04-ncac-02k-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0506}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1977
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0601 Wine Provided by Non-Retail Permittees {#sec-04-ncac-02k-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0601}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0602 Miscellaneous Restriction {#sec-04-ncac-02k-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0602}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. February 1, 1976
Readopted Eff. November 1, 1977
Repealed Eff. January 1, 1982.

04 NCAC 02K .0701 Exclusive Outlets {#sec-04-ncac-02k-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0701}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-49
Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0702 Inducements (tied House) {#sec-04-ncac-02k-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0702}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-49
Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0703 Commercial Bribery {#sec-04-ncac-02k-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0703}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-49
Eff. March 15, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02K .0704 Consignment Sales: Conditional Sales {#sec-04-ncac-02k-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02K .0704}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-49
Eff. March 15, 1978
Repealed Eff. January 1, 1982.

Subchapter L

04 NCAC 02L .0101 Definitions {#sec-04-ncac-02l-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0101}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0102 Definition of Premises {#sec-04-ncac-02l-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0102}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0103 Hours of Sale: Clearing Tables: Removal from Premises {#sec-04-ncac-02l-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0103}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0104 Hours of Consumption {#sec-04-ncac-02l-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0104}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0105 Employees: Requirements {#sec-04-ncac-02l-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0105}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0106 Building Standards {#sec-04-ncac-02l-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0106}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0107 Relationship with Industry Representatives {#sec-04-ncac-02l-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0107}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0108 Manufacturers' Interests in Mixed Beverages Premises {#sec-04-ncac-02l-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0108}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0109 Dispensing Equipment: Pre-Mixing Drinks {#sec-04-ncac-02l-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0109}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0110 Minimum Contents of Mixed Beverages {#sec-04-ncac-02l-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0110}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0111 Storage and Disposal of Alcoholic Beverage Containers {#sec-04-ncac-02l-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0111}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0112 Prohibited Acts: Handling and Storage of Liquor {#sec-04-ncac-02l-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0112}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0113 Prohibited Acts: Sales and Consumption on Premises {#sec-04-ncac-02l-.0113 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0113}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0114 Prohibited Acts: Serving Liquor {#sec-04-ncac-02l-.0114 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0114}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0115 Prohibited Acts: Conduct on the Premises {#sec-04-ncac-02l-.0115 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0115}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0116 Prohibited Acts: Management of the Premises {#sec-04-ncac-02l-.0116 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0116}

History

Status: repealed
Authority G.S. 18A-2; 18A-14; 18A-15(14),(18); 18A-19(e); 18A-20(b)
18A-30(8),(8); 18A-33; 18A-39(a)(4); 18A-43(a)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0201 Restaurants: General Definition and Qualifications {#sec-04-ncac-02l-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0201}

History

Status: repealed
Authority G.S. 18A-15(14),(18); 18A-30(4),(7); 18A-31
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0202 Restaurants: Applications for Permits {#sec-04-ncac-02l-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0202}

History

Status: repealed
Authority G.S. 18A-15(14),(18); 18A-30(4),(7); 18A-31
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0203 Restaurants: Financial Statements and Record Keeping {#sec-04-ncac-02l-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0203}

History

Status: repealed
Authority G.S. 18A-15(14),(18); 18A-30(4),(7); 18A-31
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0204 When Special Occasions Permit Invalid {#sec-04-ncac-02l-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0204}

History

Status: repealed
Authority G.S. 18A-15(14),(18); 18A-30(4),(7); 18A-31
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0205 Hotel with Restaurant: General Provisions {#sec-04-ncac-02l-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0205}

History

Status: repealed
Authority G.S. 18A-15(14),(18); 18A-30(4),(7); 18A-31
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0206 Hotel with Restaurant: Application for Permit {#sec-04-ncac-02l-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0206}

History

Status: repealed
Authority G.S. 18A-15(14),(18); 18A-30(4),(7); 18A-31
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0207 Hotel with Restaurant: Financial Statement: Record Keeping {#sec-04-ncac-02l-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0207}

History

Status: repealed
Authority G.S. 18A-15(14),(18); 18A-30(4),(7); 18A-31
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979
Repealed Eff. January 1, 1982.

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979; January 5, 1979
Repealed Eff. January 1, 1982.

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979; January 5, 1979
Repealed Eff. January 1, 1982.

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979; January 5, 1979
Repealed Eff. January 1, 1982.

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979; January 5, 1979
Repealed Eff. January 1, 1982.

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979; January 5, 1979
Repealed Eff. January 1, 1982.

History

Status: repealed
Authority G.S. 18A-15(14); 18A-30(2)
Eff. November 1, 1978
Amended Eff. October 15, 1980; November 15, 1979; January 5, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0401 Designation of Store {#sec-04-ncac-02l-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0401}

History

Status: repealed
Authority G.S. 18A-15(10),(14); 18A-20.1(b); 18A-29.1
Eff. November 1, 1978
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0402 Purchase Transportation Permit/Purchase Invoice Form {#sec-04-ncac-02l-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0402}

History

Status: repealed
Authority G.S. 18A-15(10),(14); 18A-20.1(b); 18A-29.1
Eff. November 1, 1978
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0403 Pre-Orders {#sec-04-ncac-02l-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0403}

History

Status: repealed
Authority G.S. 18A-15(10),(14); 18A-20.1(b); 18A-29.1
Eff. November 1, 1978
Amended Eff. November 15, 1979
Repealed Eff. January 1, 1982.

04 NCAC 02L .0404 Filling Orders and Permittee Purchase Form {#sec-04-ncac-02l-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0404}

History

Status: repealed
Authority G.S. 18A-15(14); 18A-29.1
Eff. November 1, 1978
Repealed Eff. November 15, 1979.

04 NCAC 02L .0405 Mixed Beverages Tax Stamp {#sec-04-ncac-02l-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0405}

History

Status: repealed
Authority G.S. 18A-15(14)
Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02L .0501 Conflicting Regulations {#sec-04-ncac-02l-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0501}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02L .0502 Interior Advertising {#sec-04-ncac-02l-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0502}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02L .0503 Exterior Advertising {#sec-04-ncac-02l-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0503}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02L .0504 Advertising by Newspaper: Magazine: Radio and Television {#sec-04-ncac-02l-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0504}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. November 1, 1978
Repealed Eff. January 1, 1982.

04 NCAC 02L .0505 Billboards and Outside Advertising {#sec-04-ncac-02l-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 02L .0505}

History

Status: repealed
Authority G.S. 18A-10; 18A-15(14)
Eff. November 1, 1978
Repealed Eff. January 1, 1982.

Chapter 03 Banking Commission

Subchapter A

04 NCAC 03A .0101 Name: Location and Address {#sec-04-ncac-03a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0101}

The Office of the Commissioner of Banks is located at 316 West Edenton Street, Raleigh, North Carolina. The mailing address for the Office of the Commissioner of Banks and all of its officers and employees is 4309 Mail Service Center, Raleigh, North Carolina 27699-4309. The office is open to the public Monday through Friday, 8:00 a.m. to 5:00 p.m.

History

Authority G.S. 53C-2-1; 53C-2-2
Eff. February 1, 1976
Amended Eff. September 1, 2006; July 1, 1990; February 9, 1978
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03A .0102 General Purposes {#sec-04-ncac-03a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0102}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-104; 53-122(3); 53-125; 150A-10; 150A-11(1)
Eff. February 1, 1976
Amended Eff. September 26, 1979
Repealed Eff. January 1, 1985.

04 NCAC 03A .0103 Areas of Responsibility {#sec-04-ncac-03a-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0103}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-104; 53-122(3); 53-125; 150A-10; 150A-11(1)
Eff. February 1, 1976
Amended Eff. September 26, 1979
Repealed Eff. January 1, 1985.

04 NCAC 03A .0104 Functions {#sec-04-ncac-03a-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0104}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-104; 53-122(3); 53-125; 150A-10; 150A-11(1)
Eff. February 1, 1976
Amended Eff. September 26, 1979
Repealed Eff. January 1, 1985.

04 NCAC 03A .0105 Confidential Records {#sec-04-ncac-03a-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0105}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-104; 53-122(3); 53-125; 150A-10; 150A-11(1)
Eff. February 1, 1976
Amended Eff. September 26, 1979
Repealed Eff. January 1, 1985.

04 NCAC 03A .0106 Charges for Services {#sec-04-ncac-03a-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0106}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-104; 53-122(3); 53-125; 150A-10; 150A-11(1)
Eff. February 1, 1976
Amended Eff. September 26, 1979
Repealed Eff. January 1, 1985.

04 NCAC 03A .0107 Checks for Fees: Etc. {#sec-04-ncac-03a-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0107}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-104; 53-122(3); 53-125; 150A-10; 150A-11(1)
Eff. February 1, 1976
Amended Eff. September 26, 1979
Repealed Eff. January 1, 1985.

04 NCAC 03A .0201 Composition and Authority {#sec-04-ncac-03a-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0201}

History

Status: repealed
Authority G.S. 53-92; 53-104; 143A-177; 150B-10
Eff. February 1, 1976
Amended Eff. February 9, 1978
Repealed Eff. January 1, 1985.

04 NCAC 03A .0202 Meetings {#sec-04-ncac-03a-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0202}

History

Status: repealed
Authority G.S. 53-92; 53-104; 143A-177; 150B-10
Eff. February 1, 1976
Amended Eff. February 9, 1978
Repealed Eff. January 1, 1985.

04 NCAC 03A .0203 Agenda {#sec-04-ncac-03a-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0203}

History

Status: repealed
Authority G.S. 53-92; 53-104; 143A-177; 150B-10
Eff. February 1, 1976
Amended Eff. February 9, 1978
Repealed Eff. January 1, 1985.

04 NCAC 03A .0204 Hearing Officer {#sec-04-ncac-03a-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0204}

History

Status: repealed
Authority G.S. 53-92; 53-104; 143A-177; 150B-10
Eff. February 1, 1976
Amended Eff. February 9, 1978
Repealed Eff. January 1, 1985.

04 NCAC 03A .0205 Ownership of Bank Stock: Disclosure {#sec-04-ncac-03a-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0205}

History

Status: repealed
Authority G.S. 53-92; 53-104; 143A-177; 150B-10
Eff. February 1, 1976
Amended Eff. February 9, 1978
Repealed Eff. January 1, 1985.

04 NCAC 03A .0206 Participation of Commissioners in Commission Action {#sec-04-ncac-03a-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0206}

History

Status: repealed
Authority G.S. 53-92; 53-104; 143A-177; 150B-10
Eff. February 1, 1976
Amended Eff. February 9, 1978
Repealed Eff. January 1, 1985.

04 NCAC 03A .0301 Commissioner of Banks {#sec-04-ncac-03a-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0301}

History

Status: repealed
Authority G.S. 53-92; 53-101; 150B-10
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03A .0302 Deputy Commissioner of Banks {#sec-04-ncac-03a-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0302}

History

Status: repealed
Authority G.S. 53-92; 53-101; 150B-10
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03A .0303 Consumer Finance Administrator {#sec-04-ncac-03a-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0303}

History

Status: repealed
Authority G.S. 53-92; 53-101; 150B-10
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03A .0304 Bank Examiners {#sec-04-ncac-03a-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0304}

History

Status: repealed
Authority G.S. 53-92; 53-101; 150B-10
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03A .0305 Clerical Staff {#sec-04-ncac-03a-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03A .0305}

History

Status: repealed
Authority G.S. 53-92; 53-101; 150B-10
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

Subchapter B

04 NCAC 03B .0101 Petitions {#sec-04-ncac-03b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0101}

(a) Any person wishing to submit a petition requesting the adoption, amendment, or repeal of a rule by the Banking Commission shall address a petition to:

(b) The Commissioner of Banks will determine, based on a study of the facts stated in the petition, whether the public interest will be served by granting it. He will consider all the contents of the submitted petition, plus any additional information he deems relevant.

History

Authority G.S. 53C-2-1; 53C-2-2; 150B-20
Eff. February 1, 1976
Amended Eff. August 1, 2004; April 1, 1999
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0102 Notice {#sec-04-ncac-03b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0102}

(a) Any person or agency desiring to be placed on the mailing list for Banking Commission rule-making notices may file a request in writing, furnishing their name and mailing address to:

The request must state the subject areas within the authority of the Banking Commission for which notice is requested.

(b) Persons desiring information in addition to that provided in a particular rule-making notice may contact:

History

Authority G.S. 53C-2-1; 53C-2-2; 150B-20
Eff. February 1, 1976
Amended Eff. August 1, 2004; April 1, 1999; August 1, 1988
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0103 Hearings {#sec-04-ncac-03b-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0103}

(a) Unless otherwise stated in a particular rule-making notice, hearings before the Banking Commission shall be held in Raleigh, North Carolina, at regular scheduled or special called meetings of the Banking Commission.

(b) Any person desiring to present oral data, views, or arguments on the proposed rule must, before the hearing, file a notice with:

Any person permitted to make an oral presentation may submit a written copy of the presentation to the above-named person prior to or at the hearing.

(c) A request to make an oral presentation must contain a brief summary of the individual's views with respect thereto, and a statement of the length of time the individual wants to speak. Presentations may not exceed 15 minutes unless, upon request, either before or at the hearing, the Commissioner of Banks or the presiding officer determines that fundamental fairness and procedural due process require an extension of time.

(d) Upon receipt of a request to make an oral presentation the Commissioner of Banks shall acknowledge receipt of the request, and inform the person requesting of the imposition of any limitations deemed necessary to the end of a full and effective public hearing on the proposed rule.

(e) Upon receipt of such written comments prompt acknowledgment shall be made including a statement that the comments therein shall be considered fully by the Banking Commission.

(f) The presiding officer at the hearing shall have complete control of the proceedings, including: extensions of any time requirements, recognition of speakers, time allotments for presentations, direction of the flow of the discussion, and the management of the hearing. The presiding officer, at all times, shall take care that each person participating in the hearing is given a fair opportunity to present views, data, and comments.

History

Authority G.S. 53C-2-1; 53C-2-2; 150B-21.2
Eff. February 1, 1976
Amended Eff. September 1, 2004; April 1, 1999; August 1, 1988
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0104 Temporary Rules {#sec-04-ncac-03b-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0104}

History

Status: repealed
Authority G.S. 53-77.3; 53-92; 150B-13
Eff. February 1, 1976
Repealed Eff. September 1, 1988.

04 NCAC 03B .0105 Declaratory Rulings {#sec-04-ncac-03b-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0105}

(a) Any person substantially affected by a statute administered or rule promulgated by the Commissioner of Banks or the Banking Commission may request a declaratory ruling as to:

(1) whether, and if so how, the statute or rule applies to a given factual situation, or

(2) whether a particular agency rule is valid.

All decisions of the Commissioner of Banks relative to declaratory rulings shall be subject to review by the Banking Commission upon written application of any aggrieved party.

(b) The Commissioner of Banks shall have the sole power to make such declaratory rulings. All requests for declaratory rulings shall be written and mailed to:

(1) name and address of petitioner;

(2) statute or rule to which petition relates;

(3) concise statement of the manner in which petitioner is aggrieved by the rule or statute or its potential application to him;

(4) a statement of whether an oral hearing is desired, and if so the reasons for such an oral hearing.

(d) Whenever the Commissioner of Banks believes for good cause that the issuance of a declaratory ruling is undesirable, he may refuse to do so. When good cause for refusing to issue a declaratory ruling is deemed to exist, the Commissioner of Banks shall notify the petitioner of his decision in writing, stating reasons for the denial of a declaratory ruling.

(e) Where a declaratory ruling is deemed appropriate, the Commissioner of Banks shall issue the ruling within 60 days of receipt of the petition.

(f) A declaratory ruling procedure may consist of written submissions, oral hearings, or such other procedures as may be appropriate in a particular case.

History

Authority G.S. 53C-2-1; 53C-2-2
Eff. February 1, 1976
Amended Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0201 Banking Commission Hearings {#sec-04-ncac-03b-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0201}

History

Status: repealed
Authority G.S. 53-92; 150B-2(2)
Eff. February 1, 1976
Amended Eff. September 1, 1988
Repealed Eff. August 1, 2004.

04 NCAC 03B .0202 Hearings Before the Commissioner of Banks {#sec-04-ncac-03b-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0202}

History

Status: repealed
Authority G.S. 53-92; 150B-2(2)
Eff. February 1, 1976
Amended Eff. September 1, 1988
Repealed Eff. August 1, 2004.

04 NCAC 03B .0203 Request for Hearing {#sec-04-ncac-03b-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0203}

History

Status: repealed
Authority G.S. 53-92; 150B-2(2)
Eff. February 1, 1976
Amended Eff. September 1, 1988
Repealed Eff. August 1, 2004.

04 NCAC 03B .0204 Notice {#sec-04-ncac-03b-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0204}

History

Status: repealed
Authority G.S. 53-92; 150B-2(2)
Eff. February 1, 1976
Amended Eff. September 1, 1988
Repealed Eff. August 1, 2004.

04 NCAC 03B .0205 Written Answers to Notice {#sec-04-ncac-03b-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0205}

History

Status: repealed
Authority G.S. 53-92; 150B-2(2)
Eff. February 1, 1976
Amended Eff. September 1, 1988
Repealed Eff. August 1, 2004.

04 NCAC 03B .0206 Representation by an Attorney {#sec-04-ncac-03b-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0206}

History

Status: repealed
Authority G.S. 53-92; 150B-2(2)
Eff. February 1, 1976
Amended Eff. September 1, 1988
Repealed Eff. August 1, 2004.

04 NCAC 03B .0207 Waiver {#sec-04-ncac-03b-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0207}

History

Status: repealed
Authority G.S. 53-92; 150B-40(a)
Eff. February 1, 1976
Repealed Eff. August 1, 1988.

04 NCAC 03B .0208 Depositions {#sec-04-ncac-03b-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0208}

History

Status: repealed
Authority G.S. 53-91; 150B-39(a)
Eff. February 1, 1976
Repealed Eff. August 1, 1988.

04 NCAC 03B .0209 Discovery {#sec-04-ncac-03b-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0209}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-125; 150B-24; 150B-38; 150B-38(f); 150B-39; 150B-40; 150B-41
Eff. February 1, 1976
Amended Eff. August 1, 1998
Repealed Eff. August 1, 2004.

04 NCAC 03B .0210 Rules of Evidence {#sec-04-ncac-03b-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0210}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-125; 150B-24; 150B-38; 150B-38(f); 150B-39; 150B-40; 150B-41
Eff. February 1, 1976
Amended Eff. August 1, 1998
Repealed Eff. August 1, 2004.

04 NCAC 03B .0211 Pre-Hearing Conference {#sec-04-ncac-03b-.0211 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0211}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-125; 150B-24; 150B-38; 150B-38(f); 150B-39; 150B-40; 150B-41
Eff. February 1, 1976
Amended Eff. August 1, 1998
Repealed Eff. August 1, 2004.

04 NCAC 03B .0212 Place and Forum for Contested Cases {#sec-04-ncac-03b-.0212 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0212}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-125; 150B-24; 150B-38; 150B-38(f); 150B-39; 150B-40; 150B-41
Eff. February 1, 1976
Amended Eff. August 1, 1998
Repealed Eff. August 1, 2004.

04 NCAC 03B .0213 Failure to Appear for a Contested Case {#sec-04-ncac-03b-.0213 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0213}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-125; 150B-24; 150B-38; 150B-38(f); 150B-39; 150B-40; 150B-41
Eff. February 1, 1976
Amended Eff. August 1, 1998
Repealed Eff. August 1, 2004.

04 NCAC 03B .0214 Consolidation of Contested Cases {#sec-04-ncac-03b-.0214 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0214}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-125; 150B-24; 150B-38; 150B-38(f); 150B-39; 150B-40; 150B-41
Eff. February 1, 1976
Amended Eff. August 1, 1998
Repealed Eff. August 1, 2004.

04 NCAC 03B .0215 Intervention of a New Party Into a Contested Case {#sec-04-ncac-03b-.0215 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0215}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-125; 150B-24; 150B-38; 150B-38(f); 150B-39; 150B-40; 150B-41
Eff. February 1, 1976
Amended Eff. August 1, 1998
Repealed Eff. August 1, 2004.

04 NCAC 03B .0216 Disqualification of Hearing Officer {#sec-04-ncac-03b-.0216 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0216}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-125; 150B-24; 150B-38; 150B-38(f); 150B-39; 150B-40; 150B-41
Eff. February 1, 1976
Amended Eff. August 1, 1998
Repealed Eff. August 1, 2004.

04 NCAC 03B .0217 Subpoenas {#sec-04-ncac-03b-.0217 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0217}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-125; 150B-24; 150B-38; 150B-38(f); 150B-39; 150B-40; 150B-41
Eff. February 1, 1976
Amended Eff. August 1, 1998
Repealed Eff. August 1, 2004.

04 NCAC 03B .0218 Public Inspection of Files {#sec-04-ncac-03b-.0218 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0218}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-125; 150B-24; 150B-38; 150B-38(f); 150B-39; 150B-40; 150B-41
Eff. February 1, 1976
Amended Eff. August 1, 1998
Repealed Eff. August 1, 2004.

04 NCAC 03B .0219 Definitions {#sec-04-ncac-03b-.0219 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0219}

As used in this Subchapter:

(1) "Appellate panel" means an appellate review panel appointed pursuant to G.S. 53C-2-6(b).

(2) "Commission" means the North Carolina State Banking Commission.

(3) "Commissioner" means the North Carolina Commissioner of Banks.

(4) "Court" means a North Carolina District or Superior Court.

(5) "Day" means a calendar day, other than a Saturday, Sunday or North Carolina state holiday.

(6) "Hearing officer" means the Commissioner or an individual appointed by the Commissioner pursuant to G.S. 53C-2-6(c).

(7) "Rules of Civil Procedure" means the North Carolina Rules of Civil Procedure, G.S. 1A-1, et seq., as the same may be amended from time to time.

(8) Terms used herein which are defined by G.S. 150B shall be defined as in G.S. 150B.

History

Authority G.S. 53C-2-5; 53C-2-6
Eff. August 1, 2004
Amended Eff. November 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0220 Hearings {#sec-04-ncac-03b-.0220 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0220}

Whenever the Commissioner is authorized or required by law to hold a hearing, the hearing officer shall conduct the hearing in accordance with the applicable provisions of law, the Rules of Civil Procedure, the Rules of Evidence and the procedures set forth in this Subchapter.

History

Authority G.S. 53C-2-1; 53C-2-2; 53C-2-6; 53-186; 53-208.10; 53-208.23; 53-224.25; 53-228; 53-244.113; 53-244.116; 53-251; 53-271(c); 53-284; 53-321; 53-327; 53-369; 53-370; 53-412; 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0221 Application of the Rules of Civil Procedure {#sec-04-ncac-03b-.0221 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0221}

Except as otherwise provided in this Subchapter or in G.S. 150B, the Rules of Civil Procedure shall apply in hearings and prehearing proceedings governed by this Subchapter to the same extent as though the hearing or prehearing proceeding was pending in a Court.

History

Authority G.S. 53C-2-2; 53C-2-6; 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0222 Filing of Documents {#sec-04-ncac-03b-.0222 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0222}

(a) All requests for hearing, written answers, motions, responses to motions or other papers required or permitted to be filed in any contested case shall be signed by the party or the party's attorney and the original thereof filed with the Commissioner addressed as follows:

If filed via the United States Postal Service:

If filed via a private overnight mail service or via hand delivery:

(b) A copy of any papers filed with the Commissioner, together with any attachments, shall be served upon all parties in any manner permitted by the Rules of Civil Procedure.

(c) Any paper required or permitted to be filed pursuant to this Rule shall be considered filed on the date it is actually received at the address above.

History

Authority G.S. 53C-2-2; 53C-2-6; 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0223 Request for a Hearing {#sec-04-ncac-03b-.0223 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0223}

(a) A person aggrieved may request a hearing, which shall be conducted by a hearing officer. The request shall be made in writing, state all statutory or other legal bases for the request, describe the events or circumstances giving rise to the request and shall include a copy of any supporting documents or other papers supporting the request. If applicable, the request may (but need not) include a statement of pertinent legal issues or questions.

(b) If the Commissioner determines that it is appropriate to do so, he may direct his staff to schedule a hearing, notwithstanding the fact that no request for a hearing has been received. In such cases, the Commissioner's direction shall be treated as a request for a hearing.

History

Authority G.S. 53C-2-2; 53C-2-6; 53-208.10(c); 53-208.23; 53-244-113(a); 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0224 Date, Time and Location of Hearing; Motions to Continue {#sec-04-ncac-03b-.0224 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0224}

(a) The date, time and location of any hearing under this Subchapter shall be set forth in the notice of hearing or other paper which commences the hearing process.

(b) Any party may move to continue the hearing.

(c) The hearing officer shall rule on any motion to continue. Unless oral argument is requested by the hearing officer, motions to continue shall be decided based upon the written submissions of the parties.

History

Authority G.S. 53C-2-2; 53C-2-6; 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0225 Motions {#sec-04-ncac-03b-.0225 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0225}

(a) Any party may file any motion which would be permitted under the Rules of Civil Procedure if the contested case was pending in a Court.

(b) The opposing party may file such response as is permitted by the Rules of Civil Procedure to any such motion within five days of the date that it is filed with the Commissioner.

(c) The hearing officer shall rule on any such motion. The hearing officer may rule on any motion with or without oral argument. If the hearing officer determines that oral argument is appropriate, he shall notify the parties of the date for such argument. The notice shall indicate whether the argument is to be conducted in person or by conference call.

History

Authority G.S. 53C-2-2; 53C-2-6(c); 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0226 Pre-Hearing Conference {#sec-04-ncac-03b-.0226 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0226}

(a) If the hearing officer determines that to do so would aid in the prompt and efficient resolution of any contested case, the hearing officer may order that the parties attend a pre-hearing conference. The notice of the conference shall either be included in the document referred to in Rule .0224(a) of this Section or in a separate written order. The purpose of a pre-hearing conference is to:

(1) explore any grounds upon which a contested case may be resolved without the need for a hearing;

(2) determine the scope of discovery each party wishes to pursue;

(3) exchange exhibits and other evidence;

(4) reach stipulations or other agreements; and

(5) pursue any other matters which will reduce the cost, save time, simplify the issues to be heard, or otherwise aid in the expeditious disposition of the matters to be addressed by the hearing.

(b) The pre-hearing conference may be conducted informally between the parties. At the request of either party, the pre-hearing conference may be conducted by a member of the Commissioner's legal staff.

History

Authority G.S. 53C-2-2; 53C-2-6(c); 150B-41(c)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0227 Hearings {#sec-04-ncac-03b-.0227 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0227}

(a) Prior to the commencement of a hearing, the hearing officer shall rule on any outstanding motions.

(b) Once a hearing has begun the hearing officer, may adjourn the hearing and reconvene the same at a later time or date.

(c) Hearings are open to the public, except as to any testimony or other evidence regarding matters made confidential by law.

(d) Hearings shall be conducted in a manner which conforms to the Rules of Civil Procedure and the Rules of Evidence. The order of evidence shall be determined by the hearing officer.

(e) Persons permitted to intervene pursuant to the Rules of Civil Procedure shall be permitted to participate in the hearing only to the extent the hearing officer determines is necessary for a full and fair adjudication of the case.

History

Authority G.S. 53C-2-2; 53C-2-6; 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0228 Stipulations {#sec-04-ncac-03b-.0228 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0228}

Parties may by written stipulation agree upon the facts or any portion thereof and their stipulation may be regarded and used as evidence at the hearing. However, the hearing officer shall not be precluded from requiring or allowing the introduction of additional evidence concerning the issues to which the parties have stipulated.

History

Authority G.S. 53C-2-2; 53C-2-6; 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0301 Appointment of Appellate Panel {#sec-04-ncac-03b-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0301}

In the event the Chairman of the Commission, pursuant to G.S. 53C-2-6(b) appoints an appellant panel to consider an appeal and make a recommended decision to the State Banking Commission, the Commissioner's staff shall send all parties written notice of that appointment.

History

Authority G.S. 53C-2-1(e); 53C-2-6(b); 53-215; 53-224.30; 53-231; 53-232.17; 53-244.121; 53-252; 53-272; 53-289; 53-350; 53-410; 53-412(d)
Eff. August 1, 2004
Amended Eff. November 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0302 Record on Appeal; Hearing Date; Memoranda of Law {#sec-04-ncac-03b-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0302}

(a) The record on appeal shall consist of the official agency record as set forth in G.S. 150B-42.

(b) The Commissioner's counsel, after consulting with the chair of the Commission or Appellate Panel, shall provide each party with written instructions setting forth the deadlines by which memoranda of law shall be filed by the parties, when the appeal will be considered by the Commission or Appellate Panel, and whether oral argument will be heard.

History

Authority G.S. 53C-2-1(e); 53C-2-6(b); 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0303 Oral Argument {#sec-04-ncac-03b-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0303}

(a) The decision to hear oral argument in an appeal to the Commission shall be in the discretion of the Commission or Appellate Panel. If oral argument is permitted, the chair of the Commission or Appellate Panel shall notify the Commissioner, who shall notify all parties and set a date and time for same.

(b) If oral argument is permitted, each party shall be allowed a maximum of 30 minutes for oral argument, including rebuttal arguments.

History

Authority G.S. 53C-2-1: 53C-2-6(b); 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03B .0304 COMMISSION REViEW OF APPELLATE PANEL'S RECOMMENDED DECISION {#sec-04-ncac-03b-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03B .0304}

(a) If an appeal is heard by an Appellate Panel, that Appellate Panel, after reviewing the record on appeal, memoranda of law and hearing oral arguments, if any, shall make a recommended decision to the Commission. The Commission shall, by a vote of the majority of its members present and voting at any regular or special meeting, either affirm, affirm with modifications or reject the recommended decision of the Appellate Panel.

(b) If the Commission rejects the Appellate Panel's recommended decision, it shall specify the actions the Appellate Panel or the Commissioner shall take with regard to the appeal.

(c) A decision to affirm or to affirm with modifications shall be considered a "final agency decision" for purposes of G.S.150B-42.

History

Authority G.S. 53C-2-1; 53C-2-6; 150B-38(h)
Eff. August 1, 2004
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

Subchapter C

04 NCAC 03C .0101 Application {#sec-04-ncac-03c-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0101}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-3-1(a); 53C-3-1(b); 53C-3-4; 53C-3-5; 53C-3-6; 53-137; 53-333
Eff. February 1, 1976
Amended Eff. January 1, 2013; September 1, 2006; September 1, 1990; November 1, 1982; July 24, 1979; August 1, 1978
Repealed Eff. October 1, 2014.

04 NCAC 03C .0102 Examination by Commissioner {#sec-04-ncac-03c-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0102}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-3-1(a); 53C-3-1(b); 53C-3-4; 53C-3-5; 53C-3-6; 53-137; 53-333
Eff. February 1, 1976
Amended Eff. January 1, 2013; September 1, 2006; September 1, 1990; November 1, 1982; July 24, 1979; August 1, 1978
Repealed Eff. October 1, 2014.

04 NCAC 03C .0103 Report to Banking Commission {#sec-04-ncac-03c-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0103}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-3-1(a); 53C-3-1(b); 53C-3-4; 53C-3-5; 53C-3-6; 53-137; 53-333
Eff. February 1, 1976
Amended Eff. January 1, 2013; September 1, 2006; September 1, 1990; November 1, 1982; July 24, 1979; August 1, 1978
Repealed Eff. October 1, 2014.

04 NCAC 03C .0104 Review by Banking Commission {#sec-04-ncac-03c-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0104}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-3-1(a); 53C-3-1(b); 53C-3-4; 53C-3-5; 53C-3-6; 53-137; 53-333
Eff. February 1, 1976
Amended Eff. January 1, 2013; September 1, 2006; September 1, 1990; November 1, 1982; July 24, 1979; August 1, 1978
Repealed Eff. October 1, 2014.

04 NCAC 03C .0105 Statement Filed Before Beginning Business {#sec-04-ncac-03c-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0105}

History

Status: repealed
Authority G.S. 53-4; 53-5; 53-7; 53-92; 150A-11(1)
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03C .0106 Certification to the Secretary of State {#sec-04-ncac-03c-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0106}

History

Status: repealed
Authority G.S. 53-4; 53-5; 53-7; 53-92; 150A-11(1)
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03C .0107 Bank Certificate {#sec-04-ncac-03c-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0107}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-3-7
Eff. February 1, 1976
Amended Eff. January 1, 2013
Repealed Eff. October 1, 2014.

04 NCAC 03C .0108 Judicial Review {#sec-04-ncac-03c-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0108}

History

Status: repealed
Authority G.S. 53-92; 150A-11(1); 150A-43
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03C .0109 Application to Establish Bank: Conditional Approval {#sec-04-ncac-03c-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0109}

History

Status: repealed
Authority G.S. 53-5; 53-92; 53-104; 150A-11(1)
Eff. February 1, 1976
Repealed Eff. November 1, 1982.

04 NCAC 03C .0110 Organizational Expenses {#sec-04-ncac-03c-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0110}

History

Status: repealed
Authority G.S. 53-2; 53-92; 53-104
Eff. February 1, 1976
Amended Eff. July 1, 1991; September 1, 1990
Repealed Eff. January 1, 2013.

04 NCAC 03C .0111 National Bank Conversion {#sec-04-ncac-03c-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0111}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-7-301
Eff. September 26, 1979
Amended Eff. January 1, 2013; September 1, 2006; September 1, 1990; August 1, 1988
Repealed Eff. October 1, 2014.

04 NCAC 03C .0112 Elimination of Director Liability {#sec-04-ncac-03c-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0112}

History

Status: repealed
Authority G.S 53C-2-5; 53C-4-6; 55-2-02(b)(3); 55-8-30
Eff. June 1, 1995
Amended Eff. January 1, 2013
Repealed Eff. October 1, 2014.

04 NCAC 03C .0201 Establishment of Branches {#sec-04-ncac-03c-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0201}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-6-15
Eff. February 1, 1976
Amended Eff. January 1, 2013; September 1, 2006; June 1, 1995; July 1, 1991; October 1, 1990; November 1, 1982
Repealed Eff. October 1, 2014.

04 NCAC 03C .0202 Discontinuance {#sec-04-ncac-03c-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0202}

History

Status: repealed
Authority G.S. 53-4; 53-62; 53-92; 53-104
Eff. February 1, 1976
Amended Eff. September 1, 2006; June 1, 1995; October 1, 1990; November 1, 1982
Repealed Eff. January 1, 2013.

04 NCAC 03C .0203 Discontinuance of a Limited Service Facility {#sec-04-ncac-03c-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0203}

History

Status: repealed
Authority G.S. 53-62; 53-92; 53-104; 53-122(3)
Eff. September 1, 1990
Amended Eff. September 1, 2006; June 1, 1995
Repealed Eff. January 1, 2013.

04 NCAC 03C .0204 Conversion of Branch to Limited Service Facility {#sec-04-ncac-03c-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0204}

History

Status: repealed
Authority G.S. 53-62; 53-92; 53-104; 53-122(3)
Eff. September 1, 1990
Amended Eff. September 1, 2006; June 1, 1995
Repealed Eff. January 1, 2013.

04 NCAC 03C .0301 Change of Location of Main Office, Branch or Ltd Svc Facility {#sec-04-ncac-03c-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0301}

History

Status: repealed
Authority G.S. 53-62; 53-92; 53-104; 53-122(3)
Eff. February 1, 1976
Amended Eff. September 1, 2006; June 1, 1995; September 1, 1990; November 1, 1982; August 1, 1978
Repealed Eff. February 1, 2013.

04 NCAC 03C .0302 Examination by Commissioner {#sec-04-ncac-03c-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0302}

History

Status: repealed
Authority G.S. 53-62; 53-92; 150A-11(1)
Eff. February 1, 1976
Amended Eff. March 15, 1978
Repealed Eff. November 1, 1982.

04 NCAC 03C .0303 Report {#sec-04-ncac-03c-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0303}

History

Status: repealed
Authority G.S. 53-62; 53-92; 150A-11(1)
Eff. February 1, 1976
Amended Eff. March 15, 1978
Repealed Eff. November 1, 1982.

04 NCAC 03C .0304 Review by Banking Commission {#sec-04-ncac-03c-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0304}

History

Status: repealed
Authority G.S. 53-62; 53-92; 150A-11(1)
Eff. February 1, 1976
Amended Eff. March 15, 1978
Repealed Eff. November 1, 1982.

04 NCAC 03C .0305 Final Order by Commissioner {#sec-04-ncac-03c-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0305}

History

Status: repealed
Authority G.S. 53-62; 53-92; 150A-11(1)
Eff. February 1, 1976
Amended Eff. March 15, 1978
Repealed Eff. November 1, 1982.

04 NCAC 03C .0306 Certificate {#sec-04-ncac-03c-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0306}

History

Status: repealed
Authority G.S. 53-62; 53-92; 150A-11(1)
Eff. February 1, 1976
Amended Eff. March 15, 1978
Repealed Eff. November 1, 1982.

04 NCAC 03C .0401 Application {#sec-04-ncac-03c-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0401}

History

Status: repealed
Authority G.S. 53-12; 53-92
Eff. February 1, 1976
Amended Eff. September 1, 2006; September 1, 1990; July 24, 1979
Repealed Eff. February 1, 2013.

04 NCAC 03C .0402 Publication {#sec-04-ncac-03c-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0402}

History

Status: repealed
Authority G.S. 53-12; 53-92; 150B-11(1)
Eff. February 1, 1976
Repealed Eff. August 1, 1988.

04 NCAC 03C .0403 Investigation {#sec-04-ncac-03c-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0403}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-7-202; 53C-7-203; 53C-7-209
Eff. February 1, 1976
Amended Eff. January 1, 2013; September 1, 1990
Repealed Eff. October 1, 2014.

04 NCAC 03C .0404 Order {#sec-04-ncac-03c-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0404}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-7-202; 53C-7-203; 53C-7-209
Eff. February 1, 1976
Amended Eff. January 1, 2013; September 1, 1990
Repealed Eff. October 1, 2014.

04 NCAC 03C .0405 Review by the Banking Commission {#sec-04-ncac-03c-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0405}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-7-202; 53C-7-203; 53C-7-209
Eff. February 1, 1976
Amended Eff. January 1, 2013; September 1, 1990
Repealed Eff. October 1, 2014.

04 NCAC 03C .0406 Filing with Secretary of State {#sec-04-ncac-03c-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0406}

History

Status: repealed
Authority G.S. 53-13; 53-92
Eff. February 1, 1976
Amended Eff. September 1, 1990
Repealed Eff. February 1, 2013.

04 NCAC 03C .0407 Waiver by Commissioner {#sec-04-ncac-03c-.0407 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0407}

History

Status: repealed
Authority G.S. 53C-2-5; 53C-2-1; 53C-9-101
Eff. November 1, 1982
Amended Eff. January 1, 2013
Repealed Eff. October 1, 2014.

04 NCAC 03C .0501 Operation of Banks on a Five-Day Week Basis {#sec-04-ncac-03c-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0501}

History

Status: repealed
Authority G.S. 53-77.1; 53-92; 150B-11(1)
Eff. February 1, 1976
Repealed Eff. July 1, 1990.

04 NCAC 03C .0502 Banks Reverting to a Six-Day Week Basis {#sec-04-ncac-03c-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0502}

History

Status: repealed
Authority G.S. 53-77.1; 53-92; 150B-11(1)
Eff. February 1, 1976
Repealed Eff. July 1, 1990.

04 NCAC 03C .0503 Days and Hours of Regular Operation {#sec-04-ncac-03c-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0503}

History

Status: repealed
Authority G.S. 53-77.1A(d); 53-92
Eff. July 1, 1990
Repealed Eff. January 1, 2013.

04 NCAC 03C .0601 Examination {#sec-04-ncac-03c-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0601}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-109; 53-117; 53-123; 53-125; 150A-11(1)
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03C .0602 Report {#sec-04-ncac-03c-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0602}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-109; 53-117; 53-123; 53-125; 150A-11(1)
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03C .0701 Examining Committee Report {#sec-04-ncac-03c-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0701}

History

Status: repealed
Authority G.S. 53-83; 53-92; 53-99; 53-105
Eff. February 1, 1976
Amended Eff. September 1, 2006; July 1, 1990; September 26, 1979
Repealed Eff. April 1, 2007.

04 NCAC 03C .0702 Reports of Condition and Income {#sec-04-ncac-03c-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0702}

History

Status: repealed
Authority G.S. 53-83; 53-92; 53-99; 53-105
Eff. February 1, 1976
Amended Eff. September 1, 2006; July 1, 1990; September 26, 1979
Repealed Eff. April 1, 2007.

04 NCAC 03C .0703 Publisher's Copy, Report of Condition and Income {#sec-04-ncac-03c-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0703}

History

Status: repealed
Authority G.S. 53-83; 53-92; 53-99; 53-105
Eff. February 1, 1976
Amended Eff. September 1, 2006; July 1, 1990; September 26, 1979
Repealed Eff. April 1, 2007.

04 NCAC 03C .0704 Consolidated Report of Income {#sec-04-ncac-03c-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0704}

History

Status: repealed
Authority G.S. 53-92; 53-106; 53-107; 150B-11(1)
Eff. February 1, 1976
Amended Eff. September 26, 1979
Repealed Eff. July 1, 1990.

04 NCAC 03C .0705 Report of Management and Personnel {#sec-04-ncac-03c-.0705 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0705}

History

Status: repealed
Authority G.S. 53-92; 53-106; 53-107; 150B-11(1)
Eff. February 1, 1976
Amended Eff. September 26, 1979
Repealed Eff. July 1, 1990.

04 NCAC 03C .0801 Oath of Directors {#sec-04-ncac-03c-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0801}

History

Status: repealed
Authority G.S. 53-43(3)c; 53-49; 53-80; 53-81; 53-84; 53-92; 53-99
Eff. February 1, 1976
Amended Eff. September 1, 2006; May 1, 1992; September 26, 1979
Repealed Eff. January 1, 2013.

04 NCAC 03C .0802 Depository Banks {#sec-04-ncac-03c-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0802}

History

Status: repealed
Authority G.S. 53-43(3)c; 53-49; 53-80; 53-81; 53-84; 53-92; 53-99
Eff. February 1, 1976
Amended Eff. September 1, 2006; May 1, 1992; September 26, 1979
Repealed Eff. January 1, 2013.

04 NCAC 03C .0803 Other Real Estate {#sec-04-ncac-03c-.0803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0803}

History

Status: repealed
Authority G.S. 53-43(3)c; 53-49; 53-80; 53-81; 53-84; 53-92; 53-99
Eff. February 1, 1976
Amended Eff. September 1, 2006; May 1, 1992; September 26, 1979
Repealed Eff. January 1, 2013.

04 NCAC 03C .0804 Suspension of Investment and Loan Limitation {#sec-04-ncac-03c-.0804 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0804}

History

Status: repealed
Authority G.S. 53-43(3)c; 53-49; 53-80; 53-81; 53-84; 53-92; 53-99
Eff. February 1, 1976
Amended Eff. September 1, 2006; May 1, 1992; September 26, 1979
Repealed Eff. January 1, 2013.

04 NCAC 03C .0805 Stockholders List {#sec-04-ncac-03c-.0805 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0805}

History

Status: repealed
Authority G.S. 53-42.1; 53-85; 53-92; 53-108; 150A-11(1)
Eff. February 1, 1976
Amended Eff. September 26, 1979
Repealed Eff. January 1, 1985.

04 NCAC 03C .0806 Changes in Ownership and Management {#sec-04-ncac-03c-.0806 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0806}

History

Status: repealed
Authority G.S. 53-42.1; 53-85; 53-92; 53-108; 150A-11(1)
Eff. February 1, 1976
Amended Eff. September 26, 1979
Repealed Eff. January 1, 1985.

04 NCAC 03C .0807 Subsidiary Investment Approval {#sec-04-ncac-03c-.0807 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0807}

History

Status: repealed
Authority G.S. 53-47; 53-93; 53-95; 53-104
Eff. May 1, 1992
Amended Eff. December 1, 2011; June 1, 1995
Repealed Eff. January 1, 2013.

04 NCAC 03C .0901 Books and Records {#sec-04-ncac-03c-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0901}

(a) Each bank, each affiliate of the bank, and the bank's parent holding company, shall keep, and make available for examination by the representatives of the Commissioner of Banks, books and records that reflect all the transactions of the bank in its true financial condition. Such records shall be kept so as to permit and facilitate a speedy examination, by the representatives of the Commissioner of Banks. Without implying that these are the only books and records to be kept, the following books and records shall be kept at the bank, or at its parent holding company, unless another storage site is approved by the Commissioner of Banks in writing by letter or other written agreement:

(1) Alphabetical direct and indirect liability ledgers. Each bank shall keep an alphabetical direct and indirect liability ledger. The alphabetical direct liability ledger shall show a customer's direct obligations owed to the bank by loan name or account number and the balance outstanding under each account. The alphabetical indirect liability ledger shall show a customer's indirect obligations owed to the bank by loan name or account number and the balance outstanding under each account. The alphabetical direct liability ledger shall be kept in balance with the general ledger control. The alphabetical indirect liability ledger shall be updated at least monthly. Where the aggregate total of a customer's direct and indirect obligations to the bank do not exceed twenty thousand dollars ($20,000), the indirect obligations of that customer may be omitted from the alphabetical indirect liability ledger. In a bank whose automated record system is not able to produce an alphabetical liability ledger, the bank shall produce an alphabetical listing of borrowers showing all of a customer's loan or account numbers and the amount outstanding under each number when called upon by representatives of the Commissioner of Banks. Each bank shall have the ability to produce both the direct and indirect liability ledgers in hard copy form upon request by representatives of the Commissioner of Banks.

(2) Monthly reconciliation of accounts with correspondent banks. A record shall be kept, showing the monthly reconciliation of each account with correspondent banks. A signed review of such reconciliations shall be made by an officer or employee of the bank other than the person responsible for preparing the reconciliation.

(3) Purchases and sales of securities. A record shall be kept of purchases and sales of securities. The record shall include the following:

(A) dates of purchases and sales;

(B) interest rates;

(D) par value;

(E) cost value;

(F) all write-ups or write-downs;

(G) a full description of the security;

(H) from whom purchased;

(I) to whom sold;

(J) purchase price;

(K) selling price; and

(L) when, where, and why pledged or deposited.

This record shall be maintained in balance with the general ledger control.

(4) Charge-offs. A record shall be kept of all items charged off and of all recoveries. All charge-offs shall be authorized or approved by the executive committee or by the board of directors and such action recorded in their minutes. The charge-off record shall show the date of the charge-off, a description of the asset, and the amount of the charge-off. The record shall be supported by the actual charged-off items, or the final disposition of any charged-off item. The record of recoveries shall show the date and amount of each recovery.

(5) Records of real estate. A record shall be kept on all parcels owned, including the banking house. The record shall show when the property was acquired, how the property was acquired, the cost of the property, the book value of the property, and detailed income and expense reports relating to the property. This record shall be supported by appraisals, title certificates showing assessed value, tax receipts, and hazard insurance policies relating to the property.

(6) Meeting minutes and consent to action. Minutes of all board of directors meetings, board committee meetings, and stockholders meetings (including each consent to action without a meeting), shall be kept showing any action resulting from the meeting. All minutes shall be signed by the chairman and the secretary of such meeting.

(7) Cash items held over. A daily record shall be kept of all cash items held over from the day's business, including all checks that would cause an overdraft if handled in the regular way. This record shall be kept in balance with the general ledger control and shall identify the account on which the item is drawn or is obligated for payment, the reason the item is being held, the date the item was placed in the cash items account, and the amount of the item.

(8) Record of income and expenses. A detailed record of income and expenses shall be kept and balanced monthly. A report of this record shall be made to the executive committee or board of directors, and the receipt of same noted in their minutes.

(9) Industrial bank reports of condition. Each industrial bank, when preparing a report of condition and income, shall include and make a part of its report a list of those whose aggregate direct and indirect obligations to the bank, including paper purchased by the bank, are in excess of ten percent of the industrial bank's capital, surplus, and undivided profits. In lieu of this list, the industrial bank may maintain a direct and indirect liability ledger in accordance with Subparagraph (a)(1) of this Rule.

(b) Unless another storage site is approved by the Commissioner of Banks in writing by letter or other written agreement, a bank's books and records and the books and records of the bank's parent holding company shall be kept at the bank or at the bank's parent holding company; and the books and records of an affiliate of the bank shall be kept at the affiliate, the bank, or the bank's parent holding company.

(c) Based upon the condition of a bank as determined by examination or otherwise, the Commissioner of Banks may require a bank to prepare or maintain different or additional books, records, and reports.

History

Authority G.S. 53C-8-6
Eff. February 1, 1976
Amended Eff. October 1, 2014; June 1, 1995; May 1, 1992; October 1, 1990; September 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .0902 Required Accounts {#sec-04-ncac-03c-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0902}

To ensure that the books and records of the bank properly reflect all of its liabilities, the following reserve accounts shall be set up and maintained by all banks:

(1) Reserve for Interest Due Depositors. This reserve shall be set up and proper entries made at least once each month. As interest is paid to depositors, payments shall be charged to this account. Each month, as credits are made to this reserve, the amount shall be charged to interest paid to depositors' accounts.

(2) Reserve for Unearned Interest on Loans. All interest collected on notes shall be credited to this account on the day it is collected. At least once each month, earned interest shall be computed, charged to this account, and credited to earned interest account. This Subparagraph shall not apply to loans where interest is accounted for through an income-earned-not-collected account.

(3) Bond Income Earned; Not Collected. At least once each month, the income on bonds earned during the month shall be charged to this account and credited to the bond income account. As coupons are collected, they shall be credited to this account.

History

Authority G.S. 53C-8-1; 53C-8-6
Eff. February 1, 1976
Amended Eff. October 1, 2014; September 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .0903 Retention: Reproduction and Disposition of Bank Records {#sec-04-ncac-03c-.0903 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0903}

(a) Each bank, at a location with secured access, shall keep and retain books, ledgers, records, and documents set forth for the periods specified.

Bank Records Minimum

to be Retained Retention Period

ACCOUNTING

Daily Reserve Calculation and Averages 3 years
Difference Records (Over/Short) 2 years
Paid Bills and Invoices 3 years
Quarterly Report of Condition and Income and Supporting Work Papers 5 years

ADMINISTRATIVE

Documentation of Charged-off Assets 10 years
Escheat Reports and Records 10 years
Minutes of Meetings of Stockholders, Directors, and

Board Committees Permanent

AUDIT

Audit Reports (Internal and External) 3 years
Audit Work Papers (Internal) 3 years

BANK PROPERTIES

Fixed Assets-Evidence of Ownership (After Acquisition) 5 years
Fixed Assets-Leases (After Termination) 5 years
Real Estate-Construction Records 5 years
Real Estate-Deeds Until conveyed
Real Estate-Leases (After Termination) 5 years

CAPITAL

Capital Stock Certificate Books, Stubs, or Interleaves Permanent
Capital Stock Ledger Permanent
Capital Stock Transfer Register Permanent
Proxies 3 years

COLLECTIONS

Collection Registers (Incoming and Outgoing) 3 years after item paid or returned
Receipts and Advices (After Closed) 1 year

CREDIT CARDS

Borrowing Authority Resolutions (After Closed) 3 years
Customer Application (After Closed) 1 year
Disclosure and Compliance Documents 25 months
Merchants' Agreement (After Closed) 2 years
Posting or Transaction Journal 2 years
Sales Tickets or Drafts 3 years
Statement of Account 5 years

DEMAND DEPOSIT AND TRANSACTION ACCOUNTS

Checks and Debits 5 years
Daily Report on Overdrafts 2 years
Deposit Resolutions (After Closed) 3 years
Deposit Tickets and Credits 5 years
Ledgers, Statements, or Stubs 5 years
Letters of Administration 5 years
Posting or Transaction Journals 5 years
Powers of Attorney 5 years after closing
Return Item Records 1 year
Signature Cards (After Closed) 5 years
Stop Payment Orders 1 year
Undelivered Statements 1 year
Unidentified or Unclaimed Deposit Records Until escheated

DUE FROM BANKS

Advice of Entry (After Cleared) 3 months
Drafts (After Paid) 5 years
Draft Register Until paid
Reconcilements 5 years
Statements 3 years

GENERAL LEDGER

Daily Statement of Condition 5 years
General Journal (If Book of Original Entries, with Descriptions) 15 years
General Ledgers 15 years
General Ledger Tickets 5 years

INSURANCE

Bankers Blanket Bond and Excess 5 years
General Casualty Liability Policies Expired 5 years

INTERNATIONAL

Bankers Acceptances 3 years
Collection Records 3 years after item paid or returned
Letters of Credit and Documents 3 years after expiration
Transfer Orders (Wire or Written) 1 year

INVESTMENTS

Accrual and Bond Amortization or Accretion Records (After Period Ends) 3 years
Brokers' Confirmations, Invoices, Statements 3 years
Ledgers 3 years
Records of Purchases and Sales of Securities 5 years

LEASE RECEIVABLES (OTHER THAN REAL ESTATE)

Lease Agreements and Documents (After Termination) 5 years
Rental Payment Records 5 years
Record of Disposition of Property 5 years

LEGAL JUDICIAL AUTHORIZATION

Attachments or Garnishments 10 years
Court Case Records (After Final Disposition) 10 years
Probate Court Appointment (After Closed) 10 years

LOANS (COMMERCIAL, CONSUMER, MORTGAGE)

Appraisals, Financing Statements, and Until paid

Title Opinions Pertaining to Collateral

Borrowing Resolutions 3 years after payment of debt
Credit Files (Financial Statements, Applications, Correspondence)

(After Paid) 2 years

Collateral Records (After Released) 5 years
Interest Rebate Records 1 year
Liability Cards or Ledgers (After Closed) 3 years
Loan Ledger Cards or History Sheets (After Paid) 3 years
Loan Proceeds Disbursement Records Until paid
Loans Paid Record 3 years
Mortgage Files and Supporting Documents (After Paid) 2 years
Note or Loan Register (After Paid) 3 years
Posting or Transaction Journal 2 years

MAIL

Insurance Records of Registered and Certified 1 year
Registered and Certified Records (In and Out) 1 year
Return Receipt Record 1 year

MISCELLANEOUS

Cash and Security Vault Records-Opening, Closing 6 months
Taxes-Returns and Supporting Papers 3 years or until cleared by

IRS and Dept. of Revenue

Travelers Checks-Applications 1 year

MONEY TRANSFER

Copy of Incoming and Outgoing Transfers 1 year
General Correspondence 1 year
Receipts and Advices (After Closed) 1 year
Transfer Request Records 1 year

NIGHT DEPOSITORY

Customer Agreement (After Closed) 1 year
Customer Receipt 1 year
Daily Inventory 1 year

OFFICIAL CHECKS

Official Checks (Dividend, Cashiers, Expense, Loan) and Money Orders

(After Paid) 5 years

Official Check Register or Carbon Copy Until paid or escheated
Certified Checks or Receipts (After Paid) 5 years
Certified Check Register or File Copy Until paid or escheated
Affidavits and Indemnity pertaining to Issuance of Duplicate Checks Permanent

PROOF AND TRANSIT

Advice of Correction 6 months
Cash Tickets 6 months
Outgoing Cash Letters and Accompanying Items (Microfilm) 2 years
Proof Sheets, Tapes, and Listings 2 years

SAFE DEPOSIT

Access Records (After Closed) 3 years
Box History Card Permanent
Contracts and Agreements (After Closed) 3 years
Forced Entry Records 10 years

SAFEKEEPING AND CUSTOMER SECURITIES

Broker Confirmations, Invoices, Statements 3 years
Buy and Sell Orders 3 years
Customer Contracts and Agreements (After Closed) 3 years
In and Out Records (Movement of Securities) 3 years
Safekeeping Receipts (After Closed) 3 years

SAVINGS AND TIME DEPOSITS

Certificates of Deposit Paid 5 years
Certificates of Deposit Records (Register, Ledger, Copy) Until paid or escheated
Daily Report of Overdrafts 2 years
Debits and Withdrawals 5 years
Deposit and Credit Tickets 5 years
Deposit Resolution (After Closed) 3 years
Ledgers or Statements 5 years
Posting or Transaction Journal 1 year
Signature Cards, Contracts, and Agreements (After Closed) 5 years
Undelivered Statements 1 year
Unidentified or Unclaimed Deposit Records Until escheated

TELLERS

Balance Sheets, Recaps, or Records 1 year
Cash Item Report 1 year
Machine Tapes, Cash Ticket Copies, Posting or Transaction Journals 6 months
Daily Record of Cash Items Held Over 1 year

TRUST (Corporate)

Account Ledger or Record 7 years after account closed
Posting or Transaction Journal 7 years
Bonds of Indemnity Permanent
Stock Certificates (Cancelled) until returned to corporation
Dividend Checks – Paid 5 years
Dividend Check Register or Carbon Copy Until paid
Bonds and Coupons – 7 years after

Cancelled or Cremation Certificates paid or until returned to corporation

Resolutions and Authorizations 7 years after account closed

TRUST (Employee Benefit)

Accountings 6 years after account closed
Agreements, Authorizations, and Resolutions 6 years after account closed
Account Ledger or Record 6 years after account closed
Disbursement Checks 6 years
Check Register or Carbon Copy Until Paid
Bonds of Indemnity Permanent

TRUST (Personal)

Accountings 3 years after account closed
Agreements and Authorizations 5 years after account closed
Account Ledger or Record 7 years after account closed
Minutes of Committee Meetings Permanent
Receipts for Assets Delivered 3 years after account closed
Tax Return 10 years or until IRS clears
Disbursement Checks 5 years
Check Register or Carbon Copy Until paid
Bonds of Indemnity Permanent

(b) Nothing in these Rules shall prohibit any bank or branch thereof from keeping and maintaining any and all of its records for a longer period of time than set forth by the minimum retention period.

(c) Paragraph (a) of this Rule sets forth state minimum records retention requirements and does not include nor cover records required to be kept by federal agencies such as federal bank supervisory agencies, and other federal agencies. Banks shall also observe the requirements of such federal agencies in retention of records required by such agencies.

(d) Nothing in these Rules shall prohibit any bank or branch from causing any or all of its records, whether permanent records or records designated to be retained for a minimum period of time, to be maintained pursuant to G.S. 53C-6-14.

History

Authority G.S. 53C-2-5; 53C-6-14; 53C-8-1
Eff. February 1, 1976
Amended Eff. October 1, 2014; January 1, 2013; May 1, 1992; September 1, 1990; January 1, 1985
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .0904 Letters of Credit {#sec-04-ncac-03c-.0904 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0904}

The bank shall maintain supporting records on all letters of credit issued and outstanding, except for letters of credit sold for cash, and shall show the following information:

(1) the name of the account party for whom the letter of credit is established;

(2) the name of the beneficiary;

(3) the amount;

(4) the expiration date; and

(5) the terms under which payment is authorized.

History

Authority 53C-8-1
Eff. April 21, 1979
Amended Eff. October 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .0905 investment authority {#sec-04-ncac-03c-.0905 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .0905}

A bank may invest in mutual funds to the same extent and within the same limitation as permitted for national banks by statute, regulation, or interpretation of the applicable federal regulator, as reflected in the U.S. Office of the Comptroller of Currency "Investment Securities: Comptroller's Handbook" (Section 203) or their written interpretations that is hereby incorporated by reference and shall include any later amendments and editions of the referenced material. This information may be obtained from the Office of the Comptroller of Currency website at http://www.occ.gov/publications/publications-by-type/comptrollers-handbook/investsecurities1.pdf at no cost at the time of adoption of this Rule.

History

Authority G.S. 53C-5-2
Eff. October 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .1001 Loan Documentation {#sec-04-ncac-03c-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1001}

(a) Each bank shall establish and maintain loan documentation practices that include the following:

(1) enable the institution to make an informed lending decision and to assess risk, as necessary on an ongoing basis;

(2) identify the purpose of a loan and the source of repayment, and assess the ability of the borrower to repay the indebtedness in a timely manner;

(3) ensure that any claim against a borrower is legally enforceable;

(4) demonstrate appropriate administration and monitoring of a loan; and

(5) take account of the size and complexity of a loan.

Loan documentation practices shall comply with the requirements of the Interagency Guidelines Establishing Standards for Safety and Soundness, 12 C.F.R. Part 364 Appendix A, as applied by the Federal Deposit Insurance Corporation or the Federal Reserve System, which are hereby incorporated by reference including subsequent amendments or additions. This information is available at https://www.ecfr.gov/ at no cost.

(b) Each bank shall maintain on file the following loan documentation:

(1) Certificate of Title. A title opinion furnished by an attorney at law, a title report, a title insurance policy issued by a company licensed by the Commissioner of Insurance, or other insurance coverage that provides the bank similar protection against loss from title defects, errors, or omissions at closing, or related risks, shall be obtained in connection with each deed of trust or mortgage given as security on each real estate-secured loan when:

(A) the loan is primarily secured by real property and only secondarily by the borrower's general credit-worthiness; and

(B) the amount of the loan secured by the real property is one hundred thousand dollars ($100,000) or more.

(2) Corporate Resolutions. A loan made to a corporation shall be supported by a certified copy of a resolution of the board of directors of the corporation, authorizing the loan transaction.

(3) Partnership Declaration. A loan made to a partnership shall be supported by a declaration of the general partners showing the composition of the partnership and unless all partners sign the note, the authority of the partner(s) executing the note to bind the partnership.

(4) Limited Liability Company Certification. A loan made to a limited liability company shall be supported by a certification of a manager thereof that the loan has been duly authorized by the limited liability company.

(5) Unlisted Securities Held as Collateral. Full credit information on all unlisted securities shall be kept on file in the bank.

History

Authority G.S. 53C-6-1; 53C-8-1
Eff. February 1, 1976
Amended Eff. October 1, 2014; December 1, 2011; April 1, 2007; June 1, 1995; May 1, 1992; September 1, 1990; September 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017
Amended April 1, 2018.

04 NCAC 03C .1002 Leasing of Personal Property {#sec-04-ncac-03c-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1002}

Each bank acquiring and leasing personal property or, acquiring personal property that is subject to an existing lease together with the lessor's interest therein and incurring such additional obligations as may be incident to becoming an owner and lessor of such property, may do so only when subject to the following restrictions:

(1) Before the acquisition, upon the specific request and for the use of the customer, the prospective lessee shall execute an agreement to lease such property;

(2) During the minimum period of the lease, the terms of the lease shall require payment to the bank by the lessee of rentals that, in the aggregate shall exceed the total expenditures by the bank for or in connection with the ownership, maintenance, and protection of the property. In determining the total expenditures under this Rule, a bank may deduct a realistic residual value in determining the rentals to be charged during the term of a lease agreement. Any unguaranteed portion of the estimated residual value relied upon by the bank to calculate total expenditures under this Rule may not exceed 25 percent of the original cost of the property to the lessor. The amount of any estimated residual value guaranteed by a manufacturer, the lessee, or a third party that is not an affiliate of the bank may exceed 25 percent of the original cost of the property where the bank determines and provides supporting documentation that the guarantor has the resources to meet the guarantee;

(3) The total leasing obligations or rentals to any bank of any person, partnership, association, corporation, or limited liability company shall at no time exceed the legal limit permitted by G.S. 53C-6-1;

(4) The overall investment of the bank in such property leased to all lessees shall at no time exceed 200 percent of its capital;

(5) The bank shall at all times maintain protection by way of insurance or indemnity provided by the lessee;

(6) No lease or other agreement shall obligate the bank to maintain, repair, or service personal property in connection with any lease held by it;

(7) No personal property acquired pursuant to the ownership or lease of personal property shall be included in the computable investment in fixed assets under G.S. 53C-5-2;

(8) Rental payments collected by the bank under lease arrangements shall be rent and shall not be deemed to be interest or compensation for the use of money loaned;

(9) Upon expiration of any lease, whether by virtue of the lease agreement or by virtue of the retaking of possession by the bank, such personal property shall be re-let, sold, otherwise disposed of, or charged off within one year from the time of expiration of such lease; and

(10) Upon written request, the Commissioner of Banks may waive or modify any of the foregoing restrictions. In evaluating such a request, the Commissioner of Banks shall consider the following factors:

(a) the bank's size, profitability, capital sufficiency, risk profile, market, and operational capabilities, especially with a view towards the bank's involvement in lease financing;

(b) current best practices of financial institutions engaged in lease financing;

(c) the nature, size, duration, aggregate amount, and other risks attendant to the bank's lease financing transactions; and

(d) the risk of significant loss to the bank if the Commissioner of Banks does not grant the request.

History

Authority G.S. 53C-2-5; 53C-5-2; 53C-8-1
Eff. February 1, 1976
Amended Eff. October 1, 2014; January 1, 2013; April 1, 2007; September 1, 1990; September 1, 1983; May 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .1101 Definitions: Issuance of Capital Notes and Debentures {#sec-04-ncac-03c-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1101}

History

Status: repealed
Authority G.S. 53-1; 53-43.4; 53-92; 53-104
Eff. February 1, 1976
Amended Eff. June 1, 1995; September 26, 1979
Repealed Eff. April 1, 2007.

04 NCAC 03C .1102 Capital Debentures and Notes {#sec-04-ncac-03c-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1102}

History

Status: repealed
Authority G.S. 53-1; 53-43.4; 53-92; 53-104
Eff. February 1, 1976
Amended Eff. June 1, 1995; September 26, 1979
Repealed Eff. April 1, 2007.

04 NCAC 03C .1103 Capital Stock {#sec-04-ncac-03c-.1103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1103}

History

Status: repealed
Authority G.S. 53-1(3)d; 53-2(4); 53-42; 53-104
Eff. May 1, 1992
Repealed Eff. January 1, 2013.

04 NCAC 03C .1104 Maintenance of Capital Surplus {#sec-04-ncac-03c-.1104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1104}

History

Status: repealed
Authority G.S. 53-1(3)d; 53-2(4); 53-42; 53-104
Eff. May 1, 1992
Repealed Eff. January 1, 2013.

04 NCAC 03C .1105 Notice of Impairment {#sec-04-ncac-03c-.1105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1105}

History

Status: repealed
Authority G.S. 53-1(3)d; 53-2(4); 53-42; 53-104
Eff. May 1, 1992
Repealed Eff. January 1, 2013.

04 NCAC 03C .1201 School Thrift or Savings Plan {#sec-04-ncac-03c-.1201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1201}

History

Status: repealed
Authority G.S. 53-43.6; 53-92; 53-104
Eff. February 1, 1976
Repealed Eff. January 1, 2013.

04 NCAC 03C .1202 Resume of the Plan {#sec-04-ncac-03c-.1202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1202}

History

Status: repealed
Authority G.S. 53-43.6; 53-92; 53-104
Eff. February 1, 1976
Repealed Eff. January 1, 2013.

04 NCAC 03C .1301 Annual Vacation {#sec-04-ncac-03c-.1301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1301}

History

Status: repealed
Authority G.S. 53-92; 53-104
Eff. February 1, 1976
Amended Eff. June 1, 1995; October 1, 1990
Repealed Eff. April 1, 2007.

History

Status: repealed
Authority G.S. 53-10; 53-43; 53-43.3; 53-104
Eff. February 1, 1976
Amended Eff. October 1, 2011; June 1, 1995; July 1, 1990
Repealed Eff. January 1, 2013.

04 NCAC 03C .1303 Insider Transactions {#sec-04-ncac-03c-.1303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1303}

History

Status: repealed
Authority G.S. 53-92; 53-95; 53-104; 53-106; 53-110
Eff. April 21, 1979
Repealed Eff. January 1, 1984.

04 NCAC 03C .1401 Requirement of Reserve Fund {#sec-04-ncac-03c-.1401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1401}

(a) The amount of the reserve fund which shall be established and maintained shall at all times equal the reserves required by the Federal Reserve System for non-member banks.

(b) In the event the reservable liabilities of any bank are such that no reserve is required of that bank by the Federal Reserve System, such bank shall maintain a reserve fund equal to three percent of its total deposits of every kind which are not secured by a deposit of bonds, notes, bills, and certificates of indebtedness of the United States, or agency thereof, or other obligations guaranteed by the United States Government, or the bond obligations of the State of North Carolina, its counties, municipalities, and other political subdivisions thereof.

History

Authority G.S. 53C-4-11
Eff. February 1, 1976
Amended Eff. July 1, 1990; August 6, 1981
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .1402 Basis for Computation and Maintenance {#sec-04-ncac-03c-.1402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1402}

Required reserves shall be computed on the basis of the daily average deposit balance during a 14-day period ending every second Monday (the "computation period"). The method for determining the amount of reserve required is set forth in Rule .1401 of this Section. The reserves that are required to be maintained shall be maintained during a corresponding 14-day period (the "maintenance period") that begins on the second Thursday following the end of a given computation period and ends on the second Wednesday thereafter. For non-business days, deposit figures of the prior banking day shall be used.

History

Authority 53C-4-11
Eff. February 1, 1976
Amended Eff. October 1, 2014; July 1, 1990; August 6, 1981
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .1403 Reserve Fund Defined {#sec-04-ncac-03c-.1403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1403}

History

Status: repealed
Authority G.S. 53-51; 53-92; 53-104
Eff. September 26, 1979
Amended Eff. August 6, 1981
Repealed Eff. January 1, 2013.

04 NCAC 03C .1501 Customer-Bank Communication Terminals {#sec-04-ncac-03c-.1501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1501}

History

Status: repealed
Authority G.S. 53-62; 53-92; 53-104
Eff. February 1, 1976
Amended Eff. May 1, 1992; September 1, 1990
Repealed Eff. April 1, 2001.

04 NCAC 03C .1502 Limitations {#sec-04-ncac-03c-.1502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1502}

History

Status: repealed
Authority G.S. 53-62; 53-92; 53-104
Eff. February 1, 1976
Amended Eff. May 1, 1992; September 1, 1990
Repealed Eff. April 1, 2001.

04 NCAC 03C .1601 Fees, Copies and Publication Costs {#sec-04-ncac-03c-.1601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1601}

(a) For applications, petitions, and other proceedings to be filed with the Commissioner of Banks, the following fees shall be paid to the Commissioner of Banks at the time of filing:

(1) Application for the Formation of a New Bank or State Trust Institution $8,000.00

(2) Application to Merge or Consolidate Banks, State Trust

Institutions, or Bank Holding Companies (fee is per institution) $5,000.00

(3) Application for Reorganization Into a Bank Holding Company Through $3,000.00

an Interim Bank (fee is per bank)

(4) Application for Bank or Bank Holding Company Change in Control $5,000.00

(5) Application for Conversion of a National Bank to State Charter $2,500.00

(6) Application for Voluntary Liquidation $3,000.00

(7) Application for Conversion of a Savings and Loan Association or a Savings $2,500.00

Bank to a State Bank

(b) The fees set forth in Paragraph (a) of this Rule are for standard applications, petitions, and other proceedings filed and considered in the ordinary course of business. Any application, petition, or other proceeding that in the opinion of the Commissioner of Banks requires extraordinary review, investigation, or special examination shall be subject to the actual costs of additional expenses and the hourly rate for the staff's time to be determined annually by the Banking Commission. The Commissioner of Banks shall advise an applicant or petitioner in advance of any additional work required and the hourly rate for the same. The hourly rate shall be:

(1) For Senior Administrative staff $75.00

(2) For Senior Examination Staff $50.00

(3) For Financial Program Manager $35.00

(4) For Financial Examiner $25.00

(c) Unless otherwise stated, publications externally printed may be obtained at a cost equal to the actual cost of printing plus shipping and handling. All other publications or public record copies are available at the "actual cost" as defined in G.S. 132-6.2(b) for making the copy and mailing cost if applicable. The Office of the Commissioner of Banks shall provide its "actual cost" on the agency's website.

History

Authority G.S. 53C-3-1; 53C-5-2; 53C-7-101; 53C-7-201; 53C-7-207; 53C-7-301; 53C-10-102; 53C-10-103; 53C-10-201; 54B-34.2; 54C-47
Eff. July 1, 1990
Amended Eff. October 1, 2014; June 1, 2004; June 1, 1995; May 1, 1992; July 1, 1991
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .1701 Definitions {#sec-04-ncac-03c-.1701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1701}

History

Status: repealed
Authority G.S. 53-104; 53-115; 53-127
Eff. June 1, 1995
Repealed Eff. January 1, 2013.

04 NCAC 03C .1702 ESTABLISHMENT OF A NON-BRANCH BANK BUSINESS OFFICE (nbbo) {#sec-04-ncac-03c-.1702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1702}

(a) A bank may establish or relocate a NBBO as defined in G.S. 53C-1-4(46) upon giving written notice to the Commissioner of Banks. The notice shall acknowledge:

(1) The NBBO may be used to solicit loans, assemble credit information, make property inspections and appraisals, complete loan applications, perform preliminary paper work in preparation for the making of loans, and provide banking related services and products, other than the taking of deposits;

(2) Loans may not be approved and loan proceeds may not be disbursed through the NBBO;

(3) The NBBO may not be used to accept deposits; and

(4) The NBBO may be inspected by the Commissioner of Banks for compliance with the written notice, and the cost of the inspection shall be borne by the bank.

(b) The bank shall provide written notice to the Commissioner of Banks when relocating or closing any NBBO.

(c) If required by the Secretary of State, the NBBO shall obtain a certificate of authority to do business in North Carolina.

History

Authority G.S. 53C-1-4(46); 53C-6-18; 53C-8-2(3)
Eff. June 1, 1995
Amended Eff. October 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .1703 Establishment of Lockbox Services {#sec-04-ncac-03c-.1703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1703}

History

Status: repealed
Authority G.S. 53-104; 53-115; 53-127
Eff. June 1, 1995
Repealed Eff. January 1, 2013.

04 NCAC 03C .1704 Establishment of a Trust Representative Office (tro) {#sec-04-ncac-03c-.1704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1704}

History

Status: repealed
Authority G.S. 53-104; 53-115; 53-127
Eff. June 1, 1995
Repealed Eff. January 1, 2013.

04 NCAC 03C .1801 Establishment of Courier Services {#sec-04-ncac-03c-.1801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1801}

A bank may provide a courier or messenger service to its customers only if:

(1) the bank complies with the requirements imposed by the Private Protective Services Act G.S. 74C-1. Et. Seq.; and

(2) a written agreement between the bank and the customers contains the following:

(a) a statement that the courier is the agent of the customer and not the agent of the bank;

(b) a statement that deposits collected by the courier or messenger are received by the bank when the deposits have been delivered to a teller at the bank's premises or a location that is eligible and designated by the bank to receive deposits;

(c) a statement that negotiable instruments collected by the courier or messenger are paid at the bank when delivered to the courier or messenger; and

(d) an acknowledgment by the customer that transactions conducted by a courier service are not insured by the FDIC.

History

Authority G.S. 53C-5-1; 53C-8-1
Eff. June 1, 1995
Amended Eff. October 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03C .1802 Compliance and Disclosure Requirements {#sec-04-ncac-03c-.1802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03C .1802}

History

Status: repealed
Authority G.S. 53C-5-1; 53C-8-1
Eff. June 1, 1995
Repealed Eff. October 1, 2014.

Subchapter D

04 NCAC 03D .0101 Application {#sec-04-ncac-03d-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0101}

History

Status: repealed
Authority G.S. 53-92; 53-160
Eff. February 1, 1976.
Amended Eff. September 1, 2006
Repealed Eff. October 1, 2012 pursuant to G.S. 150B-21.7.

04 NCAC 03D .0102 Issuance {#sec-04-ncac-03d-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0102}

History

Status: repealed
Authority G.S. 53-92; 53-160; 53-161; 53-162; 53-163; 150A-11(1)
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03D .0103 Certificate of Solvency {#sec-04-ncac-03d-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0103}

History

Status: repealed
Authority G.S. 53-92; 53-160; 53-161; 53-162; 53-163; 150A-11(1)
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03D .0104 Revocation {#sec-04-ncac-03d-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0104}

History

Status: repealed
Authority G.S. 53-92; 53-160; 53-161; 53-162; 53-163; 150A-11(1)
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03D .0105 DEFINITIONs {#sec-04-ncac-03d-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0105}

As used in this Subchapter:

(1) "Board of Directors" shall have the same meaning as defined in G.S. 53-301(a)(6a).

(2) "Collective investment fund" shall mean any fund established pursuant to 12 C.F.R. 9.18, which is incorporated by reference in Rule .0304 of this Subchapter.

(3) "State trust entity" shall mean a "state bank" or "state trust company" as defined in G.S. 53-301(a)(43) and (45).

(4) "Trust business" shall have the same meaning as defined in G.S. 53-301(a)(50).

History

Authority G.S. 53-366; 53C-2-5
Eff. April 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03D .0201 reports OF condition of state TRUST entities {#sec-04-ncac-03d-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0201}

Each state trust entity, on a form or forms provided by the Office of the Commissioner of Banks, shall submit reports of condition that shall include information on operations, statutory and regulatory requirements, supervisory standards, and assets under management. The form or forms shall be obtained from and filed with:

Forms 29TC, 29A, and TARS© may be submitted electronically at:

http://www.nccob.gov/Public/financialinstitutions/banks/banksff.aspx.

History

Authority G.S. 53-366; 53-367; 53C-2-5; 53C-8-3
Eff. February 1, 1976
Amended Eff. April 1, 2015; September 1, 2006; September 26, 1979
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03D .0202 Report of Trust Department {#sec-04-ncac-03d-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0202}

History

Status: repealed
Authority G.S. 53-92; 53-106
Eff. February 1, 1976
Amended Eff. September 1, 2006; September 26, 1979
Repealed Eff. October 1, 2012 pursuant to G.S. 150B-21.7.

04 NCAC 03D .0301 Definitions {#sec-04-ncac-03d-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0301}

History

Status: repealed
Authority G.S. 53-92; 53-104
Eff. February 1, 1976
Amended Eff. September 1, 1990
Repealed Eff. October 1, 2012 pursuant to G.S. 150B-21.7.

04 NCAC 03D .0302 ADMINISTRATION OF trust business {#sec-04-ncac-03d-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0302}

(a) A state trust entity shall conduct its trust business separate and apart from any other business it conducts. A state trust entity may, however, utilize personnel and facilities of other departments of the state trust entity and other departments of the state trust entity may utilize its trust personnel and facilities to the extent not prohibited by law.

(b) Board of Directors

(1) The trust business of a state trust entity shall be managed by or under the direction of its board of directors. In discharging this responsibility, the board of directors may assign, by action duly entered in the minutes, the administration of the state trust entity's trust business as it may consider proper to assign to such director(s), officers(s), or employee(s), who are qualified and competent to administer trust business, and it may designate and appoint such committees of director(s) or officer(s) as it deems advisable to supervise the trust business.

(2) No trust business shall be accepted without the prior approval of the board of directors, or of the director(s), officer(s), or committee(s) to whom the board of directors may have designated the performance of that responsibility. A written record shall be made of such acceptances and of the relinquishment or closing out of each account. Upon the acceptance of an account for which the state trust entity has investment responsibility, a review of the assets shall be made. The board of directors shall also ensure that at least once during every calendar year thereafter, and within 15 months of the last review, all the assets held in each account that the state trust entity has investment responsibilities for are reviewed to determine the advisability of retaining or disposing of such assets.

(d) Every state trust entity shall designate, employ, or retain competent legal counsel who shall be readily available to advise on the trust business it conducts.

(e) Negotiable and tangible assets held by the state trust entity in its own vaults shall be placed in the joint custody of at least two or more bonded officers or employees designated by the board of directors.

(f) Funds held by a state trust entity in a fiduciary capacity awaiting investment or distribution shall be invested, pursuant to the provisions of G.S. 53-163.1.

(g) Trust business investments by a state trust entity in its own depository accounts shall be secured in the manner and to the extent required by G.S. 53-163.1 and G.S. 53-163.3.

History

Authority G.S. 53-163.1; 53-163.3; 53-356; 53-366; 53C-2-5; 53C-4-6
Eff. February 1, 1976
Amended Eff. April 1, 2015; May 1, 1992; September 26, 1979
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03D .0303 Books and Records {#sec-04-ncac-03d-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0303}

Books and Records. Each state trust entity shall keep the following:

(1) a separate and distinct set of books and records showing all receipts and disbursements of funds, receipts, purchases and sales of assets, and other transactions engaged in, in connection with trust business; and showing at all times the ownership of all moneys, funds, investments and property in that connection held by the state trust entity;

(2) files containing the original instruments creating each trust or authenticated copies; and

(3) a permanent record of minutes for each committee, showing its actions. All minutes shall be signed by the committee's chairman and its secretary.

History

Authority G.S. 53-366; 53-367; 53C-2-5; 53-320(a)
Eff. February 1, 1976
Amended Eff. April 1, 2015; May 1, 1992; September 26, 1979
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03D .0304 Collective Investment {#sec-04-ncac-03d-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0304}

(a) Funds held for trust business accounts by a state trust entity may be invested collectively in one or more collective investment funds to the extent permissible for the accounts. Such funds shall be organized and administered in accordance with the provisions of 12 C.F.R. 9.18.

(b) 12 C.F.R. 9.18 is herein incorporated by reference, including all subsequent amendments and editions, and may be accessed at the U.S. Printing Office website at http://www.ecfr.gov/cgi-bin/text-idx?SID=10db9d6d7ecd62689d768e1b0c9a2199&node=se12.1.9_118&rgn=div8

at no cost at the time of adoption of this Rule. However, any reference in the regulation to "Comptroller of Currency" shall, for the purpose of state trust entities, be deemed to refer to the "Commissioner of Banks."

History

Authority G.S. 53-163.7; 53-366; 53C-2-5
Eff. February 1, 1976
Amended Eff. April 1, 2015; May 1, 1992; November 1, 1982; September 26, 1979
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 3, 2017.

04 NCAC 03D .0305 Use of Securities Clearing Corporations {#sec-04-ncac-03d-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03D .0305}

History

Status: repealed
Authority G.S. 53-92; 53-104; 53-110; 53-159.1
Eff. February 1, 1976
Repealed Eff. October 1, 2012 pursuant to G.S. 150B-21.7.

Subchapter E

04 NCAC 03E .0101 Application {#sec-04-ncac-03e-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0101}

(a) The application for a consumer finance license shall include information necessary to determine whether an applicant is qualified to hold a consumer finance license pursuant to G.S. 53-168(a) and G.S. 53-169. A copy of the application may be obtained from the agency's website located at https://www.nccob.gov.

(b) Upon receipt of an application for a consumer finance license, the Commissioner of Banks shall give written notice of the application to all licensees by electronic mail.

(c) Following an investigation of the application pursuant to G.S. 53-168, the Commissioner of Banks shall either approve or deny the application.

History

Authority G.S. 53-168; 53-169; 53-170; 53-185
Eff. February 1, 1976
Amended Eff. September 1, 2006; January 1, 1993; August 1, 1978
Readopted Eff. August 1, 2018
Amended Eff. March 1, 2021.

04 NCAC 03E .0102 Approval {#sec-04-ncac-03e-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0102}

History

Status: repealed
Authority G.S. 53-92; 53-95; 53-104; 53-168; 58-169; 53-185; 53-188
Eff. February 1, 1976
Amended Eff. June 1, 1995; August 1, 1978
Repealed Eff. August 1, 2018.

04 NCAC 03E .0103 Denial {#sec-04-ncac-03e-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0103}

History

Status: repealed
Authority G.S. 53-92; 53-168(b); 53-171; 53-185; 150A-11
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03E .0104 Revocation or Suspension {#sec-04-ncac-03e-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0104}

History

Status: repealed
Authority G.S. 53-92; 53-168(b); 53-171; 53-185; 150A-11
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03E .0105 Surrender {#sec-04-ncac-03e-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0105}

History

Status: repealed
Authority G.S. 53-92; 53-168(b); 53-171; 53-185; 150A-11
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03E .0106 Motor Vehicle Lenders {#sec-04-ncac-03e-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0106}

History

Status: repealed
Authority G.S. 53-92; 53-176.1; 53-185
Eff. February 1, 1976
Repealed Eff. January 1, 1993.

04 NCAC 03E .0201 Operation of Other Business in Same Office {#sec-04-ncac-03e-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0201}

History

Status: repealed
Authority G.S. 53-92; 53-122(3); 53-168; 53-172; 53-185; 150B-21.2
Eff. February 1, 1976
Amended Eff. September 1, 2006; January 1, 1993
Repealed Eff. August 1, 2018.

04 NCAC 03E .0202 Change of Location {#sec-04-ncac-03e-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0202}

History

Status: repealed
Authority G.S. 53-92; 53-170; 53-176; 53-185; 150A-11
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03E .0203 Alternate Method of Operation {#sec-04-ncac-03e-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0203}

History

Status: repealed
Authority G.S. 53-92; 53-170; 53-176; 53-185; 150A-11
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03E .0204 Transfer of License and Change of Location {#sec-04-ncac-03e-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0204}

(a) Requests to transfer or assign a license shall contain the name, address, and telephone number of the proposed transferee or assignee, the reasons for the transfer or assignment, and the date that the licensee proposes to make the transfer or assignment. In reviewing an application for transfer or assignment, the Commissioner of Banks shall consider whether a proposed transfer or assignment meets the requirements of G.S. 53-168(a). Transfer or assignments of a license to anyone other than existing licensees shall not be approved. If the request is approved, the licensee shall surrender to the Commissioner of Banks its consumer finance license for reissuance to the transferee or assignee.

(b) Prior to any change in the business location of a licensee, the licensee shall apply to the Commissioner of Banks. In reviewing an application for a change of location, the Commissioner of Banks shall consider whether a proposed change of location meets the requirements of G.S. 53-168(a). If the request is approved, the licensee shall submit to the Commissioner of Banks its license for amendment.

History

Authority G.S. 53-168(e); 53-170(a)
Eff. January 1, 1993
Readopted Eff. August 1, 2018.

04 NCAC 03E .0301 Change of Ownership or Management {#sec-04-ncac-03e-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0301}

History

Status: repealed
Authority G.S. 53-92; 53-170; 53-185; 150A-11
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03E .0302 Annual Report {#sec-04-ncac-03e-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0302}

The annual report form shall contain various schedules that reflect the financial condition of the licensee, as well as the results of its operations. The form and instructions shall be obtained and filed online through the agency's internal website for licensees, https://www.nccob.gov/online.aspx.

History

Authority G.S. 53-184(b); 53-185
Eff. February 1, 1976
Amended Eff. September 1, 2006; January 1, 1993; September 26, 1979
Readopted Eff. August 1, 2018
Amended Eff. March 1, 2021.

04 NCAC 03E .0401 Examination {#sec-04-ncac-03e-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0401}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-184; 53-185
Eff. February 1, 1976.
Repealed Eff. August 1, 2018.

04 NCAC 03E .0402 Reports of Examination {#sec-04-ncac-03e-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0402}

History

Status: repealed
Authority G.S. 53-92; 53-99; 53-184; 53-185
Eff. February 1, 1976.
Repealed Eff. August 1, 2018.

04 NCAC 03E .0501 Hearings by Commissioner of Banks {#sec-04-ncac-03e-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0501}

History

Status: repealed
Authority G.S. 53-92; 53-185; 53-186; 53-187; 150A-11
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03E .0502 Cease and Desist Orders {#sec-04-ncac-03e-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0502}

History

Status: repealed
Authority G.S. 53-92; 53-185; 53-186; 53-187; 150A-11
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03E .0601 Books, Records, and application of fees {#sec-04-ncac-03e-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0601}

Each consumer finance office licensed by the Commissioner of Banks shall keep the following books and accounting records. Except as permitted by G.S. 53-184(a), these records shall be maintained in each office and be available to the Commissioner of Banks or his or her authorized agent. Licensees shall maintain separate loan ledgers and accounts related to the making and collecting of loans within the provisions of the Consumer Finance Act, including where a licensee is also an installment paper dealer. Allocation of expenses shall be made monthly according to generally accepted accounting principles. All books, records, and fees covered by this Rule shall be retained for a period of three years after the last transaction:

(1) Cash Transaction Journal. All transactions of receipts and disbursements of any nature or amount shall be recorded in a cash transaction journal, which shall be the book of original entry. Each transaction made in connection with a loan shall be identified with the loan by the name or account number of the borrower and shall define the nature of each charge, collection, or refund made in connection with the loan. All entries shall state the exact date the transactions occur.

(2) General Ledger. The general ledger shall be double entry, showing in detail the total of assets, liabilities, capital, income, and expenses. Each account shall be individually designated. No net or "wash" entries shall be made to any account. The general ledger shall be posted once each month and the posting shall include all transactions through the last business day of the month. The actual posting shall be completed by the 30th day of each ensuing month for the previous month's business. A licensee shall maintain a description of each general ledger entry, including adjusting and closing entries. If any account on the general ledger does not agree with the corresponding account on the annual report to the Commissioner of Banks, a supplement to the annual report shall be furnished that reconciles or explains any differences.

(3) Individual Account Record. A separate account record shall be maintained for each loan made. Each account record shall provide the following information:

(a) the name and address of borrower(s) and the name of any other person obligated directly or indirectly on the loan;

(b) the cross reference to other loans of the borrower, endorser, guarantor, surety, or to any joint obligation of the borrower;

(d) the date of loan and maturity;

(e) the length of contract;

(f) the cash advance, finance charge, number of payments, and amount of each;

(g) the date and amount of each payment, an allocation between principal, interest, and any fees authorized by statute for each payment, and the remaining loan balance after each payment;

(h) a brief description of security;

(i) the type of insurance, insurance origination fees, and amount of insurance premium for each coverage written;

(j) the amount of recording fee or non-filing charges;

(k) the amount of any other charge made in connection with the loan;

(l) the amount of unearned insurance premium refunded for each coverage written;

(m) if refunds are paid by cash or check, a receipt of refund; and

(n) the contract interest rate and the annual percentage rate computed under 12 C.F.R. Part 226 (Regulation Z), if the rates are different. Regulation Z is incorporated by reference and includes subsequent amendments. A copy of the regulation may be obtained from the website free of charge at U. S. Government Publications Office website at https://www.gpo.gov/fdsys/granule/CFR-2012-title12-vol3/CFR-2012-title12-vol3-part226.

(4) Index of Borrowers. Each office shall keep a single report showing a cumulative index record of all loans to each individual, which shall be entered in order by date made, showing the account number, amount of loan, and date of cancellation.

(5) Loan Documents. Loans made by a licensee shall on the loan contract contain the following statement printed in a conspicuous manner: "This loan is regulated by the provisions of the North Carolina Consumer Finance Act, located at Chapter 53, Articles 15 of the North Carolina General Statutes." For the purpose of this Rule, "conspicuous" means the term as defined in G.S. 25-1-201(b).

(6) Judgments. When a loan has been reduced to final judgment, all of the following provisions shall be complied with:

(a) the individual account record maintained pursuant to Item (3) of this Rule shall be designated a judgment account;

(b) payments received shall be identified and applied on the judgment account record;

(c) the licensee shall maintain a copy of the final judgment and any other court documents that are necessary to disclose the following information:

(i) the final judgment date;

(ii) the name of the licensee;

(iii) the final judgment debtor's name;

(iv) the date the suit was filed;

(v) the nature of the suit;

(vi) the name and location of the court;

(vii) the amount of the final judgment, specifying principal, interest charges, any fees authorized by statute, and court costs; and

(viii) the disposition of the case;

(d) a licensee that charges a borrower for court costs it incurred on a final judgment account shall itemize these costs on the individual account record and retain a receipt or other document showing the costs; and

(e) a licensee shall retain a copy of the sheriff's return of execution issued when property is sold pursuant to a final judgment.

(7) Repossessions. When property is taken in accordance with the terms of a security agreement, by judicial process, or abandonment, the individual account record shall be designated as a repossession account and shall state when and how possession of the security was obtained and shall identify the proceeds of the sale of the property. The licensee shall also retain the following:

(a) a copy of any agreement entered into with the borrower with respect to the terms of surrender;

(b) a copy of the notice of sale, together with proof of mailing or personal delivery;

(d) a signed bill of sale or a statement from the purchasers, or from the auctioneer if the sale was public, describing the collateral purchased and showing the amounts paid;

(e) evidence that the sale took place on the date set forth in the notice of sale, including a notice of any bids received;

(f) a copy of a final accounting sent to the borrower, setting forth the disposition of the proceeds of sale and the principal balance due, if any, on the account; and

(g) paid receipts showing the costs incurred in the repossession and sale of the security that have been charged to the borrower.

(8) Late Fees.

(a) Lenders may apply a borrower's most recent payment to the oldest installment due;

(b) A lender may not collect more than one late fee from any full or partial payment made toward a particular scheduled installment payment. However, a lender may collect more than one late fee from any payment made toward more than one installment payment, provided the number of late fees collected does not exceed the number of different installment payments that were past due for 10 days or more and to which such payment was applied.

(c) If a lender declares a borrower in default and accelerates a loan, the lender may collect a late fee for each installment payment that was, as of the date of acceleration, past due for 10 days or more. A lender may not collect a late fee for any installment that becomes due solely because the lender has declared a borrower in default and accelerated a loan.

(d) If a lender refinances a loan, a lender may include in the amount financed late fees for each installment payment that was, as of the date of refinancing, past due for 10 days or more.

(e) If a loan reaches maturity, a lender may include in the final balance owed a late fee for each installment payment that remains past due for 10 days or more.

(9) Deferral Charges. For any loan made on or after July 1, 2013, licensees may assess a deferral charge for each month of the remaining loan term on each installment owed after the date of deferral. Licensees may charge a late fee on deferred payments that remain past due for 10 days or more after the agreed upon due date. Deferrals shall not alter the maturity date of the loan contract, even where a payment is deferred beyond maturity.

(10) ELT Fees. Licensees who are required by the North Carolina Division of Motor Vehicles (NCDMV) to use its electronic lien title (ELT) system to file or record the licensee's security interest in a vehicle may collect from borrowers the fees charged by NCDMV, ELT vendors, and service provider vendors to use the ELT system at a rate prescribed by 20-58.4A(b)(3). When a borrower takes out a junior lien on a vehicle pledged as security, licensees who are senior lienholders with an already perfected lien may collect from borrowers the fees charged to the licensee by NCDMV, ELT vendors, and service provider vendors, provided the licensee has disclosed the potential for the fee at origination of the loan. Licensees shall account for ELT fees as they account for other recording fees as described in Sub-Item (3)(j) of this Rule.

History

Authority G.S. 20-58.4A; 53-177; 53-184; 53-185
Eff. February 1, 1976
Amended Eff. January 1, 1993
Readopted Eff. August 1, 2018.

04 NCAC 03E .0602 Collection Practices {#sec-04-ncac-03e-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0602}

History

Status: repealed
Authority G.S. 53C-2-1; 53C-2-2; 53-180; 53-185
Eff. February 1, 1976
Repealed Eff. August 1, 2018.

04 NCAC 03E .0603 Deferment Charges {#sec-04-ncac-03e-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03E .0603}

History

Status: repealed
Authority G.S. 53-92; 53-104; 53-173(6); 53-185
Eff. February 1, 1976
Repealed Eff. January 1, 1993.

Subchapter F

04 NCAC 03F .0101 Application for License {#sec-04-ncac-03f-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0101}

History

Status: repealed
Authority G.S. 53-92; 53-194; 53-196; 53-197; 53-198; 53-200; 53-204
Eff. February 1, 1976
Repealed Eff. February 1, 1993.

04 NCAC 03F .0102 Issuance of License {#sec-04-ncac-03f-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0102}

History

Status: repealed
Authority G.S. 53-92; 53-194; 53-196; 53-197; 53-198; 53-200; 53-204
Eff. February 1, 1976
Repealed Eff. February 1, 1993.

04 NCAC 03F .0103 Required Reports {#sec-04-ncac-03f-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0103}

History

Status: repealed
Authority G.S. 53-92; 53-194; 53-196; 53-197; 53-198; 53-200; 53-204
Eff. February 1, 1976
Repealed Eff. February 1, 1993.

04 NCAC 03F .0104 Revocation of License {#sec-04-ncac-03f-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0104}

History

Status: repealed
Authority G.S. 53-92; 53-206; 53-207; 150A-11(1)
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03F .0105 Denial or Revocation of License: Hearing: Appeal {#sec-04-ncac-03f-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0105}

History

Status: repealed
Authority G.S. 53-92; 53-206; 53-207; 150A-11(1)
Eff. February 1, 1976
Repealed Eff. January 1, 1985.

04 NCAC 03F .0201 Definitions {#sec-04-ncac-03f-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0201}

History

Status: repealed
Authority G.S. 53-208.27
Eff. February 1, 1993
Amended Eff. November 1, 2013; September 1, 2006; June 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03F .0202 Permissible Investments {#sec-04-ncac-03f-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0202}

History

Status: repealed
Authority G.S. 53-193; 53-206.1
Eff. March 1, 1994
Repealed Eff. October 1, 2011.

04 NCAC 03F .0301 Incomplete Applications {#sec-04-ncac-03f-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0301}

Incomplete application files shall be closed and withdrawn without prejudice when the applicant has not submitted information requested by the Commissioner within 30 days of the request.

History

Authority G.S. 53-208.45; 53-208.60
Eff. February 1, 1993
Amended Eff. November 1, 2013
Readopted August 1, 2018.

04 NCAC 03F .0302 issuance of a license {#sec-04-ncac-03f-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0302}

History

Status: repealed
Authority G.S. 53-197; 53-200; 53-202; 53-206.1; 150B-21.2
Eff. February 1, 1993
Amended June 1, 1995
Repealed Eff. October 1, 2011.

04 NCAC 03F .0303 License Fees {#sec-04-ncac-03f-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0303}

History

Status: repealed
Authority G.S. 53-197; 53-200; 53-202; 53-206.1; 150B-21.2
Eff. February 1, 1993
Amended June 1, 1995
Repealed Eff. October 1, 2011.

04 NCAC 03F .0304 Agent Location Fee {#sec-04-ncac-03f-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0304}

History

Status: repealed
Authority G.S. 53-197; 53-200; 53-202; 53-206.1; 150B-21.2
Eff. February 1, 1993
Amended June 1, 1995
Repealed Eff. October 1, 2011.

04 NCAC 03F .0401 Certificate of Authority {#sec-04-ncac-03f-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0401}

History

Status: repealed
Authority G.S. 53-203; 53-206.1; 150B-21.2
Eff. February 1, 1993
Repealed Eff. October 1, 2011.

04 NCAC 03F .0402 Surrender of License {#sec-04-ncac-03f-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0402}

History

Status: repealed
Authority G.S. 53-208.27
Eff. February 1, 1993
Repealed Eff. August 1, 2018.

04 NCAC 03F .0501 Generally Accepted Accounting Principles {#sec-04-ncac-03f-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0501}

History

Status: repealed
Authority G.S. 53-208.27
Eff. February 1, 1993
Repealed Eff. August 1, 2018.

04 NCAC 03F .0502 Statement of Net Worth {#sec-04-ncac-03f-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0502}

History

Status: repealed
Authority G.S. 53-198; 53-199(b); 53-204(a); 53-206.1; 150B-21.2
Eff. February 1, 1993
Amended Eff. June 1, 1995
Repealed Eff. October 1, 2011.

04 NCAC 03F .0503 Annual Statement {#sec-04-ncac-03f-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0503}

History

Status: repealed
Authority G.S. 53-198; 53-199(b); 53-204(a); 53-206.1; 150B-21.2
Eff. February 1, 1993
Amended Eff. June 1, 1995
Repealed Eff. October 1, 2011.

04 NCAC 03F .0504 Agent Activity Reports {#sec-04-ncac-03f-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0504}

History

Status: repealed
Authority G.S. 53-208.5; 53-208.8; 53-208.27
Eff. February 1, 1993
Amended Eff. November 1, 2013; June 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03F .0505 Amendments to Application {#sec-04-ncac-03f-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0505}

History

Status: repealed
Authority G.S. 53-208.5; 53-208.8; 53-208.27
Eff. February 1, 1993
Amended Eff. November 1, 2013; June 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03F .0506 Revocation or Cancellation of Surety Bond {#sec-04-ncac-03f-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0506}

History

Status: repealed
Authority G.S. 53-208.5; 53-208.8; 53-208.27
Eff. February 1, 1993
Amended Eff. November 1, 2013; June 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03F .0507 Ceasing Operations {#sec-04-ncac-03f-.0507 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0507}

History

Status: repealed
Authority G.S. 53-208.5; 53-208.8; 53-208.27
Eff. February 1, 1993
Amended Eff. November 1, 2013; June 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03F .0508 Impairment of Minimum Net Worth {#sec-04-ncac-03f-.0508 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0508}

History

Status: repealed
Authority G.S. 53-208.5; 53-208.8; 53-208.27
Eff. February 1, 1993
Amended Eff. November 1, 2013; June 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03F .0509 Dishonor or Default in Payment Instrument {#sec-04-ncac-03f-.0509 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0509}

History

Status: repealed
Authority G.S. 53-208.5; 53-208.8; 53-208.27
Eff. February 1, 1993
Amended Eff. November 1, 2013; June 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03F .0601 Record and Bookkeeping Requirements {#sec-04-ncac-03f-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0601}

History

Status: repealed
Authority 53-208.15; 53-208.16; 53-208.20; 53-208.27; 53-282(c)
Eff. February 1, 1993
Amended Eff. November 1, 2013
Repealed Eff. August 1, 2018.

04 NCAC 03F .0602 Examination Fee {#sec-04-ncac-03f-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0602}

History

Status: repealed
Authority 53-208.15; 53-208.16; 53-208.20; 53-208.27; 53-282(c)
Eff. February 1, 1993
Amended Eff. November 1, 2013
Repealed Eff. August 1, 2018.

04 NCAC 03F .0701 Hearings {#sec-04-ncac-03f-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03F .0701}

History

Status: repealed
Authority G.S. 53-206; 53-206.1; 53-207; 150B-21.2
Eff. February 1, 1993
Repealed Eff. October 1, 2011.

Subchapter G

04 NCAC 03G .0101 Application for License {#sec-04-ncac-03g-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0101}

History

Status: repealed
Authority G.S. 53-92; 90-210.31(e); 90-210.34; 90-210.34(b); 90-210.36
Eff. February 1, 1976
Amended Eff. August 1, 1988; March 15, 1978
Repealed Eff. May 1, 1991.

04 NCAC 03G .0102 Issuance of License {#sec-04-ncac-03g-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0102}

History

Status: repealed
Authority G.S. 53-92; 90-210.31(e); 90-210.34; 90-210.34(b); 90-210.36
Eff. February 1, 1976
Amended Eff. August 1, 1988; March 15, 1978
Repealed Eff. May 1, 1991.

04 NCAC 03G .0103 Preneed Burial Contracts {#sec-04-ncac-03g-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0103}

History

Status: repealed
Authority G.S. 53-92; 90-210.31(e); 90-210.34; 90-210.34(b); 90-210.36
Eff. February 1, 1976
Amended Eff. August 1, 1988; March 15, 1978
Repealed Eff. May 1, 1991.

04 NCAC 03G .0104 Definitions; Filings {#sec-04-ncac-03g-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0104}

History

Status: repealed
Authority G.S. 90-210.30; 90-210.34; 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0201 Application for License {#sec-04-ncac-03g-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0201}

History

Status: repealed
Authority G.S. 90-210.34(a); 90-210.34(b); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0202 Issuance of a License {#sec-04-ncac-03g-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0202}

History

Status: repealed
Authority G.S. 90-210.34(a); 90-210.34(b); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0203 Expiration and Renewal {#sec-04-ncac-03g-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0203}

History

Status: repealed
Authority G.S. 90-210.34; 90-210.36
Eff. June 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0301 Types and Revocability of Contracts {#sec-04-ncac-03g-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0301}

History

Status: repealed
Authority G.S. 90-210.31; 90-210.31(a1); 90-210.31(e); 90-210.32(d); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0302 Retainage {#sec-04-ncac-03g-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0302}

History

Status: repealed
Authority G.S. 90-210.31; 90-210.31(a1); 90-210.31(e); 90-210.32(d); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0303 Approved Contracts and Other Forms {#sec-04-ncac-03g-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0303}

History

Status: repealed
Authority G.S. 90-210.31; 90-210.31(a1); 90-210.31(e); 90-210.32(d); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0401 Performance by a Contracting Licensee {#sec-04-ncac-03g-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0401}

History

Status: repealed
Authority G.S. 90-210.31(c); 90-210.31(c1); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0402 Performance by Non-Contracting Funeral Home {#sec-04-ncac-03g-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0402}

History

Status: repealed
Authority G.S. 90-210.31(c); 90-210.31(c1); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0403 Excess Funds {#sec-04-ncac-03g-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0403}

History

Status: repealed
Authority G.S. 90-210.31(c); 90-210.31(c1); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0501 Record and Bookkeeping Requirements {#sec-04-ncac-03g-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0501}

History

Status: repealed
Authority G.S. 90-210.31; 90-210.35(a); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0502 Annual Report {#sec-04-ncac-03g-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0502}

History

Status: repealed
Authority G.S. 90-210.36
Eff. June 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0503 Notice of Transfer {#sec-04-ncac-03g-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0503}

History

Status: repealed
Authority G.S. 90-210.35(b); 90-210.35(c); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0504 Assignment and Termination {#sec-04-ncac-03g-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0504}

History

Status: repealed
Authority G.S. 90-210.35(b); 90-210.35(c); 90-210.36
Eff. May 1, 1991
Repealed Eff. February 1, 1995.

04 NCAC 03G .0601 Revocation or Suspension; Hearings {#sec-04-ncac-03g-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03G .0601}

History

Status: repealed
Authority G.S. 90-210.31; 90-210.32; 90-210.33; 90-210.36
Eff. June 1, 1991
Repealed Eff. February 1, 1995.

Subchapter H

04 NCAC 03H .0101 Application Fees {#sec-04-ncac-03h-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03H .0101}

History

Status: repealed
Authority G.S. 53-214(b)
Eff. September 1, 1985
Repealed Eff. May 1, 1992.

04 NCAC 03H .0102 Regional Bank Holding Company Acquisitions {#sec-04-ncac-03h-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03H .0102}

History

Status: repealed
Authority G.S. 53-211; 53-214(b); 53-227; 53-230
Eff. May 1, 1992
Amended Eff. September 1, 2006; April 1, 1999
Repealed Eff. August 1, 2018.

04 NCAC 03H .0103 Bank Holding Company Registration {#sec-04-ncac-03h-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03H .0103}

History

Status: repealed
Authority G.S. 53-211; 53-214(b); 53-227; 53-230
Eff. May 1, 1992
Amended Eff. September 1, 2006; April 1, 1999
Repealed Eff. August 1, 2018.

Subchapter I

04 NCAC 03I .0101 Definitions; Filings {#sec-04-ncac-03i-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0101}

History

Status: repealed
Authority G.S. 53-233; 53-234; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0201 Financial Requirements for Mortgage Bankers and Mortgage Brokers {#sec-04-ncac-03i-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0201}

History

Status: repealed
Authority G.S. 53-236(b); 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0202 Minimum Net Worth Requirement for Mortgage Brokers {#sec-04-ncac-03i-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0202}

History

Status: repealed
Authority G.S. 53-236(b); 53-241
Eff. November 1, 1993
Repealed Eff. May 1, 1995.

04 NCAC 03I .0203 Liquidity of Mortgage Bankers and Brokers {#sec-04-ncac-03i-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0203}

History

Status: repealed
Authority G.S. 53-236(b); 53-241
Eff. November 1, 1993
Repealed Eff. May 1, 1995.

04 NCAC 03I .0204 Surety Bond {#sec-04-ncac-03i-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0204}

History

Status: repealed
Authority G.S. 53-236(b); 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0205 Irrevocable Letter of Credit; Pledge of Securities {#sec-04-ncac-03i-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0205}

History

Status: repealed
Authority G.S. 53-236(b); 53-241
Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0206 Networth {#sec-04-ncac-03i-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0206}

History

Status: repealed
Authority G.S. 53-236(b); 53-241
Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0301 Application for Registration as a Mortgage Banker or Broker {#sec-04-ncac-03i-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0301}

History

Status: repealed
Authority G.S. 53-234(6)(a); 53-235; 53-236; 53-236(b); 53-237(a); 53-237(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0302 Exempt Persons or Organizations {#sec-04-ncac-03i-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0302}

History

Status: repealed
Authority G.S. 53-234(6)(a); 53-235; 53-236; 53-236(b); 53-237(a); 53-237(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0303 Experience Requirements for Mortgage Bankers {#sec-04-ncac-03i-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0303}

History

Status: repealed
Authority G.S. 53-234(6)(a); 53-235; 53-236; 53-236(b); 53-237(a); 53-237(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0304 Experience Requirements for Mortgage Brokers {#sec-04-ncac-03i-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0304}

History

Status: repealed
Authority G.S. 53-234(6)(a); 53-235; 53-236; 53-236(b); 53-237(a); 53-237(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0305 Issuance of Certificate of Registration {#sec-04-ncac-03i-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0305}

History

Status: repealed
Authority G.S. 53-234(6)(a); 53-235; 53-236; 53-236(b); 53-237(a); 53-237(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0306 Nontransferability of Certificate of Registration {#sec-04-ncac-03i-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0306}

History

Status: repealed
Authority G.S. 53-234(6)(a); 53-235; 53-236; 53-236(b); 53-237(a); 53-237(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0401 Annual Registration Fee {#sec-04-ncac-03i-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0401}

History

Status: repealed
Authority G.S. 53-122(3); 53-234(1); 53-234(2); 53-237(c); 53-238; 53-238(5); 53-238(6); 53-239; 53-239(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0402 Annual Report {#sec-04-ncac-03i-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0402}

History

Status: repealed
Authority G.S. 53-122(3); 53-234(1); 53-234(2); 53-237(c); 53-238; 53-238(5); 53-238(6); 53-239; 53-239(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0403 Segregation of Fees {#sec-04-ncac-03i-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0403}

History

Status: repealed
Authority G.S. 53-122(3); 53-234(1); 53-234(2); 53-237(c); 53-238; 53-238(5); 53-238(6); 53-239; 53-239(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0404 Refunds {#sec-04-ncac-03i-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0404}

History

Status: repealed
Authority G.S. 53-122(3); 53-234(1); 53-234(2); 53-237(c); 53-238; 53-238(5); 53-238(6); 53-239; 53-239(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0405 Record and Bookkeeping Requirements {#sec-04-ncac-03i-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0405}

History

Status: repealed
Authority G.S. 53-122(3); 53-234(1); 53-234(2); 53-237(c); 53-238; 53-238(5); 53-238(6); 53-239; 53-239(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0406 Display of Certificate of Registration {#sec-04-ncac-03i-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0406}

History

Status: repealed
Authority G.S. 53-122(3); 53-234(1); 53-234(2); 53-237(c); 53-238; 53-238(5); 53-238(6); 53-239; 53-239(c); 53-241; 53-242
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0501 Amendments to Information on File with the Commissioner {#sec-04-ncac-03i-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0501}

History

Status: repealed
Authority G.S. 53-236(b); 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0502 Withdrawal/Termination/Registration/Mtge Banker/Mtge Broker {#sec-04-ncac-03i-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0502}

History

Status: repealed
Authority G.S. 53-236(b); 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0503 Impairment of Financial Requirements {#sec-04-ncac-03i-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0503}

History

Status: repealed
Authority G.S. 53-236(b); 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0601 Prohibited Conduct and Practices {#sec-04-ncac-03i-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0601}

History

Status: repealed
Authority G.S. 53-238; 53-239; 53-240; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0602 Solicitation and Advertising {#sec-04-ncac-03i-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0602}

History

Status: repealed
Authority G.S. 53-238; 53-239; 53-240; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0603 Examinations, Investigation {#sec-04-ncac-03i-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0603}

History

Status: repealed
Authority G.S. 53-238; 53-239; 53-240; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0604 Enforcement Actions {#sec-04-ncac-03i-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0604}

History

Status: repealed
Authority G.S. 53-238; 53-239; 53-240; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0605 Hearings {#sec-04-ncac-03i-.0605 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0605}

History

Status: repealed
Authority G.S. 53-238; 53-239; 53-240; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0701 Conflicts of Interest {#sec-04-ncac-03i-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0701}

History

Status: repealed
Authority G.S. 53-238; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0702 Mortgage Broker Application Disclosures {#sec-04-ncac-03i-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0702}

History

Status: repealed
Authority G.S. 53-238; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0703 Mortgage Banker Application Disclosures {#sec-04-ncac-03i-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0703}

History

Status: repealed
Authority G.S. 53-238; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0704 Disclosure Arrgmts Between Mortgage Bankers/Mortgage Brokers {#sec-04-ncac-03i-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0704}

History

Status: repealed
Authority G.S. 53-238; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0705 Commitment Disclosures {#sec-04-ncac-03i-.0705 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0705}

History

Status: repealed
Authority G.S. 53-238; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

04 NCAC 03I .0706 Mortgage Lock-in Agreement {#sec-04-ncac-03i-.0706 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03I .0706}

History

Status: repealed
Authority G.S. 53-238; 53-241
Eff. November 1, 1993
Amended Eff. May 1, 1995
Repealed Eff. April 1, 2003.

Subchapter J

04 NCAC 03J .0101 Definitions; Filings {#sec-04-ncac-03j-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0101}

(a) In addition to the definitions in G.S. 53, Article 20, for the purposes of this Subchapter the following definitions apply:

(1) "Controlling person" means any person as defined in G.S. 53-246(7) who owns or holds with the power to vote 10% or more of the equity securities of the registrant, or who has the power to direct the management and policy of the registrant.

(2) "Creditor loan fee" means the charges, fees, or other consideration charged or imposed by the creditor for the making of a refund anticipation loan.

(3) "Electronic filing fee" means the fee imposed by the facilitator in consideration for the electronic filing of a tax return.

(4) "Facilitator loan fee" means the charges, fees, or other consideration charged or imposed by the facilitator for the making of a refund anticipation loan.

(5) "Transmitter" means any person who sends electronic returns directly to the Internal Revenue Service. This term shall include persons who receive information to be reformatted and transmitted to the Internal Revenue Service, i.e., third-party transmitters.

(b) An application for registration or any report, notice, or other document that is required by law or rule to be filed with the Commissioner shall be obtained from and filed online through https://www.nccob.gov.

History

Authority G.S. 53-245; 53-246; 53-248; 53-253
Eff. September 1, 1993
Amended Eff. September 1, 2006
Readopted Eff. August 1, 2018.

04 NCAC 03J .0201 Application for Registration as a Facilitator {#sec-04-ncac-03j-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0201}

(a) The application for registration as a facilitator shall include the following:

(1) a description of the applicant's organizational structure, including the name, business address, and business telephone number of the applicant, and the name of its controlling persons;

(2) copies of the following documents, where applicable:

(A) the applicant's Articles of Incorporation, Articles of Organization, or partnership agreement;

(B) a Certificate of Existence or Certificate of Good Standing not more than 90 days old from the applicant's state of incorporation;

(D) a copy of the applicant's Certificate of Assumed Name.

(3) a description of the applicant's operations, including the names and addresses of the lenders that will fund refund anticipation loans to its customers, the names and addresses of transmitters, and any other intermediary parties involved in the process of facilitating refund anticipation loans;

(4) a description of the business(es) in which the applicant is primarily engaged;

(5) the applicant's Electronic Filer Identification Number (EFIN) and Preparer Tax Identification Number (PTIN) as provided by the Internal Revenue Service;

(6) proof that the applicant has been accepted by the Internal Revenue Service to participate in its electronic filing program for the present tax year;

(7) disclosure of any civil judgments entered against the applicant or its controlling persons during the past 10 years that are partially or wholly unpaid;

(8) disclosure of any civil proceedings pending against or civil judgments entered against the applicant or its controlling persons that involve fraud or dishonesty;

(9) disclosure of any felony convictions entered against the applicant or its controlling persons;

(10) disclosure of any misdemeanor convictions entered against the applicant or its controlling persons that involve theft, fraud, or dishonesty;

(11) disclosure of any enforcement proceeding brought against the applicant or its controlling persons by any agency or department of this State, the Federal government or any other state that involves the revocation or suspension of any business license;

(12) disclosure of whether the applicant, or its controlling persons have been denied acceptance in or suspended from the Electronic Filing Program of the Internal Revenue Service;

(13) disclosure of whether the applicant is, or has ever been, the subject of the following proceedings: bankruptcy, assignment for the benefit of creditors, receivership, conservatorship, or similar proceeding; and

(14) the address of each office in this State where the applicant intends to facilitate refund anticipation loans.

(b) Incomplete applications shall be closed and the application withdrawn when the applicant has not submitted information requested by the Commissioner within 30 days of request. If an application is withdrawn, in order to become registered, the applicant shall submit a new application and pay all fees associated with the application.

History

Authority G.S. 53-245(b); 53-247(a); 53-248(a); 53-253
Eff. September 1, 1993
Readopted Eff. August 1, 2018.

04 NCAC 03J .0202 Issuance of a Certificate of Registration {#sec-04-ncac-03j-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0202}

History

Status: repealed
Authority G.S. 53-248(a); 53-248(b); 53-253; 150B-21.2
Eff. September 1, 1993
Repealed Eff. August 1, 2018.

04 NCAC 03J .0203 Expiration and Renewal {#sec-04-ncac-03j-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0203}

History

Status: repealed
Authority G.S. 53-248(a); 53-248(b); 53-253; 150B-21.2
Eff. September 1, 1993
Repealed Eff. August 1, 2018.

04 NCAC 03J .0204 Application for Renewal of Certificate of Registration {#sec-04-ncac-03j-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0204}

(a) The application for renewal of the Certificate of Registration shall include the following:

(1) where applicable, any amendments to the application for registration filed pursuant to Rule .0201 of this Subchapter; and

(2) a written verification of the accuracy of the application for Certificate of Registration filed pursuant to Rule .0201 of this Subchapter and any amendments filed pursuant to Subparagraph(a)(1) of this Rule and Rule .0305 of this Subchapter.

(b) Incomplete applications for renewal of the Certificate of Registration shall be closed and the application for renewal withdrawn when the registrant has not submitted information requested by the Commissioner within 30 days of the request. If an application is withdrawn, in order to be registered, the applicant shall submit a new application and pay all fees associated with the application.

History

Authority G.S. 53-248(b); 53-253
Eff. September 1, 1993
Readopted Eff. August 1, 2018.

04 NCAC 03J .0205 Nontransferability of Certificate of Registration {#sec-04-ncac-03j-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0205}

(a) A Certificate of Registration shall be neither transferable nor assignable.

(b) The Certificate of Registration shall become void if the registrant changes organizational structure, such as to or from a sole proprietorship, partnership, limited partnership, general partnership, limited liability company, or corporation. The new entity may apply for a Certificate of Registration pursuant to Rule .0201 of this Section. If the entity that results from the change in the registrant's organization would like to engage in business as a facilitator in this State, it shall apply for a Certificate of Registration pursuant to Rule .0201 of this Section.

History

Authority G.S. 53-253
Eff. September 1, 1993
Readopted Eff. August 1, 2018.

04 NCAC 03J .0301 Check Cashing Services {#sec-04-ncac-03j-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0301}

History

Status: repealed
Authority G.S. 53-250(5); 53-253; 150B-21.2
Eff. September 1, 1993
Repealed Eff. August 1, 2018.

04 NCAC 03J .0302 Record and Bookkeeping Requirements {#sec-04-ncac-03j-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0302}

(a) A registrant shall maintain the following records with respect to each application for a refund anticipation loan in this State:

(1) the name of applicant;

(2) the social security number of applicant;

(3) the date of application;

(4) disposition of application, e.g., whether loan was funded, denied, etc.;

(5) the gross amount of the refund anticipation loan;

(6) the amount of the creditor fee;

(7) the amount of the facilitator loan fee, if any;

(8) the amount of the electronic filing fee;

(9) the amount of refund anticipation loan proceeds disbursed by the registrant to the debtor;

(10) the date on which refund anticipation loan proceeds were disbursed by the registrant to the debtor; and

(11) the identity of the individual originating the application for the refund anticipation loan.

These records shall be kept in an office or offices of the registrant in this State. This Rule shall not be interpreted to require a registrant to maintain one central office where all records required are located.

(b) Evidence of all disbursements delivered by the registrant to each debtor in payment of the proceeds of the refund anticipation loan shall be available upon request by the Commissioner.

History

Authority G.S. 53-253
Eff. September 1, 1993
Readopted Eff. August 1, 2018.

04 NCAC 03J .0303 Filing and Posting of Fee Schedule {#sec-04-ncac-03j-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0303}

(a) The fee schedule of refund anticipation loan fees required by G.S. 53-249(a) shall be filed pursuant to Rule .0101(b) of this Subchapter.

(b) The fee schedule referenced in Paragraph (a) of this Rule shall include the following fees:

(1) the creditor fee; and

(2) the facilitator loan fee.

(1) the creditor fee;

(2) the facilitator loan fee; and

(3) the electronic filing fee.

History

Authority G.S. 53-249; 53-253
Eff. September 1, 1993
Readopted Eff. August 1, 2018.

04 NCAC 03J .0304 Disclosures {#sec-04-ncac-03j-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0304}

(a) For the purposes of G.S. 53-249(d)(1) and (2), the registrant shall disclose and provide a copy to the debtor the following fees:

(1) The creditor loan fee;

(2) The facilitator loan fee; and

(3) The electronic filing fee.

(b) For the purposes of G.S. 53-249(d)(5), the term "appropriate taxing authority" shall mean the Internal Revenue Service.

History

Authority G.S. 53-249(d); 53-253
Eff. September 1, 1993
Readopted Eff. August 1, 2018.

04 NCAC 03J .0305 Amendments to Application {#sec-04-ncac-03j-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0305}

(a) A registrant shall maintain a current application with the Commissioner. If there is a change in the information contained in the application, the registrant shall notify the Commissioner within 30 days of the effective date of the change. Notification shall be made by either letter or by a revision of the applicable section of the application filed pursuant to Rule .0201 of this Subchapter.

(b) If a registrant decides to open a new office in this State where it intends to facilitate refund anticipation loans, it shall notify the Commissioner of the opening of the new office at least 30 days before it begins business as a facilitator in the new office. The notification shall comply with Paragraph (a) of this Rule and shall be accompanied by a fee made payable to the Commissioner in the amount set forth in G.S. 53-248(a) for each new office in this State at which the registrant facilitates refund anticipation loans.

History

Authority G.S. 53-253
Eff. September 1, 1993
Readopted Eff. August 1, 2018.

04 NCAC 03J .0306 Cessation of Operations {#sec-04-ncac-03j-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0306}

History

Status: repealed
Authority G.S. 53-253; 150B-21.2
Eff. September 1, 1993
Repealed Eff. August 1, 2018.

04 NCAC 03J .0401 Hearings {#sec-04-ncac-03j-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0401}

History

Status: repealed
Authority G.S. 53-251; 53-253; 150B-21.2
Eff. September 1, 1993
Repealed Eff. August 1, 2018.

04 NCAC 03J .0402 Examinations, Audits {#sec-04-ncac-03j-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03J .0402}

The Commissioner may conduct or cause to be conducted an examination or audit of the books and records of any registrant.

History

Authority G.S. 53-253
Eff. September 1, 1993
Readopted Eff. August 1, 2018.

Subchapter K

04 NCAC 03K .0101 Definitions; Filings {#sec-04-ncac-03k-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0101}

(a) In addition to the definitions in G.S. 53-257, for the purpose of this Subchapter, the following definitions apply:

(1) "Accounting period" means either a period of 12 months (or less in the first year of operation) ending December 31 or a fiscal year of not more than 12 months ending on the last day of any month except December.

(2) "Application fee" means any fee accepted by an authorized lender or lenders in connection with an application for a reverse mortgage loan including any charge for soliciting, processing, placing, or negotiating a reverse mortgage loan.

(3) "Branch office" has the same meaning as defined in G.S. 53-244.030.

(4) "Engaging in the mortgage business" has the same meaning at G.S. 53-244.030.

(5) "Mortgage lender" has the same meaning as G.S. 53-244.030.

(6) "NC SAFE Act authorized lender" means a mortgage lender licensed in this State that has obtained a Notice of Authorization.

(7) "Notice of Authorization" means the document granted by the Commissioner that authorizes a mortgage lender to engage in the business of making reverse mortgage loans.

(8) "Person" has the same meaning as G.S. 53-244.030.

(b) Any application for authorization to make reverse mortgage loans, any report, annual statement, amendment to application, notice, or other document that is required by law or rule shall be obtained and filed with the Commissioner of Banks. Any application shall be obtained and filed with the Commissioner of Banks at http://www.nccob.gov.

History

Authority G.S. 53-257; 53-259; 53-271(a)
Eff. January 1, 1995
Amended Eff. September 1, 2006
Readopted Eff. August 1, 2018.

04 NCAC 03K .0201 Application for Authorization as a Reverse Mortgage Lender {#sec-04-ncac-03k-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0201}

(a) The application shall be in writing, attested by the applicant, and filed pursuant to Rule .0101(b) of this Subchapter, and shall include the following:

(1) a business plan that includes a description of the applicant's reverse mortgage business operations;

(2) the addresses where the applicant intends to engage in business as a reverse mortgage lender, including branch offices and the name of each branch manager;

(3) a description of the business experience and current business activities of the applicant, its partners, directors, principal officers and controlling persons; and

(4) three business references, including one bank reference.

(b) In addition to the documents and information described in Paragraph (a) of this Rule, the Commissioner may require additional information as necessary to make the findings required by G.S 53-258.

(c) Incomplete application files may be closed and deemed withdrawn when the applicant has not submitted information requested by the Commissioner within 30 days of the request.

History

Authority G.S. 53-258; 53-259
Eff. January 1, 1995
Readopted Eff. August 1, 2018.

04 NCAC 03K .0202 Notification of Intent to Engage in Reverse Mortgage Lending {#sec-04-ncac-03k-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0202}

History

Status: repealed
Authority G.S. 53-258(a)(c); 53-259; 53-271(a)
Eff. January 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03K .0203 Current Authorized Lender Information {#sec-04-ncac-03k-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0203}

(a) A NC SAFE Act authorized lender shall notify the Commissioner within 30 days of the effective date of any material changes to the information on file with the Commissioner. Notification shall be made on the lender's letterhead.

(b) For the purposes of this Rule, the term "material" means any information that would influence the granting of authorization to engage in reverse mortgage lending. The term "material" shall include information concerning a change in the address of the authorized lender's reverse mortgage branch office locations or the cessation of reverse mortgage lending activities in this State.

History

Authority G.S. 53-258; 53-259; 53-271
Eff. January 1, 1995
Readopted Eff. August 1, 2018.

04 NCAC 03K .0204 ANNUAL Renewal FEE {#sec-04-ncac-03k-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0204}

(a) On or before December 31 of each year, each NC SAFE Act authorized lender shall pay the annual fee set forth in G.S. 53-258(d).

(b) Failure of an NC SAFE Act authorized lender to pay the annual fee as of the date specified in Paragraph (a) of this Rule shall be grounds for revocation of its authorization to make reverse mortgage loans.

History

Authority G.S. 53-258(d); 53-259; 53-271
Eff. January 1, 1995
Readopted Eff. August 1, 2018.

04 NCAC 03K .0205 Certificate of Authorization {#sec-04-ncac-03k-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0205}

History

Status: repealed
Authority G.S. 53-122(3); 53-258(b)(d); 53-259; 53-271(a)
Eff. January 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03K .0206 Nontransferability of Certificate of Authorization {#sec-04-ncac-03k-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0206}

A Certificate of Authorization shall be neither transferrable nor assignable.

History

Authority G.S. 53-258(d); 53-259; 53-271(a)
Eff. January 1, 1995
Readopted Eff. August 1, 2018.

04 NCAC 03K .0301 Minimum Net Worth Requirement for Authorized Lender or Lenders {#sec-04-ncac-03k-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0301}

History

Status: repealed
Authority G.S. 53-258(b); 53-259; 53-271(a)
Eff. January 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03K .0302 Surety Bonds {#sec-04-ncac-03k-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0302}

All NC SAFE Act authorized lenders shall post a surety bond in the amount of one hundred thousand dollars ($100,000) with the Commissioner that shall run to the benefit of the State. The bond shall be executed by an insurance company authorized to do business in North Carolina and not affiliated with the lender. The bond shall be conditioned upon the authorized lender's compliance with the provisions of Articles 19B and 21 of Chapter 53 of the General Statutes and all rules adopted thereunder.

History

Authority G.S. 53-244.103; 53-244.118; 53-258(b); 53-259; 53-271(a)
Eff. January 1, 1995
Readopted Eff. August 1, 2018.

04 NCAC 03K .0401 Certified Financial Statements {#sec-04-ncac-03k-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0401}

History

Status: repealed
Authority G.S. 53-259; 53-271(a)
Eff. January 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03K .0402 Record and Bookkeeping Requirements {#sec-04-ncac-03k-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0402}

(a) All NC SAFE Act authorized lenders shall maintain their books and records relating to the making of reverse mortgage loans for a period of three years after payment of the debt and make them available for inspection by the Commissioner.

(b) An NC SAFE Act authorized lender shall notify the Commissioner of any change in the location of its books and records.

History

Authority G.S. 53-244.105; 53-259; 53-271(a)
Eff. January 1, 1995
Readopted Eff. August 1, 2018.

04 NCAC 03K .0403 Examinations {#sec-04-ncac-03k-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0403}

The Commissioner may make such examination of the books, records and affairs of NC SAFE Act authorized lenders pursuant to G.S. 53-244.115.

History

Authority G.S. 53-244.115; 53-259; 53-270; 53-271(a)
Eff. January 1, 1995
Readopted Eff. August 1, 2018.

04 NCAC 03K .0404 Withdrawal/Termination of Authorization as Reverse Mortgage Lender {#sec-04-ncac-03k-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0404}

History

Status: repealed
Authority G.S. 53-259; 53-271
Eff. January 1, 1995
Repealed Eff. September 1, 2018.

04 NCAC 03K .0405 Impairment of Surety Bond {#sec-04-ncac-03k-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0405}

(a) A NC SAFE authorized lender shall notify the Commissioner in writing within three business days of any cancellation or suspension of the surety bond required by Rule .0302 of this Subchapter.

(b) If an applicant fails to meet the minimum surety bond requirements, the Commissioner may revoke or suspend authorization of NC SAFE Act authorized lender to engage in reverse mortgages.

History

Authority G.S. 53-244.114; 53-258(b); 53-259; 53-271
Eff. January 1, 1995
Readopted Eff. August 1, 2018.

04 NCAC 03K .0501 Reverse Mortgage Lender Application Disclosure {#sec-04-ncac-03k-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0501}

History

Status: repealed
Authority G.S. 53-259; 53-264; 53-265(a); 53-270; 53-271(a)
Eff. January 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03K .0502 Permitted Fees {#sec-04-ncac-03k-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0502}

History

Status: repealed
Authority G.S. 53-259; 53-264; 53-265(a); 53-270; 53-271(a)
Eff. January 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03K .0601 Counseling {#sec-04-ncac-03k-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0601}

History

Status: repealed
Authority G.S. 53-259; 53-260; 53-264; 53-271(a)
Eff. January 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03K .0701 Prohibited Acts {#sec-04-ncac-03k-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0701}

History

Status: repealed
Authority G.S. 53-259; 53-270; 53-271(a)
Eff. January 1, 1995
Repealed Eff. August 1, 2018.

04 NCAC 03K .0702 Enforcement Actions {#sec-04-ncac-03k-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0702}

The grounds upon which the Commissioner may revoke the authorization of a lender to engage in reverse mortgage loans includes the following:

(1) The making of any false statement in an application for authorization;

(2) The making of any false statement on any form or document requested by the Commissioner;

(3) One or more violations of G.S. 53, Article 21 or rules of this Subchapter;

(4) The conviction of any crime that would have a bearing upon the fitness or ability of the authorized lender to conduct its business; or

(5) The commission of any action that involves dishonesty, fraud, or misrepresentation.

History

Authority G.S. 53-259; 53-270; 53-271
Eff. January 1, 1995
Readopted Eff. August 1, 2018.

04 NCAC 03K .0703 Hearings {#sec-04-ncac-03k-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03K .0703}

History

Status: repealed
Authority G.S. 53-259; 53-270; 53-271; 53-272
Eff. January 1, 1995
Repealed Eff. August 1, 2018.

Subchapter L

04 NCAC 03L .0101 Definitions {#sec-04-ncac-03l-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0101}

(a) In addition to the definitions in G.S. 53, Article 22, the following definitions apply:

(1) "Any one maker" means any single signatory on a personal checking account.

(2) "Branch location" means a location, including a mobile unit, but not the principal place of business, where the licensee holds itself out to the public as engaging in a check-cashing business.

(3) "Business day" means a calendar day, other than Saturday, Sunday, or State recognized holiday under 25 NCAC 01E .0901, which is incorporated by reference and includes subsequent amendments.

(4) "Check" means a draft (other than a draft payable upon presentation of documentation, such as securities) payable on demand and drawn on a bank. The term "check" may also include any cashier's check or teller's check, but shall not include travelers checks or foreign denomination payment instruments.

(5) "Conspicuously posted" means placed in public view in a location, manner, and size of typeface that a person seeking the services of a licensee could see and read the contents of the posted notice.

(6) "Controlling person" means a person who owns or holds with the power to vote 10% or more of the equity securities of an applicant or licensee, or who has the power to direct the management and policy of the licensee.

(7) "Draft" means a written order to pay money signed by the drawer, to another person, who is the drawee.

(8) "Liquid assets" means cash, bank deposit accounts, money market accounts, and US Treasury bonds owned by the applicant or licensee, plus undeposited checks cashed by a licensee, less any returned checks doubtful of collection and cash remittances due others.

(9) "Location" means a place of business where check-cashing activity is conducted.

(10) "Mobile unit" means a vehicle, or other movable means, or a computer terminal from which the business of check cashing is conducted.

(11) "Principal" means:

(A) any person who controls directly, or indirectly through one or more intermediaries, alone or in concert with others, a 10 percent or greater interest in a partnership, company, association, or corporation;

(B) the owner of a sole proprietorship;

(C) any natural person acting with apparent authority for or on behalf of an owner, officer, member, or director of a licensee; or

(D) any natural person who directs the performance of other employees as manager of a branch of any licensee.

(12) "Principal place of business" means the location where the licensee holds itself out to the public as engaging in a check cashing business and that the licensee has declared to the Commissioner to be the main site of its business operations.

(13) "Receipt" means a written record of a check-cashing transaction.

(b) A term not defined in this Rule or in G.S. 53, Article 22 shall have the meaning given it, if any, by G.S. 25, Article 3.

History

Authority G.S. 53-288
Eff. July 1, 2000
Amended Eff. November 1, 2013
Readopted Eff. August 1, 2018.

04 NCAC 03L .0102 Filings {#sec-04-ncac-03l-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0102}

Licensees may obtain from the agency's website, located at https://www.nccob.gov, information concerning applications for a license, reports, applications for annual renewal, amendments to applications, renewal notices, or other documents that are required by law or rule to be filed with the Commissioner.

History

Authority G.S. 53-288
Eff. July 1, 2000
Amended Eff. September 1, 2006
Readopted Eff. August 1, 2018.

04 NCAC 03L .0201 Application for License {#sec-04-ncac-03l-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0201}

(a) An application for a license as a check-cashing business shall include a financial statement that shows liquid assets of fifty thousand dollars ($50,000) as required by G.S. 53-279(a) and shall include the following:

(1) the business address in North Carolina, mailing address, business telephone number, facsimile number, and name of the supervisor or manager for the principal place of business and for each branch location;

(2) the address where books and records for the business will be kept;

(3) name, title, and business telephone number and facsimile number for the application contact person;

(4) the applicant's federal employer identification number; and

(5) a declaration as to whether the applicant's business will be conducted as a sole proprietorship, a partnership, a limited liability company, or a corporation.

(b) Each applicant shall provide a signed statement authorizing the Commissioner to run a credit report on the applicant and on each owner, partner, director, principal, or controlling person.

(c) Each applicant shall provide a signed statement making disclosure to the Commissioner concerning information that pertains to either the applicant, its partners, directors, principal officers, or controlling persons for the following:

(1) all criminal proceedings or criminal convictions;

(2) all civil proceedings or civil judgments entered that involve fraud or dishonesty;

(3) all civil judgments during the past 10 years that have remained partially or wholly unpaid;

(4) all of the following proceedings: bankruptcy, assignment for the benefit of creditors, receivership, conservatorship, or similar proceeding;

(5) all proceedings brought by a state or federal administrative agency;

(6) all judgments entered by state or federal administrative agency that involve fraud, dishonesty, or that reflect on the applicants' character and fitness to command the confidence of the public; and

(7) a description of the current business activities of the applicant and the business experience, business activities, and education of the applicant's partners, directors, principal officers, and controlling persons.

(d) The application shall be verified by the oath of the applicant.

(e) In addition to the documents and information described in this Rule, the Commissioner may require additional information necessary or helpful in order to perform the investigation required by G.S. 53-278 and to make the findings required by G.S. 53-279.

(f) Incomplete application files may be closed and may be denied without prejudice when the applicant has not submitted information requested by the Commissioner within 30 days of the request.

History

Authority G.S. 53-276; 53-278; 53-279; 53-288
Eff. July 1, 2000
Readopted Eff. August 1, 2018.

04 NCAC 03L .0202 Fees {#sec-04-ncac-03l-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0202}

History

Status: repealed
Authority G.S. 53-278; 53-288; 53C-2-1; 53C-2-2
Eff. July 1, 2000
Repealed Eff. August 1, 2018.

04 NCAC 03L .0301 Issuance {#sec-04-ncac-03l-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0301}

History

Status: repealed
Authority G.S. 53-278; 53-279; 53-288; 53C-2-1; 53C-2-2
Eff. July 1, 2000
Repealed Eff. August 1, 2018.

04 NCAC 03L .0302 Nontransferability of License {#sec-04-ncac-03l-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0302}

(a) A check-cashing license shall be neither transferable nor assignable.

(b) A change in the licensee's organizational structure that constitutes a transfer or assignment of the license shall include the following:

(1) if the licensee is a corporation or limited liability company:

(A) a change in ownership of 50% or more of the licensee's stock; or

(B) the conversion of the corporation or company into a general or limited partnership or sole proprietorship;

(2) if the licensee is a general or limited partnership:

(A) a change in one of the licensee's general partners;

(B) the conversion of the general partnership into a limited partnership, corporation, or sole proprietorship; or

C) the conversion of the limited partnership into a general partnership, corporation, or sole proprietorship; and

(3) if the licensee is a sole proprietor:

(A) the conversion of the sole proprietorship into a general or limited partnership or corporation; or

(B) the sale or assignment of all of the assets of the licensee's business to another person.

(c) Upon a change in organization as set forth in Paragraph (b) of this Rule, the licensee's license shall become void and the licensee shall surrender its license to the Commissioner within 10 days of the change. The entity that results from the change in the licensee's organizational structure shall not engage in a check-cashing business in this State, unless it first obtains a license pursuant to Section .0200 of this Subchapter. An application for a license may be made prior to the effective date of the change in structure.

History

Authority G.S. 53-276; 53-278; 53-288
Eff. July 1, 2000
Readopted Eff. August 1, 2018.

04 NCAC 03L .0303 Annual Renewal of License {#sec-04-ncac-03l-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0303}

A check-cashing license shall be valid from the date of issuance and, unless renewed, shall expire on September 30 of each year without further action by the Commissioner. The renewal period shall begin on July 1 of each year. Licensees may file renewal applications and pay applicable renewal fees on the agency website located at www.nccob.gov. Any new license issued on or after July 1 of each year shall not be required to be renewed until the subsequent renewal period.

History

Authority G.S. 53-276; 53-278; 53-288
Eff. July 1, 2000
Readopted Eff. August 1, 2018.

04 NCAC 03L .0401 Posting of License or Branch Certificate {#sec-04-ncac-03l-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0401}

A licensee shall obtain a branch location certificate for each location other than its principal place of business where its business of cashing checks is conducted. The license or certificate shall be conspicuously posted.

History

Authority G.S. 53-276; 53-278; 53-288
Eff. July 1, 2000
Readopted Eff. August 1, 2018.

04 NCAC 03L .0402 Surrender of License {#sec-04-ncac-03l-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0402}

A licensee shall notify the Commissioner in writing of its decision to cease operations as a check-cashing business in this State within seven days of the decision. A licensee shall surrender its license and branch certificates, if any, to the Commissioner no later than 30 days after it has voluntarily ceased operations in this State or within a shorter time as the Commissioner may order if operations end involuntarily pursuant to G.S. 53-284 or G.S. 53-285.

History

Authority G.S. 53-285; 53-276; 53-288
Eff. July 1, 2000
Readopted Eff. August 1, 2018.

04 NCAC 03L .0403 Posting of Fees {#sec-04-ncac-03l-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0403}

(a) The notice of fees required by G.S. 53-280(c) shall be conspicuously posted.

(b) A licensee shall file with the Commissioner a scaled duplicate of the notice of fees on 8 1/2 x 11 inch paper.

History

Authority G.S. 53-280; 53-288
Eff. July 1, 2000
Amended Eff. November 1, 2013
Readopted Eff. August 1, 2018.

04 NCAC 03L .0404 Cash-Out Transactions {#sec-04-ncac-03l-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0404}

History

Status: repealed
Authority G.S. 53-92; 53-93; 53-281; 53-282; 53-288
Eff. July 1, 2000
Repealed Eff. January 1, 2013.

04 NCAC 03L .0405 Limitation on Delayed Deposit Check Cashing {#sec-04-ncac-03l-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0405}

History

Status: repealed
Authority G.S. 53-92; 53-93; 53-281; 53-282; 53-288
Eff. July 1, 2000
Repealed Eff. January 1, 2013.

04 NCAC 03L .0501 Books and Records {#sec-04-ncac-03l-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0501}

(a) Each check-cashing business licensed by the Commissioner of Banks shall record all transactions of receipts and disbursements pertaining to checks cashed. All entries shall document the date the transactions occur. A licensee shall maintain books and accounting records that include the following:

(1) a daily transaction journal or equivalent record that shows the customer's name for each transaction;

(2) the written receipt required by G.S. 53-282(b); and

(3) the bank statements of the licensee. If the statements are not maintained on the premises of the licensee, they shall be made available upon request by the Office of the Commissioner of Banks.

(b) These records shall be maintained for a period of three years from the date of entry and shall be made available by the close of business on the next business day upon request to the Commissioner of Banks or his or her designee for inspection or examination.

History

Authority G.S. 53-282; 53-288
Eff. July 1, 2000
Amended Eff. November 1, 2013
Readopted Eff. August 1, 2018.

04 NCAC 03L .0502 Examinations {#sec-04-ncac-03l-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0502}

(a) Examinations may be done with or without advance notice to the licensee.

(b) In addition to examinations authorized by G.S. 53-278(b) or G.S. 53-282(c), the Commissioner may request reports from the licensee for the purpose of determining the general results of operations pursuant to Article 22 of Chapter 53.

(c) If a licensee fails to pay the costs of examination as authorized by G.S. 53-282(c) and at a rate pursuant to 04 NCAC 03C .1601 to the Commissioner within 60 days of billing, the Commissioner may proceed to remedies set forth in G.S. 53-284.

History

Authority G.S. 53-278; 53-282; 53-284; 53-288
Eff. July 1, 2000
Readopted Eff. August 1, 2018.

04 NCAC 03L .0601 Amendments to Information on File with the Commissioner {#sec-04-ncac-03l-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0601}

(a) A licensee shall notify the Commissioner within 30 days of any material change to information that it submitted to the Commissioner, whether provided in the initial application, request for annual renewal, or in any other report or information.

(b) Notification shall be by letter or by revision or modification of the appropriate portions of the application (whether initial or renewal).

(c) For the purposes of this Rule, the term "material" shall mean any information that would influence the granting, revocation, or expiration of a license. The term "material" includes the following:

(1) changes in the licensee's corporate officers, partners, or business structure;

(2) changes in the address of the licensee's main or branch locations and any names under which the licensee operates; or

(3) changes that would render untrue, inaccurate, or misleading any of the disclosures made by the licensee in its application pursuant to Rule .0201 of this Subchapter.

History

Authority G.S. 53-278; 53-283; 53-284; 53-288
Eff. July 1, 2000
Readopted Eff. August 1, 2018.

04 NCAC 03L .0602 Expansion or Relocation {#sec-04-ncac-03l-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0602}

(a) A licensee shall notify the Commissioner of the opening of any new branch locations or the relocation of its principal place of business or of any branch locations at least 20 days prior to the effective date of the change. The notification shall be on a form obtained from the Commissioner. The notification shall provide an explanation of the reasons for the change and shall be accompanied by a certificate fee for the new branch certificate in the amount of fifty dollars ($50.00). Licensees may surrender their inaccurate certificate by mailing the certificate to the Commissioner at: Office of the Commissioner of Banks, 4309 Mail Service Center, Raleigh, North Carolina 27699-4309 or may be delivered to the physical address: 316 West Edenton Street, Raleigh, North Carolina 27603.

(b) The Commissioner shall issue a revised branch certificate upon his or her receipt of the required notification, the explanation, and the filing fee and upon surrender of the licensee's inaccurate certificate.

History

Authority G.S. 53-276; 53-278; 53-279; 53-283; 53-288
Eff. July 1, 2000
Readopted Eff. August 1, 2018.

04 NCAC 03L .0603 Impairment of Financial Requirements {#sec-04-ncac-03l-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0603}

A licensee shall notify the Commissioner in writing within 30 days if it fails to meet the minimum liquid asset requirement of G.S. 53-279(a).

History

Authority G.S. 53-279; 53-288
Eff. July 1, 2000
Readopted Eff. August 1, 2018.

04 NCAC 03L .0604 Report of Information to Commissioner for the General Assembly {#sec-04-ncac-03l-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03L .0604}

History

Status: repealed
Authority G.S. 53-92; 53-93
Eff. July 1, 2000
Repealed Eff. November 1, 2013.

Subchapter M

04 NCAC 03M .0101 Definitions {#sec-04-ncac-03m-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0101}

In addition to the definitions in G.S. 53, Article 19B for the purposes of this Subchapter the following definitions apply:

(1) "Act" means Article 19B of Chapter 53 of the North Carolina General Statutes, the "North Carolina Secure and Fair Enforcement (S.A.F.E.) Mortgage Licensing Act," or "NC SAFE Act."

(2) "Advertisement" means material used or intended to be used to induce the public to apply for a mortgage loan. The term includes any printed or published material, or descriptive literature concerning a mortgage loan to be solicited, processed, negotiated, or funded by a licensee or exempt entity whether disseminated by direct mail, newspaper, magazine, radio or television broadcast, electronic mail or other electronic means, or billboard or similar display. The term does not include any disclosures, program descriptions, or other materials prepared or authorized by any state or federal government agency, nor does the term include any material or communication that has been excluded for purposes of any regulation of the Board of Governors of the Federal Reserve System regulating consumer credit disclosures.

(3) "Call Report" means a report of condition on a company and its operations that includes financial and loan activity information.

(4) "License" means a mortgage lender, mortgage servicer, mortgage broker, exclusive mortgage broker, or mortgage loan originator license issued pursuant to the Act and this Subchapter.

(5) "Material borrower information" means facts or information that a reasonable person knows, or should know, would reasonably be expected to influence a borrower's decision with regard to one or more loans, including:

(a) the total compensation the mortgage broker expects to receive from all sources in connection with each loan option presented to the borrower;

(b) the terms of each loan option presented to the borrower;

(c) the anticipated monthly payment (including property tax and insurance payments) for each loan option presented to the borrower;

(d) if the loan contains a variable rate feature or other terms that may result in a change to the borrower's monthly payments over the life of the loan, the circumstances upon which the terms or payments will change and the impact of the changes upon the borrower's required monthly payments; and

(e) any affiliate relationships that may exist between the licensee and any party or parties to the sale or financing of the subject property, or any provider of settlement services.

(6) "Material change" means a change to any material facts.

(7) "Material facts" means information provided to the Commissioner by a licensee or applicant, regarding the person's identity, contact information, or business operations that a reasonable person knows, or should know, would influence a decision to grant, suspend, condition, limit, renew, or revoke a license or to take other disciplinary action against a licensee or exempt person, including:

(a) notice of a pending administrative action involving the licensee or applicant for licensure by any state or federal authority to which the licensee is subject;

(b) the issuance of an administrative order against the licensee or applicant for licensure by any state or federal authority to which the licensee is subject;

(c) notice of a pending criminal charge against the licensee or applicant for actions related to financial services or moral turpitude;

(d) the entry of a conviction or one of the following on a criminal charge against the licensee or applicant for licensure for a felony or other criminal charge for actions related to financial services or moral turpitude:

(i) a plea of guilty;

(ii) a plea of no contest or nolo contendere;

(iii) a prayer for judgment continued;

(iv) a deferred prosecution agreement;

(v) an adjudication or verdict of guilty by a domestic, foreign, military, or other court of competent jurisdiction;

(vi) the equivalent of any of the foregoing in a domestic, foreign, military, or other court of competent jurisdiction; or

(vii) any other classification that is a conviction pursuant to the applicable law in the jurisdiction where the criminal charge was brought.

(e) a change in status to the licensee's bond, including the reduction or cancellation of such bond;

(f) the licensee's primary phone number, mailing address, and principal office address;

(g) any assumed name, trade name, or d/b/a (doing business as) under which the licensee may be operating;

(h) the address at which files and documents retained pursuant to the Act or the rules in this Subchapter are stored;

(i) the identity of the licensee's bonding company or carrier, and the bond number;

(j) for corporate licensees, the identity of any affiliated mortgage lender, mortgage broker, mortgage servicer, or provider of settlement services; and

(k) for a corporate license, the identity of the licensee's owners, officers, directors, qualifying individual, branch manager(s), or control persons.

(8) "Nationwide Mortgage Licensing System and Registry" or "NMLS&R" has the same meaning as defined in the NC SAFE Act.

(9) "Registration" means the approval granted to a mortgage origination support registrant to engage exclusively in the processing or underwriting of residential mortgage loans but not the mortgage business.

(10) "Settlement Services" has the same meaning as defined in federal Real Estate Procedures Act (RESPA) 12 U.S.C. Sec. 2601 et. seq. Regulation X, 24 C.F.R. Part 3500 et. seq, which is incorporated by reference and includes subsequent amendments. A copy of the regulation may be obtained from the website free of charge U. S. Government Publications Office website at https://www.gpo.gov/fdsys/granule/CFR-2000-title24-vol5/CFR-2000-title24-vol5-part3500/content-detail.html.

History

Authority G.S. 53-244.118
Temporary Adoption Eff. July 1, 2002
Eff. April 1, 2003
Amended Eff. July 1, 2010; July 18, 2008
Readopted Eff. August 1, 2018.

04 NCAC 03M .0102 Notices {#sec-04-ncac-03m-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0102}

(a) Except as otherwise required by G.S. 53-244.113(b), Article 3A, Chapter 150B of the General Statutes, or by the rules of the Office of Administrative Hearings, 26 NCAC 03, which are incorporated by reference, including subsequent amendments and editions, any document, decision, or other communication required or permitted to be given by the Commissioner to a person is considered given when either:

(1) deposited in the United States mail with sufficient first class postage affixed, addressed to the most recent principal office address provided by the addressee to the Office of the Commissioner of Banks; or

(2) transmitted through electronic mail to the address provided by the addressee to the Office of the Commissioner of Banks.

(b) Any application for licensure, report, annual statement, amendment to application, notice, or other document that is required or permitted by law or rule to be filed with the Commissioner shall be through the NMLS&R.

(c) Where the NMLS&R does not make available submission of any document required or permitted by law to be filed with the Commissioner, the document may be filed by electronic submission through the Office of the Commissioner of Bank's website https://www.nccob.gov if the Commissioner makes electronic submission available.

History

Authority G.S. 53-244.118; 53-244.119
Temporary Adoption Eff. July 1, 2002
Eff. April 1, 2003
Amended Eff. May 1, 2010
Readopted Eff. August 1, 2018.

04 NCAC 03M .0201 Application {#sec-04-ncac-03m-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0201}

(a) Each type of application required by the rules in this Subchapter or the Act shall be filed through the NMLS&R and shall be verified by the affirmation of the applicant or a principal officer.

(b) In addition to the documents and information required by the rules in this Subchapter, the Commissioner may require additional information to determine that the applicant meets or continues to meet the requirements of the Act.

(c) Applications submitted without the required fees, missing material facts, or any information requested under Paragraph (b) of this Rule shall be held in pending status for a period of 30 calendar days after notification through the NMLS&R to the applicant specifying the nature of the deficiency. If the deficiency remains outstanding for more than 30 days, the application shall automatically be considered withdrawn without further action by the Commissioner, and in order to become licensed, the applicant shall submit a new application and pay all fees.

History

Authority G.S. 53-244.040; 53-244.050; 53-244.060; 53-244.070; 53-244.080; 53-244.100; 53-244.101; 53-244.102; 53-244.103; 53-244.104; 53-244.115; 53-244.118
Temporary Adoption Eff. July 1, 2002
Eff. April 1, 2003
Amended Eff. May 1, 2010
Readopted Eff. August 1, 2018.

04 NCAC 03M .0202 Nontransferability {#sec-04-ncac-03m-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0202}

(a) Any attempt to transfer or assign a license or registration through a change of control without the prior consent of the Commissioner shall:

(1) be ineffective; and

(2) be grounds for summary suspension, revocation of the license or registration, or other remedies available to the Commissioner.

(b) A change in the identity of a control person or any material change in organizational structure shall be considered a transfer or assignment of the license or registration. A licensee or registrant may transfer a license or registration without submission of an application by providing the following to the Commissioner:

(1) the licensee or registrant gives notice to the Commissioner at least 60 days in advance of the effective date of the proposed change; and

(2) the Commissioner determines that permitting the licensee or registrant to continue to operate under its existing license or registration would not be inconsistent with the purposes of the Act.

(c) A notice pursuant to Subparagraph (b)(1) of this Rule shall include information to enable the Commissioner to make the determination described in that Subparagraph (b)(2) of this Rule.

(d) The Commissioner shall waive or reduce the advance notice requirement of Subparagraph (b)(1) of this Rule if the Commissioner determines that:

(1) circumstances beyond the licensee or registrant's control would make compliance unduly burdensome to the licensee or registrant;

(2) consumers would not be harmed by such a waiver or reduction of the advance notice requirement;

(3) the licensee or registrant has otherwise satisfied the requirements of this Rule; and

(4) waiver of the requirement of Subparagraph (b)(1) is in the public interest.

History

Authority G.S. 53-244.050; 53-244.060; 53-244.100; 53-244.118
Temporary Adoption Eff. July 1, 2002
Eff. April 1, 2003
Amended Eff. May 1, 2010
Readopted Eff. August 1, 2018.

04 NCAC 03M .0203 Name Changes {#sec-04-ncac-03m-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0203}

A licensee or registrant may change its corporate name or the name under which it operates, provided:

(1) the licensee or registrant and the proposed new name satisfies all applicable laws pertaining to assumed business names;

(2) the licensee or registrant has given the Commissioner at least 30 days prior notice of the proposed new name; and

(3) the Commissioner determines that the new name will not result in confusion among the general public regarding the licensee or registrant's identity or powers in accordance with G.S. 53C-1-3.

History

Authority G.S. 53-244.118; 53C-1-3
Temporary Adoption Eff. July 1, 2002
Eff. April 1, 2003
Readopted Eff. August 1, 2018.

04 NCAC 03M .0204 Experience {#sec-04-ncac-03m-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0204}

As used in G.S. 53-244.050(b)(2), an individual is considered to have acquired "experience in residential mortgage lending" during any documented period in which:

(1) more than half of the individual's employment income was derived from employment in the mortgage lending, mortgage servicing, or mortgage brokerage industry; and

(2) that individual had actual responsibility for job functions in each area of study included in a prelicensing education program.

History

Authority G.S. 244-118
Eff. April 1, 2003
Amended Eff. May 1, 2010; April 1, 2008
Readopted Eff. August 1, 2018.

04 NCAC 03M .0205 financial responsibility {#sec-04-ncac-03m-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0205}

Financial Responsibility is an ongoing requirement and upon issuance of a license, a licensee must continue to meet the requirements of G.S. 53-244.060(4).

History

Authority G.S. 53-244.060(4); 53-244.104; 53-244.118
Eff. July 18, 2008
Amended Eff. July 1, 2010
Readopted Eff. August 1, 2018.

04 NCAC 03M .0206 Surety Bond {#sec-04-ncac-03m-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0206}

(a) All licensees with surety bonds under G.S. 53-244.103 shall ensure that full amount of the surety bond is in effect at all times. Failure to maintain the surety bond at the level required in G.S. 53-244.103 is grounds for immediate suspension of licensure.

(b) All licensees with surety bonds under G.S. 53-244.103 shall report any claims made against the surety bond to the Commissioner within 10 business days upon receipt of notice of any claim.

(1) require the bonding company to report all claims and any claims paid on the bond to the Commissioner within 10 days of such claim or payment;

(2) require the bonding company to pay within 30 days any amount that the Commissioner orders the bonding company to pay upon a determination by the Commissioner that the licensee has failed to faithfully perform the licensee's obligations; and

(3) remain in effect for a minimum of five years after lapse or termination of the bond in order to satisfy possible claims for failure to faithfully fulfill obligations during the term of the bond.

History

Authority G.S. 53-103; 53-244.118
Eff. April 1, 2008
Amended Eff. May 1, 2010
Readopted Eff. August 1, 2018.

04 NCAC 03M .0301 Approval of Providers and Courses of Study; Provider Requirements; Qualified Written Test {#sec-04-ncac-03m-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0301}

History

Status: expired
Authority G.S. 53-244.060; 53-244.070; 53-244.080; 53-244.118
Temporary Adoption Eff. July 1, 2002
Eff. April 1, 2003
Amended Eff. July 1, 2010; July 18, 2008.
Expired Eff. November 1, 2017 pursuant to G.S. 150B-21.3A.

04 NCAC 03M .0302 Loan Officer Examination {#sec-04-ncac-03m-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0302}

History

Status: repealed
Authority G.S. 53-243.05; 53-243.07; 53-243.13
Temporary Adoption Eff. July 1, 2002
Eff. April 1, 2003
Repealed Eff. May 1, 2010.

04 NCAC 03M .0303 Requirements for Providers {#sec-04-ncac-03m-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0303}

History

Status: repealed
Authority G.S. 53-243.05; 53-243.07; 53-243.13
Temporary Adoption Eff. July 1, 2002
Eff. April 1, 2003
Repealed Eff. May 1, 2010.

04 NCAC 03M .0401 Reporting Requirements {#sec-04-ncac-03m-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0401}

(a) No later than 90 days after the end of the calendar year, mortgage lenders, mortgage servicers, and mortgage brokers shall file an annual report in the NMLS&R. The annual report shall be supplemented with additional information about operations, characteristics of loans made, or other similar composite data if the Commissioner determines that this additional information is necessary to safeguard the interests of the borrowing public. Mortgage brokers shall as a part of the annual report provide certification from an insured depository institution that the broker has for the year of the current annual report owned and held on a continual basis cash or other liquid assets of at least ten thousand dollars ($10,000) in a deposit account under the firm's name. Failure to submit an annual report within 90 days after the end of the calendar year is grounds for summary suspension pursuant to G.S. 53-244.114.

(b) Mortgage lenders, mortgage servicers, and mortgage brokers shall provide an audited statement of financial condition or a certified statement of financial condition as required by G.S. 53-244.104 within 90 days of the end of the licensee's fiscal year. If not shown in the audited statement of financial condition, mortgage lenders shall provide evidence of available warehouse lines of credit or other funding facilities.

(c) Mortgage lenders and mortgage brokers shall provide information on the characteristics of loan originations in an electronic format prescribed by the Commissioner on a quarterly basis within 45 days after the close of the calendar quarter. Mortgage lenders shall provide:

(1) information sufficient to identify the mortgage loan and the unique identifier of the mortgage loan originator, mortgage broker (if applicable), and mortgage lender for the loan;

(2) information sufficient to enable a computation of applicable loan terms in the Federal Truth in Lending disclosures, including the annual percentage rate, finance charge, and a schedule of payments, and any deviations between the final disclosures and the most recent disclosures issued prior to the final disclosures;

(3) information included in the "Loan Estimate" (LE) or "Good Faith Estimate" (GFE) disclosure required under the Federal Real Estate Settlement Procedures Act including the rate, the date of any interest rate lock, itemization of settlement charges, and all broker compensation;

(4) information included in the final Closing Disclosure or HUD-1 Settlement Statement, if maintained by the mortgage lender in an electronic format;

(5) information related to the terms of the loans, including adjustable rate loan features (including timing of adjustments, indices used in setting rates, maximum and minimum adjustments, and floors and ceilings of adjustments), the undiscounted interest rate (if maintained by the mortgage lender in an electronic format), penalties for late payments, and penalties for prepayment (including computation of the penalty amount, duration of prepayment penalty, and the maximum amount of penalty);

(6) information used in underwriting, including the appraised value of the property, sales price of the property (if a purchase loan), borrowers' income, monthly payment amount, housing debt-to-income ratio, total debt-to-income ratio, and credit score(s) of borrower(s); and

(7) information included in a Loan Application Register for mortgage lenders required to submit information pursuant to the Federal Home Mortgage Disclosure Act.

Mortgage brokers shall provide information identified in this Paragraph unless such information is not prepared or known by the mortgage broker and the mortgage broker does not have access to the information in an electronic format.

(d) On a quarterly basis, mortgage lenders and mortgage brokers shall provide call reports containing financial and loan activity information in an electronic format through the NMLS&R.

(e) A licensee or registrant shall report within 30 days the name of any person suspected of making a misstatement of a material facts or material borrower information in connection with the mortgage lending or servicing process to the Commissioner. Mortgage lenders and mortgage brokers shall report within 30 days any loan repurchased due to a misstatement of material borrower information made in connection with the mortgage lending process.

(f) A licensee or registrant shall report within 30 days the name of any person suspected of making a misstatement of material facts or material borrower information in connection with an inquiry, investigation, or examination to the Commissioner.

History

Authority G.S. 53-244.104; 53-244.108; 53-244.115; 53-244.118
Eff. April 1, 2003
Amended Eff. July 1, 2010; July 3, 2008
Readopted Eff. August 1, 2018.

04 NCAC 03M .0402 Security Breaches {#sec-04-ncac-03m-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0402}

(a) Upon discovery of a security breach as defined in G.S. 75-61(14), the licensee or registrant shall within one business day provide to the Commissioner a copy of any notification that is required pursuant to G.S. 75-65.

(b) Notification by the licensee or registrant shall be in accordance with Rule .0102 of this Subchapter.

History

Authority G.S. 53-244.105(b); 53-244.118
Eff. April 1, 2003
Amended Eff. May 1, 2010; April 1, 2008
Readopted Eff. August 1, 2018.

04 NCAC 03M .0403 Termination of Operations or Employment {#sec-04-ncac-03m-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0403}

(a) A licensee or registrant shall notify the Commissioner in writing of its decision to cease operations in this State, and the anticipated effective date of the cessation of operations, at least 15 days before the cessation.

(b) A mortgage lender, mortgage servicer, or mortgage broker that has not originated or serviced a mortgage loan within a 12-month period is considered to have ceased operations. A mortgage origination support registrant that has not processed or underwritten a mortgage loan within a 12-month period is considered to have ceased operations. Cessation of operations is grounds for summary suspension pursuant to G.S. 53-244.114(b). However, that suspension for cessation of operations shall not extend or revive any license that would otherwise terminate on December 31st based on the person's failure to renew its license or registration or the Commissioner's refusal to renew the license or registration.

(c) A mortgage broker, mortgage lender, mortgage servicer, or mortgage origination support registrant shall not sponsor a mortgage loan originator who is not an employee of the person and shall notify the Commissioner within 30 days of the termination of the individual mortgage loan originator's employment and sponsorship.

History

Authority G.S. 53-244.100; 53-244.114(b); 53-244.118
Eff. April 1, 2003
Amended Eff. May 1, 2010; April 1, 2008
Readopted Eff. August 1, 2018.

04 NCAC 03M .0501 Records to Be Maintained {#sec-04-ncac-03m-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0501}

(a) A licensee shall maintain or cause to be maintained a record of all cash, checks, or other monetary instruments received in connection with each mortgage loan application showing the identity of the payor, date received, amount, and purpose.

(b) A licensee shall maintain a record showing a sequential listing of checks written for each bank account relating to the licensee's business as a mortgage broker or mortgage lender, showing the payee, amount, date, and purpose of payment, including identification of the loan to which it relates. The licensee shall reconcile the bank accounts monthly. Financial records shall be kept in a manner to permit review by examiners.

(c) A licensed mortgage lender or mortgage broker shall maintain a current listing of all mortgage loan applications in an electronic, searchable, and sortable format that permits a review of information by the Commissioner.

(d) A licensed mortgage lender or mortgage broker shall create and retain a file for each mortgage loan application that contains the following, as applicable:

(1) the applicant's name;

(2) date the application was taken;

(3) name of the person taking the application;

(4) the executed application itself; and

(5) if the loan was closed;

(A) the Closing Disclosure or HUD-1 Settlement Statement;

(B) the loan note;

(D) all agreements or contracts with the applicant, including any commitment and lock-in agreements, and other information utilized in the origination of the mortgage loan; and

(E) all disclosures required by State or Federal law.

(e) A licensed mortgage servicer shall create and retain a file for each mortgage loan that it services that contains the following:

(1) the borrower or borrowers names;

(2) a copy of the original note and deed of trust;

(3) a copy of any disclosures or notifications provided to the borrower required by State or Federal law;

(4) a copy of all written requests for information received from the borrower and the servicer's response to the requests as required by State or Federal law;

(5) a record of all payments received from the borrower that contains all information required to be provided to a borrower upon request under G.S. 45-93(2)b;

(6) a copy of any bankruptcy plan approved in a proceeding filed by the borrower or a co-owner of the property subject to the mortgage;

(7) a communications log, if maintained by the servicer, that documents all verbal communication with the borrower or the borrower's representative;

(8) a record of all efforts by the servicer to comply with the duties required under G.S. 53-244.110(7) including all information utilized in the servicer's determination regarding loss mitigation proposals offered to the borrower;

(9) a copy of all notices sent to the borrower related to any foreclosure proceeding filed against the encumbered property; and

(10) records regarding the final disposition of the loan including a copy of any collateral release document, records of servicing transfers, charge-off information, or real estate owned disposition.

(f) A licensee shall maintain a record of samples of each piece of advertising relating to the licensee's business of mortgage lending or mortgage brokerage in North Carolina for a period of 12 months.

(g) A licensee shall maintain copies of all contracts, agreements, and escrow instructions to or with any depository institution, mortgage lender, mortgage servicer, mortgage broker, warehouse lender or other funding facility, servicer of mortgage loans, and investor, for a period of three years after expiration of the contract or agreement.

History

Authority G.S. 53-244.105; 53-244.115; 53-244.118
Eff. April 1, 2003
Amended Eff. May 1, 2010; April 1, 2008
Readopted Eff. August 1, 2018.

04 NCAC 03M .0502 FORM AND LOCATION of records {#sec-04-ncac-03m-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0502}

(a) The records may be maintained in any form that is convertible into legible, tangible documents by the licensee.

(b) All records required by this Section shall be prepared in accordance with generally accepted accounting principles, where applicable.

(c) All records required to be maintained shall be secured against unauthorized access and damage in a location within the State accessible to the Commissioner. However, a licensee or registrant that maintains a centralized out-of-state storage facility for the records from multiple states may request the Commissioner to approve its storage of such records in such out-of-state location. The requests shall be approved provided that:

(1) the Commissioner determines that the proposed storage will ensure that the records are secured against unauthorized access and damage; and

(2) the licensee or registrant agrees in writing to make available at its expense for inspection and copying upon request by the Commissioner copies of all requested records in a form that satisfies the requirements of Paragraph (a) of this Rule.

(d) If the Commissioner has reason to believe that records are not or will not be secured against unauthorized access or damage, the Commissioner shall summarily revoke any approval granted under Paragraph (c) of this Rule.

(e) A licensee or registrant shall notify the Commissioner of any change in the location of its books and records within 15 days following such change.

History

Authority G.S. 53-244.105; 53-244.115; 53-244.118
Eff. April 1, 2003
Amended Eff. May 1, 2010
Readopted Eff. August 1, 2018.

04 NCAC 03M .0601 Reserved for Future Codification {#sec-04-ncac-03m-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0601}

04 NCAC 03M .0602 Seller Discounts for Use of Affiliated Mortgage Lender or Broker {#sec-04-ncac-03m-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0602}

(a) A mortgage lender or mortgage broker shall not originate a mortgage loan if the use of that mortgage lender or mortgage broker is a condition for the borrower to receive a discount or thing of value from a seller affiliated with the mortgage lender or mortgage broker, unless:

(1) the discount conditioned on the use of the mortgage lender or mortgage broker is disclosed on a separate document from any other discount provided by the seller in a written document that informs the borrower that the choice of a lender not affiliated with the seller will not affect any other concessions or discounts offered to the borrower for the purchase of the home, other than the incentive offered for the use of the affiliated lender;

(2) the discount conditioned on the use of the mortgage lender or mortgage broker may be used to pay only the following:

(A) bona fide and reasonable closing costs associated with the loan as permitted under G.S. 24-8(d); and

(B) bona fide discount points, that are paid by the borrower for the purpose of reducing the interest rate below the market rate for that loan product and which in fact reduces the interest rate below the market rate for that loan product; and

(3) the discount does not exceed three percent of the final sales price.

(b) For any discount used as described in Part (a)(2)(B) of this Rule, the following documents shall be maintained in the individual loan file:

(1) the disclosure required under Subparagraph (a)(1) of this Rule;

(2) the rate sheet used by the mortgage lender or mortgage broker to inform the borrower of the available interest rate of the loan; and

(3) the signed lock-in agreement that demonstrates the below-market rate chosen by the borrower.

(c) For any discount used as described in Part (a)(2)(B) of this Rule, the mortgage lender shall maintain written policies and procedures related to the charging of discount points, which include the method of informing borrowers of the benefits and costs of discount points and a commercially reasonable method for determining the amount by which the interest rate will be reduced for the payment of a discount point.

(d) The discount provided in Paragraph (a) of this Rule shall not be applied in a manner that would exceed amounts that may be imposed under North Carolina or Federal law related to mortgage lending or mortgage servicing regardless of whether a party affiliated with the lender directly or indirectly pays for any portion of such charges.

History

Authority G.S. 53-244.111(1); 53-244.111(8); 53-244.118(a)
Eff. April 1, 2011
Readopted Eff. August 1, 2018.

04 NCAC 03M .0701 transfer of servicing rights {#sec-04-ncac-03m-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0701}

A person shall not transfer servicing rights or obligations to a person unless that person holds a mortgage servicing license or is a person exempt from the Act pursuant to G.S. 53-244.040.

History

Authority 53-244.100(a); 53-244.110(1); 53-244.110(3)
Eff. May 1, 2010
Readopted Eff. August 1, 2018.

04 NCAC 03M .0702 Requirements for Mortgage Servicers to Communicate Effectively with Borrowers Regarding Loss Mitigation {#sec-04-ncac-03m-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0702}

(a) A mortgage servicer shall acknowledge in writing a borrower's loss mitigation request no later than 10 business days after the request. The acknowledgement shall identify information needed from the borrower in order for the mortgage servicer to consider the borrower's loss mitigation request. For purposes of this Rule and Rule .0703 of this Subchapter, a loss mitigation request is considered received by a servicer upon the borrower or the borrower's agent by contacting the servicer at the address, phone, or other contact information required to be provided to borrowers in a notice complying with G.S. 53-244.111(22).

(b) A mortgage servicer shall respond to a loss mitigation request from a borrower no later than 30 business days after the receipt of all information necessary from the borrower to assess whether or not a borrower qualifies for any loss mitigation programs offered by the mortgage servicer.

(c) A mortgage servicer shall include in a final response denying a loss mitigation request the reason for the denial and contact information for a person at the mortgage servicer with authority to reconsider the denial. In addition, the denial shall also include the following statement, in a boldface type and in a print no smaller than the largest print used elsewhere in the main body of the denial: "If you believe the loss mitigation request has been wrongly denied, you may file a complaint with the North Carolina Office of the Commissioner of Banks website, www.nccob.gov."

History

Authority G.S. 53-244.110(7); 53-244.118(a)
Eff. June 1, 2010
Readopted Eff. August 1, 2018.

04 NCAC 03M .0703 Cessation of Foreclosure Activity During Pendency of Loss Mitigation REquest {#sec-04-ncac-03m-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 03M .0703}

(a) A mortgage servicer shall not initiate or further a foreclosure proceeding or impose a charge incident to a foreclosure proceeding during the pendency of a loss mitigation request. This requirement does not apply if:

(1) the borrower has failed to comply with the terms of a loss mitigation plan within the previous 12 months, if the loss mitigation plan:

(A) was implemented pursuant to a Federal or State foreclosure prevention program, including the Home Affordable Modification Program; or

(B) reduced the monthly payment of loan by six percent from the scheduled monthly payment and resulted in a monthly payment of principal, interest, taxes, and insurance of less than 31 percent of the borrower's household income;

(2) the mortgage servicer has provided a final response regarding a loss mitigation request within the last 12 months and believes that the current loss mitigation request was not made in good faith;

(3) the borrower has failed to comply with a Chapter 13 bankruptcy repayment plan or has had any bankruptcy proceedings dismissed for abuse of process within the last 12 months;

(4) the loss mitigation request is received by the servicer after the time for appealing an order granting foreclosure of the secured residential real estate has passed in accordance with Article 2A of Chapter 45; or

(5) the servicing contract or the terms of the mortgage loan, entered into prior to October 1, 2009, prohibits such a delay.

(b) Nothing in this Rule shall prevent a mortgage servicer, in order to avoid dismissal or any other adverse order in a foreclosure proceeding that was initiated prior to the loss mitigation request being received, from filing or causing to be filed any pleading or notice that is required under Article 2A of Chapter 45, the Rules of Civil Procedure, or the Local Rules of Court to continue or delay further proceedings.

History

Authority G.S. 53-244.110(7); 53-244.118(a)
Eff. June 1, 2010
Readopted Eff. August 1, 2018.

Chapter 04 Burial Commission

04 NCAC 04 .0101 Name and Address {#sec-04-ncac-04-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0101}

History

Status: repealed
Authority G.S. 90-210.80
Eff. February 1, 1976
Amended Eff. June 1, 1982 (Rule .0101)
Repealed Eff. August 1, 2010.

04 NCAC 04 .0102 Purpose {#sec-04-ncac-04-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0102}

History

Status: repealed
Authority G.S. 90-210.80
Eff. February 1, 1976
Amended Eff. June 1, 1982 (Rule .0101)
Repealed Eff. August 1, 2010.

04 NCAC 04 .0103 Structure {#sec-04-ncac-04-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0103}

History

Status: repealed
Authority G.S. 90-210.80
Eff. February 1, 1976
Amended Eff. June 1, 1982 (Rule .0101)
Repealed Eff. August 1, 2010.

04 NCAC 04 .0104 Responsibilities of North Carolina Burial Commission {#sec-04-ncac-04-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0104}

History

Status: repealed
Authority G.S. 58-241.7; 58-241.8
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0105 Vacancies on Commission {#sec-04-ncac-04-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0105}

History

Status: repealed
Authority G.S. 58-241.7; 58-241.8
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0106 Meetings of the Commission {#sec-04-ncac-04-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0106}

History

Status: repealed
Authority G.S. 58-241.7; 58-241.8
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0107 Rules and Regulations {#sec-04-ncac-04-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0107}

History

Status: repealed
Authority G.S. 58-241.7; 58-241.8
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0201 Hearings {#sec-04-ncac-04-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0201}

History

Status: repealed
Authority G.S. 58-241.8; 58-241.30
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0202 Appeals {#sec-04-ncac-04-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0202}

History

Status: repealed
Authority G.S. 58-241.8; 58-241.30
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0301 Members Required Before Licensing {#sec-04-ncac-04-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0301}

History

Authority G.S. 58-241; 58-241.8
Eff. February 1, 1976
Recodified to 21 NCAC 34B .0312 Eff. January 13. 2017.

04 NCAC 04 .0302 Audit {#sec-04-ncac-04-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0302}

History

Status: repealed
Authority G.S. 58-241.9; 58-241.11
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0303 Merger {#sec-04-ncac-04-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0303}

History

Status: repealed
Authority G.S. 90-210.80
Eff. February 1, 1976
Amended Eff. June 1, 1982 (Rules .0304; .0305)
Repealed Eff. August 1, 2010.

04 NCAC 04 .0304 Surplus or Reserve Account {#sec-04-ncac-04-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0304}

History

Status: repealed
Authority G.S. 90-210.80
Eff. February 1, 1976
Amended Eff. June 1, 1982 (Rules .0304; .0305)
Repealed Eff. August 1, 2010.

04 NCAC 04 .0305 Bonding {#sec-04-ncac-04-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0305}

History

Status: repealed
Authority G.S. 90-210.80
Eff. February 1, 1976
Amended Eff. June 1, 1982 (Rules .0304; .0305)
Repealed Eff. August 1, 2010.

04 NCAC 04 .0306 Assessments Against Associations {#sec-04-ncac-04-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0306}

History

Status: repealed
Authority G.S. 58-241.9; 58-241.11
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0401 Licensing of Burial Insurance Agents {#sec-04-ncac-04-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0401}

History

Status: repealed
Authority G.S. 58-241.10
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0402 License Fee Required {#sec-04-ncac-04-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0402}

History

Status: repealed
Authority G.S. 58-241.10
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0501 Death Claims {#sec-04-ncac-04-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0501}

History

Status: repealed
Authority G.S. 58-241.6; 58-241.8
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0502 Forms {#sec-04-ncac-04-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0502}

History

Status: repealed
Authority G.S. 58-241.6; 58-241.8
Eff. February 1, 1976
Repealed Eff. May 1, 1982.

04 NCAC 04 .0601 Definitions {#sec-04-ncac-04-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0601}

History

Status: repealed
Authority G.S. 90-210.80
Eff. May 1, 1982
Repealed Eff. August 1, 2010.

04 NCAC 04 .0602 Notice of N.c. Mutual Burial Association Commission {#sec-04-ncac-04-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0602}

History

Status: repealed
Authority G.S. 90-210.80
Eff. May 1, 1982
Repealed Eff. August 1, 2010.

04 NCAC 04 .0603 Notice to Members of Domestic Mutual Burial Association {#sec-04-ncac-04-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0603}

History

Status: repealed
Authority G.S. 90-210.80
Eff. May 1, 1982
Repealed Eff. August 1, 2010.

04 NCAC 04 .0604 Conduct of Public Meeting {#sec-04-ncac-04-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0604}

History

Status: repealed
Authority G.S. 90-210.80
Eff. May 1, 1982
Repealed Eff. August 1, 2010.

04 NCAC 04 .0605 Approval of Assumption {#sec-04-ncac-04-.0605 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0605}

History

Status: repealed
Authority G.S. 90-210.80
Eff. May 1, 1982
Repealed Eff. August 1, 2010.

04 NCAC 04 .0606 Authority to Continue Issuance of Policies {#sec-04-ncac-04-.0606 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0606}

History

Status: repealed
Authority G.S. 90-210.80
Eff. May 1, 1982
Repealed Eff. August 1, 2010.

04 NCAC 04 .0607 ISSUANCE OF POLICIES IN EXCESS OF TWO HUNDreD DOLLARS {#sec-04-ncac-04-.0607 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0607}

History

Status: repealed
Authority G.S. 90-210.80
Eff. May 1, 1982
Repealed Eff. August 1, 2010.

04 NCAC 04 .0608 Requirements of Companies Writing Policies {#sec-04-ncac-04-.0608 omnilex-key=us-nc-regs-official--title-04--04 NCAC 04 .0608}

History

Status: repealed
Authority G.S. 90-210.80
Eff. May 1, 1982
Repealed Eff. August 1, 2010.

Chapter 06 Credit Union Division

Subchapter A

04 NCAC 06A .0101 Name and Address {#sec-04-ncac-06a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0101}

The Credit Union Division of the Department of Commerce is located in Raleigh, North Carolina. The mailing address for the Credit Union Division is 4314 Mail Service Center, Raleigh, North Carolina 27699-4314. The office is open to the public Monday through Friday 8:00a.m. to 5:00p.m., excluding state holidays.

History

Authority G.S. 54-109; 54-109.12; 54-109.21(25)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. March 1, 2013; December 1, 1989
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06A .0102 General Purpose {#sec-04-ncac-06a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0102}

History

Status: repealed
Authority G.S. 54-109.10; 54-109.11; 54-109.12; 54-109.14; 150A-10; 150A-11
Eff. February 1, 1976
Amended Eff. January 1, 1978; January 1, 1977
Readopted Eff. April 4, 1978
Amended Eff. January 1, 1984; January 1, 1983; January 1, 1981; January 1, 1980
Repealed Eff. April 1, 1985.

04 NCAC 06A .0103 Areas of Responsibility {#sec-04-ncac-06a-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0103}

History

Status: repealed
Authority G.S. 54-109.10; 54-109.11; 54-109.12; 54-109.14; 150A-10; 150A-11
Eff. February 1, 1976
Amended Eff. January 1, 1978; January 1, 1977
Readopted Eff. April 4, 1978
Amended Eff. January 1, 1984; January 1, 1983; January 1, 1981; January 1, 1980
Repealed Eff. April 1, 1985.

04 NCAC 06A .0104 Functions {#sec-04-ncac-06a-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0104}

History

Status: repealed
Authority G.S. 54-109.10; 54-109.11; 54-109.12; 54-109.14; 150A-10; 150A-11
Eff. February 1, 1976
Amended Eff. January 1, 1978; January 1, 1977
Readopted Eff. April 4, 1978
Amended Eff. January 1, 1984; January 1, 1983; January 1, 1981; January 1, 1980
Repealed Eff. April 1, 1985.

04 NCAC 06A .0105 Reports of Examinations {#sec-04-ncac-06a-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0105}

History

Status: repealed
Authority G.S. 54-109.10; 54-109.11; 54-109.12; 54-109.14; 150A-10; 150A-11
Eff. February 1, 1976
Amended Eff. January 1, 1978; January 1, 1977
Readopted Eff. April 4, 1978
Amended Eff. January 1, 1984; January 1, 1983; January 1, 1981; January 1, 1980
Repealed Eff. April 1, 1985.

04 NCAC 06A .0106 Fees {#sec-04-ncac-06a-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0106}

History

Status: repealed
Authority G.S. 54-109.10; 54-109.11; 54-109.12; 54-109.14; 150A-10; 150A-11
Eff. February 1, 1976
Amended Eff. January 1, 1978; January 1, 1977
Readopted Eff. April 4, 1978
Amended Eff. January 1, 1984; January 1, 1983; January 1, 1981; January 1, 1980
Repealed Eff. April 1, 1985.

04 NCAC 06A .0201 Name and Address {#sec-04-ncac-06a-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0201}

History

Status: repealed
Authority G.S. 143A-181; 150A-10
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985.

04 NCAC 06A .0202 General Purpose {#sec-04-ncac-06a-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0202}

History

Status: repealed
Authority G.S. 143A-181; 150A-10
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985.

04 NCAC 06A .0301 Credit Union Division {#sec-04-ncac-06a-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0301}

History

Status: repealed
Authority G.S. 54-109.10; 54-109.12; 150A-10
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985

04 NCAC 06A .0302 Administrator of Credit Unions {#sec-04-ncac-06a-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0302}

History

Status: repealed
Authority G.S. 54-109.10; 54-109.12; 150A-10
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985

04 NCAC 06A .0303 Deputy Administrator of Credit Unions {#sec-04-ncac-06a-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0303}

History

Status: repealed
Authority G.S. 54-109.10; 54-109.12; 150A-10
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985

04 NCAC 06A .0304 Credit Union Examiners {#sec-04-ncac-06a-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0304}

History

Status: repealed
Authority G.S. 54-109.10; 54-109.12; 150A-10
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985

04 NCAC 06A .0305 Clerical Staff {#sec-04-ncac-06a-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0305}

History

Status: repealed
Authority G.S. 54-109.10; 54-109.12; 150A-10
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985

04 NCAC 06A .0401 Composition {#sec-04-ncac-06a-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0401}

History

Status: repealed
Authority 143A-181; 150A-10
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985.

04 NCAC 06A .0402 Meetings {#sec-04-ncac-06a-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06A .0402}

History

Status: repealed
Authority 143A-181; 150A-10
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985.

Subchapter B

04 NCAC 06B .0101 Petitions {#sec-04-ncac-06b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0101}

History

Status: repealed
Authority G.S. 54-109.12; 150B-16
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06B .0102 Notice {#sec-04-ncac-06b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0102}

History

Status: repealed
Authority G.S. 54-109.12; 150B-12
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 06B .0103 Hearings {#sec-04-ncac-06b-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0103}

History

Status: repealed
Authority G.S. 54-109.12; 150B-11(3); 150B-12(d),(e)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 06B .0104 Temporary Rules {#sec-04-ncac-06b-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0104}

History

Status: repealed
Authority G.S. 54-109.12; 150B-13
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 06B .0105 Declaratory Rulings {#sec-04-ncac-06b-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0105}

History

Status: repealed
Authority G.S. 54-109.12; 150B-17
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06B .0201 Request for Hearing {#sec-04-ncac-06b-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0201}

History

Status: repealed
Authority G.S. 1A-1, Rule 24; 54-109.12; 150B-23; 150B-38; 150B-40
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06B .0202 Granting or Denying Hearing Requests {#sec-04-ncac-06b-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0202}

History

Status: repealed
Authority G.S. 1A-1, Rule 24; 54-109.12; 150B-23; 150B-38; 150B-40
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06B .0203 Notice of Hearing {#sec-04-ncac-06b-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0203}

History

Status: repealed
Authority G.S. 1A-1, Rule 24; 54-109.12; 150B-23; 150B-38; 150B-40
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06B .0204 Who Shall Hear Contested Cases {#sec-04-ncac-06b-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0204}

History

Status: repealed
Authority G.S. 1A-1, Rule 24; 54-109.12; 150B-23; 150B-38; 150B-40
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06B .0205 Petition for Intervention {#sec-04-ncac-06b-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0205}

History

Status: repealed
Authority G.S. 1A-1, Rule 24; 54-109.12; 150B-23; 150B-38; 150B-40
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06B .0206 Types of Intervention {#sec-04-ncac-06b-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0206}

History

Status: repealed
Authority G.S. 1A-1, Rule 24; 54-109.12; 150B-23; 150B-38; 150B-40
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06B .0301 Petition for Adoption: Amendment or Repeal of Rules {#sec-04-ncac-06b-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0301}

(a) Right to Petition. Any interested person may petition the Administrator to promulgate, amend, or repeal an administrative rule.

(b) Form of Petition. The petition shall be in writing, signed by the petitioning party or parties and must include the address of the petitioning party. In addition, the petition shall contain the following information:

(1) a draft of the proposed rule, amendment or repeal or a summary thereof;

(2) the reason(s) for the proposal;

(3) the effect on existing rules or orders or both;

(4) any data showing the probable effect of the proposal on existing practices in the area involved, including cost; and

(5) the names of those most likely to be affected by the proposal with addresses if reasonably known.

(d) Disposition of Petition. Upon receipt of a petition, the Administrator shall make a study of the facts stated in the petition and any additional information he deems relevant. The Administrator's disposition of the petition will be made in one of the following forms within 30 days of receipt of the petition:

(1) a written denial of the proposal setting forth the reasons for the denial, or

(2) a written communication to the petitioner indicating the Administrator's plan to initiate rulemaking procedures pursuant to G.S. 150B-21.2.

History

Authority G.S. 54-109.12; 150B-20; 150B-21.2
Eff. June 1, 1990
Amended Eff. March 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0302 Notice of Rule-Making Hearings {#sec-04-ncac-06b-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0302}

Any person or agency desiring to be placed on the mailing list for the Administrator's rule-making notices may file such request by furnishing a name and mailing address in writing to the Division at its mailing address. The request must state the subject areas within the authority of the Administrator's office for which the notice is requested. The Administrator may require actual postage and stationery costs to be paid by persons receiving such notices if the person receiving the notices requests more than one copy of the notice.

History

Authority G.S. 54-109.12; 150B-21.2
Eff. June 1, 1990
Amended Eff. July 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0303 Rule-Making Hearings: General Information {#sec-04-ncac-06b-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0303}

The hearing officer shall have control of the proceedings, including extensions of any time requirements, order of presentations, time allotments for presentations, direction of the flow of the discussion and the management of the hearing. Each person participating in the hearing shall be given an opportunity to present views, data, and comments.

History

Authority G.S. 54-109.12; 150B-21.2
Eff. June 1, 1990
Amended Eff. July 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0401 Petition for Declaratory Ruling {#sec-04-ncac-06b-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0401}

(a) Petitioner Must Possess Interest. The petitioner must possess such an interest in the question to be ruled on that the petitioner's need to have such a ruling in order to comply with statutory requirements, Division rules, or Division policy shall be apparent from the petition and shall be fully explained therein.

(b) Form and Content of Petition. The petition shall be typewritten and shall contain the name and address of the petitioner, the specific factual situation involved, the question or questions sought to be answered, and the identification of the rules, statutes, or orders applicable to the question presented.

(c) Written Brief May Be Submitted. The petitioner may submit a written brief, but oral argument shall not be allowed unless deemed necessary by the Administrator.

(d) Mailing Address. All requests for declaratory rulings shall be mailed to the Division at its mailing address.

History

Authority G.S. 54-109.12; 150B-17
Eff. June 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0402 Response of Administrator to Petition {#sec-04-ncac-06b-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0402}

(a) A written response to the petition for a declaratory ruling, whether in the form of a declaratory ruling or a refusal to issue a declaratory ruling, shall be issued as set forth in G.S. 150B-4.

(b) The Administrator shall issue a declaratory ruling, except when:

(1) the request for a declaratory ruling does not meet the requirements set forth in this Subchapter;

(2) the subject matter is one in which the Administrator has no authority to issue a binding decision;

(3) the question is presented in such a manner that the Administrator cannot determine what the question is, or that the Administrator cannot respond with a specific ruling;

(4) the petitioner does not qualify as a person aggrieved, as defined in G.S. 150B-2(6);

(5) the Administrator has previously issued a declaratory ruling, or issued a final agency decision in a contested case, in which the same facts were considered;

(6) the facts underlying the request for a declaratory ruling were considered at the time the Rule was adopted; or

(7) the subject matter of the petition is involved in pending litigation.

(c) When the Administrator refuses to issue a declaratory ruling, the Administrator shall notify the petitioner of its decision in writing, stating reasons for the denial of a declaratory ruling.

History

Authority G.S. 54-109.12; 150B-4
Eff. June 1, 1990
Readopted Eff. February 1, 2018.

04 NCAC 06B .0501 Right to Hearing {#sec-04-ncac-06b-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0501}

Whenever the Administrator acts in such a way as to affect the rights, duties or privileges of a specific identified party, the party may appeal for a final decision by the Administrator in accordance with Article 3A of G.S. 150B.

History

Authority G.S. 150B-38
Eff. June 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0502 Informal Settlement {#sec-04-ncac-06b-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0502}

(a) Attendance at Settlement Conference. Before a hearing request can be acted upon, a person must first make an effort to resolve the matter with the Division informally and must attend and participate in any scheduled meetings or conferences.

(b) Settlement Statement. A proposed settlement, including a stipulated statement of facts, shall be set forth in writing by the Division. If the proposed settlement is agreed to by all parties to the matter, it shall represent the final disposition of the matter and shall be signed by all parties to the matter or their legal representatives. If the proposed settlement is not agreed to and signed by all parties, then the matter shall proceed as provided in this Section.

History

Authority G.S. 54-109.12
Eff. June 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0503 Request for Hearing {#sec-04-ncac-06b-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0503}

(a) Form of Request. A request for an administrative hearing must be in writing and must contain the following information:

(1) name and address of the person requesting the hearing;

(2) a concise statement of the action by the Administrator that is being challenged;

(3) a concise statement of the manner in which the petitioner is aggrieved; and

(4) a clear and specific demand for a public hearing.

(b) Address for Request. The request for hearing shall be filed with the Division at its mailing address.

History

Authority G.S. 54-109.12; 150B-38
Eff. June 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0504 Notice of Hearing {#sec-04-ncac-06b-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0504}

Notice of a public hearing shall be given in writing to the appropriate parties in advance of the hearing date as required by the law applicable to the hearing being held.

History

Authority G.S. 150B-38
Eff. June 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0505 Intervention in an Administrative Hearing {#sec-04-ncac-06b-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0505}

(a) Petition to Intervene. A petition to intervene may be permitted if timely and if the petition meets the criteria set forth in G.S. 1A-1, Rule 24(b).

(b) Intervention Criteria. In addition, the Administrator, in his discretion, may allow intervention or limited intervention when:

(1) Similar rights will be affected;

(2) Intervention will not confuse issues;

(3) Issues are the same or similar to the issue in question;

(4) Intervention is in the public interest; and

(5) Intervention will not prejudice the rights of parties.

(c) Form of Petition. A petition to intervene shall contain the name of the petitioner, the title of the hearing, the date and time of the hearing, if known, and the grounds for intervention. The petition for intervention shall be addressed to all parties affected thereby and to the Division at its mailing address.

(d) Notice of Intervention. If the Administrator allows intervention, notice of that decision shall be issued promptly to all parties and to the petitioner. Notification will include a statement of any limitation of time, subject matter, evidence, or other limitations imposed on the intervenor. If the Administrator's decision is to deny intervention, the petitioner will be notified promptly.

History

Authority G.S. 1A-1; 150B-38
Eff. June 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0506 Depositions {#sec-04-ncac-06b-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0506}

The use of depositions may be allowed only when attendance at a hearing would work a hardship on a person otherwise available to be subpoenaed as a witness, and such hardship is so great as to be unreasonable in light of the testimony that person may be expected to give. In such a case, a deposition will be taken in accordance with the North Carolina Rules of Civil Procedure. All necessary rulings as to whether a deposition will be allowed or as to methods of securing a deposition are within the power and discretion of the hearing officer.

History

Authority G.S. 1A-1; 150B-39
Eff. June 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0507 Subpoenas {#sec-04-ncac-06b-.0507 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0507}

(a) Hearing Officer May Issue Subpoena. Any hearing officer may issue subpoenas in the name of the Administrator.

(b) Request for Subpoena. Subpoenas requiring the attendance of witnesses, or the production of documents, evidence or things will be issued promptly by a hearing officer after receipt of a written request from a party to a contested case for such subpoena.

History

Authority G.S. 150B-38; 150B-39
Eff. June 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0508 Service of Subpoenas {#sec-04-ncac-06b-.0508 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0508}

(a) Methods of Service. Subpoenas shall be served as the officer issuing the subpoena shall direct. Subpoenas may be directed to be served by any of the following methods:

(1) by an employee of the Division; or

(2) by the sheriff of the county in which the person subpoenaed resides, when the party requesting such subpoena prepays the sheriff's service fee.

(b) Form of Subpoena. Subpoenas will be issued in duplicate with a "Return of Service" form attached to each copy. The person serving the subpoena shall fill out the "Return of Service" form for each copy and promptly return one copy of the subpoena, with the attached "Return of Service" form completed.

History

Authority G.S. 150B-38; 150B-39
Eff. June 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06B .0509 Objection to a Subpoena {#sec-04-ncac-06b-.0509 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06B .0509}

(a) Form of Objection. Except as may be otherwise stated in a particular subpoena, a party or person receiving a subpoena from the Division may object thereto by filing a written objection to the subpoena with the Division at its mailing address. An objection to a subpoena must include a concise but complete statement of reasons why the subpoena should be revoked or modified. These reasons may include any reason in law for holding the subpoena invalid.

(b) Service of Objection. The objection shall be served upon the Administrator and the party who requested the subpoena. Service shall be in accordance with the North Carolina Rules of Civil Procedure.

(c) Response to Objection. The party requesting the subpoena may file a written response to the objection. The response shall be served in like manner as the objection.

(d) Hearing on Subpoena. After receipt of the objection and response thereto, the hearing officer may issue a notice to the party who requested the subpoena and the party challenging the subpoena, and may notify all other parties of a hearing, to be scheduled as soon as practicable, at which time evidence and testimony regarding the objection and response may be presented.

History

Authority G.S. 150B-38; 150B-40
Eff. June 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Subchapter C

04 NCAC 06C .0101 Definitions {#sec-04-ncac-06c-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0101}

When used in this Subchapter, the following words and phrases shall have the following meaning:

(1) "Administrator" means the Administrator of State-Chartered credit unions.

(2) "Board of Directors" means at least five persons elected or appointed to oversee the management of each organization.

(3) "Book value of loans" means the dollar amount of loans the credit union has on its books.

(4) "Branch Office" means a facility that a credit union maintains and staffs at a location other than its main office to furnish credit union services to its members.

(5) "Capital" means shares, undivided earnings, and reserves.

(6) "Commission" means the Credit Union Commission established by G.S. 143B-439.

(7) "Corporate Credit Union" means a credit union with an institutional field of membership, as set forth in G.S. 54-110.1 and G.S. 54-110.2.

(8) "Credit union" means a cooperative nonprofit corporation under G.S. 54-109.1.

(9) "Credit Union Service Organization" or "CUSO" means an organization formed and operated by credit union(s), or associations or organizations of credit unions, to provide financial or operational products or services to credit unions or credit union members.

(10) "Deposits" means a preferred savings account on which the credit union is obligated to pay a guaranteed interest rate on a continuing basis in such amounts and terms as the Board of Directors approve.

(11) "Dividend" means an operating expense of a credit union that is declared payable on share accounts from time to time by the Board of Directors. Dividends shall be paid as set forth in G.S. 54-109.54.

(12) "EDP" means electronic data processing.

(13) "Funds" means cash on hand or cash in the bank and investments.

(14) "League" means the Carolinas Credit Union League, the trade association that serves credit unions in North and South Carolina.

(15) "Members" means persons or organizations who have been accepted for membership by either the Board, membership officer, or an executive committee, after having met qualifications of being within the field of membership.

(16) "Membership" means a credit union limited to those persons or groups as stipulated in the bylaws of the credit union and set forth in G.S. 54-109.26.

(17) "Membership fee" means a fee that may be charged to applicants for membership as an entrance fee or as an annual membership fee as determined by the Board of Directors or as the bylaws may provide.

(18) "Reserve fund" means the portion of income to be entered on the books of the corporation to offset uncollectible loans in accordance with G.S. 54-109.86.

(19) "Shares" means the primary capital owned by the members and is comprised of the savings of the members. The par value shall be as the bylaws provide.

(20) Types of investment transactions shall be defined as follows:

(a) "Standby commitments" means an agreement to purchase or sell a security at a future date, whereby the buyer is required to accept delivery of the security at the option of the seller.

(b) "Cash forward agreement" means an agreement to purchase or sell a security at a future date more than five days after the agreement is made and requires mandatory delivery and acceptance.

(c) "Reverse repurchase agreement" means an agreement whereby a credit union enters into an understanding to sell securities to a purchaser and to repurchase the same securities from that purchaser at a future date, regardless of the amount of consideration paid by the credit union or the purchaser.

(d) "Repurchase agreement" means an agreement whereby a credit union enters into an agreement to buy securities from a vendor and to resell securities at a future date. Repurchase agreements may be the following two types:

(i) "Investment-type repurchase agreement" means a repurchase that contains the elements of a sale of security as specified in Rule .1202(5) of this Subchapter.

(ii) "Loan-type repurchase agreement" means any repurchase that does not qualify as an investment-type repurchase agreement.

(e) "Future" means a standardized contract for the delivery of commodities, including certain government securities, sold on designated commodities exchange.

(21) "Unimpaired capital" consists of the shares, undivided surplus, and reserves less any known or probable losses, as determined by management.

History

Authority G.S. 54-109.1; 54-109.2; 54-109.12; 54-109.21(25); 54-109.26; 54-109.86; 143B-439
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. July 1, 2013; January 1, 1992; October 1, 1983; April 1, 1979
Readoption Eff. February 1, 2018.

04 NCAC 06C .0102 Powers of a Credit Union {#sec-04-ncac-06c-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0102}

History

Status: repealed
Authority G.S. 54-109.12
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985.

04 NCAC 06C .0103 Taxation {#sec-04-ncac-06c-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0103}

History

Status: repealed
Authority G.S. 54-109.1; 54-109.2 (b)(5); 54-109.22; 54-109.99
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983
Repealed Eff. January 1, 1992.

04 NCAC 06C .0201 Incorporation of State Chartered Credit Unions {#sec-04-ncac-06c-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0201}

(a) All credit unions desiring a state charter shall be organized as a corporation under the General Statutes, Articles 14A to 15A of Subchapter III, Chapter 54. In accordance with G.S. 54-109.2(e), the responsibility, character, and general fitness of the officers, directors, and committeemen shall command the confidence of the members and the community, and warrant the belief by the Administrator that the business of the credit union will be properly administered. The Administrator shall determine whether the proposed field of membership is favorable to the success of such credit union and such determination will include an evaluation of any overlap in field of membership with existing credit unions, the field of membership requirements, the number of potential members, availability of payroll deductions, data processing, and evaluation of feasibility studies as conducted by the League, the Credit Union Division, or other support groups for credit union start-ups, and other factors involved in its successful operation.

(b) The following fees shall be charged when new credit unions are established:

(1) five dollars ($5.00) charter fee; and

(2) twenty dollars ($20.00)--investigation fee.

History

Authority G.S. 54-109.1; 54-109.2; 54-109.3; 54-109.11(3); 54-109.12; 143B-439
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983
Readopted Eff. February 1, 2018.

04 NCAC 06C .0202 Minimum Potential Membership Guidelines {#sec-04-ncac-06c-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0202}

(a) Based on established policy, standards, and the history of the Credit Union Division chartering credit unions, the Administrator shall determine if the breadth and strength of the proposed field of membership is too broad or too weak to operate as a credit union.

(b) The minimum potential membership guidelines for chartering credit unions in each of the various types of groups shall be as follows:

TYPE OF GROUPS MINIMUM

POTENTIAL MEMBERSHIP

Occupational or Employer 300 Employees

Associational 500 Members

Residential or Community 1,000 Members

Multiple Occupational or Combination of Groups 500 Members

A group that is close to the minimum and has exceptional prospects for successful credit union operation shall be considered for a state credit union charter.

History

Authority G.S. 54-109.2; 54-109.3(3); 54-109.11(3); 54-109.12; 54-109.21(25); 54-109.26(b)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983
Readopted Eff. February 1, 2018.

04 NCAC 06C .0203 Fields of Membership {#sec-04-ncac-06c-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0203}

(a) Parity, for the purpose of this Rule, allows the Administrator to approve fields of membership and permit State chartered credit unions the same latitude with regard to membership limitations and restrictions as is available to federally chartered credit unions, as set forth in 12 C.F.R. Part 701.1, and any subsequent amendments are incorporated by reference and may be found at no cost on the Code of Federal Regulations website www.ecfr.gov.

(b) New charters and expansion requests shall be reviewed and approved in conformity with credit unions organized under G.S. 54-109, Articles 14A to 14L.

(c) In allowing an expansion of the field of membership, any credit union shall be bound by membership limitations or restrictions contained in its charter or bylaws as amended and approved by the Administrator, based on applicable rules and statutes.

History

Authority G.S. 54-109.1; 54-109.2(e); 54-109.3(3); 54-109.4; 54-109.11(3); 54-109.12; 54-109.21(25); 54-109.22; 54-109.26; 54-109.27; 54-109.28
Eff. February 1, 1976
Amended Eff. March 1, 1977
Readopted Eff. April 4, 1978
Amended Eff. March 1, 2015; November 1, 1990; October 1, 1983; April 1, 1979
Readopted Eff. February 1, 2018.

04 NCAC 06C .0204 Bylaws and Articles of Incorporation {#sec-04-ncac-06c-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0204}

In addition to submitting the articles of incorporation, all credit unions desiring a state charter must prepare and adopt bylaws for the general government of the Credit Union, consistent with the General Statutes, Articles 14A to 15 of Subchapter III, Chapter 54. The articles of incorporation and bylaws shall be executed in duplicate and filed with the Administrator for approval.

History

Authority G.S. 54-109.2(c)(e); 54-109.12
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0205 Loans to Credit Union Officials {#sec-04-ncac-06c-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0205}

(a) Officials. For purposes of this Rule, an "official" is a member of the board of directors, credit committee, or supervisory committee.

(b) Loans to Officials. A loan or line of credit, including limits of credit cards, extended to an official as the borrower, direct obligor, endorser, cosigner, or guarantor, with direct or indirect pecuniary interest in the loan shall be reviewed by the board of directors, at the next regular meeting following the date of such extension of credit, provided the following computation produces a total amount in excess of fifty thousand dollars ($50,000):

(1) Add:

(A) the loan amount extended for the loan subject to review;

(B) the outstanding balances of loans, including the used portion of an approved line of credit, extended to or endorsed, cosigned or guaranteed by the official; and

(C) the total unused portion of approved lines of credit extended to or endorsed, cosigned, or guaranteed by the official.

(2) Subtract from the above total:

(A) the amount of shares pledged by the official on loans or lines of credit extended to, or endorsed, cosigned, or guaranteed by the official; and

(B) the amount of shares pledged by the official on the current loan or line of credit.

(c) Review of Loans to Officials by Duly Appointed Committee. The board of directors may also appoint a committee to review and report on loans made to officials. All members of the committee shall be on the board of directors. The committee shall meet before the regular monthly board meeting to review all officials' loans that have been approved since the previous meeting. The committee shall make a report to the board that shall consist of the official's loan number, his or her title or position, the amount of the loan, purpose of the loan, aggregate amount of indebtedness to the credit union, and a statement regarding compliance with loan policies. Each credit union's board of directors shall review this loan approval report on a monthly basis. This review shall be done at the regular monthly board meeting. In the event the board does not meet monthly, the manager of the credit union or their designee shall send a written report to each director on a monthly basis.

(d) Non-preferential treatment. The rates, terms, and conditions on a loan or line of credit made to or endorsed, co-signed, or guaranteed by:

(1) an official;

(2) an immediate family member of an official. For the purpose of this Rule, "immediate family member" means immediate blood relatives and members attained by marriage, spouses, biological children, adopted children, step-children, and domestic partners. For the purpose of this Rule, "domestic partners" means non-marital relationship between two adults that live together; or

(3) any individual having a common ownership, investments, or other pecuniary interest in a business enterprise with an official or with an immediate family member of an official;

shall not be more favorable than the rates, terms and conditions for comparable loans or lines of credit extended to other credit union members.

(e) Indirect Benefits.

(1) No official or employee shall have any interest in nor derive any benefit from the extension of credit, or the sale of credit union real or personal property, unless and until the terms of the loan or sale have been disclosed to and approved by the Board of Directors by a two-thirds vote.

(2) The purchase by a director or employee from the credit union of any savings account or evidence of indebtedness for less than face value is prohibited.

(g) Penalty. A violation of the provisions of this Rule shall be sufficient basis for removal of any official or employee by the Administrator, as set forth in G.S. 54-109.19.

History

Authority G.S. 54-109.12; 54-109.19; 54-109.35; 54-109.39
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. March 1, 2015; August 1, 1998; October 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.
Amended Eff. September 1, 2022.

04 NCAC 06C .0206 Merger of Credit Unions {#sec-04-ncac-06c-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0206}

Two or more credit unions may merge into a single credit union, provided the Administrator, after an investigation, is satisfied that the proposed merger is favorable to the continued success of the surviving credit union. Credit unions interested in merging should contact and discuss the proposed merger with the Administrator, after which the following must be accomplished to affect such merger:

(1) Secure the Administrator's tentative approval of such a merger and his authorization to proceed with merger plans;

(2) Have a plan of merger which has been agreed upon and approved by the majority of the Board of directors of each credit union joining in the merger;

(3) The plan of merger must obtain the affirmative vote of a majority of the members of the merging credit union present at the meeting of the members duly called for such purpose;

(4) For the surviving credit union in the merger, only a vote by the majority of the Board of directors of the Credit Union is required;

(5) The present secretary of each credit union shall execute a certificate of merger, which shall set forth the following:

(a) the time and place of the meeting of the Board of directors at which the plan was agreed upon,

(b) the vote in favor of adoption of the plan,

(d) the time and place of the meeting of the members at which the plan was agreed upon,

(e) the vote by which the plan was approved by the members of the merging credit union;

(6) Approval of the appropriate regulatory authority if one or more of the merging credit unions is not a North Carolina chartered credit union.

(7) Such certificates and a copy of the plans of merger agreed upon including amended bylaws to reflect changes in field of membership shall be forwarded to the Administrator of Credit Unions, certified by him, and returned to the merged credit union within 30 days.

Upon any such merger so effected, all property, property rights, and interest of the merged credit union shall vest in the surviving credit union without deed, endorsement or other instruments of transfer, and all debts, obligations and liabilities of the merged credit union shall be deemed to have been assumed by the surviving credit union under whose charter the merger was effected.

The charter of the credit union whose identity is lost should then be revoked.

If circumstances warrant and if deemed necessary, the Administrator may waive or modify any of the foregoing procedures to affect a merger to protect the interest of the members of the Credit Unions.

History

Authority G.S. 54-109.03; 54-109.4; 54-109.12; 54-109.21(25); 54-109.94
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983; April 15, 1980
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0207 Conversion of Charter from North Carolina Charter {#sec-04-ncac-06c-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0207}

(a) A North Carolina credit union may be converted into another state or federal credit union if permitted by the other state or the Federal Credit Union Act. The proposition for such conversion shall be approved, and a date set for a vote thereon by the members (either at a meeting to be held on such date or by written ballot to be filed on or before such date), by a majority of the Directors of the North Carolina Credit Union. Written notice of the proposition and of the date set for the vote shall then be delivered in person to each member, or mailed to each member at the address for such person appearing on the records of the Credit Union, not more than 30 days or less than seven days prior to such date. Approval of the proposition for conversion shall be by the affirmative vote of a majority of the membership of the members voting in person or in writing.

(b) A statement of the results of the vote, verified by the affidavits of the president or vice-president and the secretary, shall be filed with the North Carolina Credit Union Division within 10 days after the vote is taken.

(c) Promptly after the vote is taken and in no event later than 90 days thereafter, if the proposition for conversion was approved by such vote, such credit union shall take such action as may be necessary under the other state or the Federal Credit Union Act to make it a credit union of another state or a federal credit union; and within 10 days after receipt of the new credit union charter there shall be filed with the North Carolina Credit Union Division a copy of the charter thus issued. Upon such filing, the Credit Union shall cease to be a North Carolina chartered credit union.

(d) Upon ceasing to be a North Carolina credit union, such credit union shall no longer be subject to any of the provisions of the North Carolina Credit Union laws. The successor credit union shall be vested with all of the assets and shall continue responsibility for all of the obligations of the North Carolina Credit Union to the extent as though the conversion had not taken place.

History

Authority G.S. 54-109.95
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. April 1, 1981
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0208 Conversion of Charter to North Carolina Charter {#sec-04-ncac-06c-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0208}

(a) Another state or federal credit union organized under applicable laws, may be converted into a North Carolina Credit Union by complying with all applicable requirements requisite to enabling it to convert to a North Carolina Credit Union or cease being a credit union of another state, or a federal credit union; and filing with the North Carolina Credit Union Division proof of such compliance, satisfactory to the Administrator of credit unions, and filing with the North Carolina Credit Union Division an organization certificate as required by the North Carolina Credit Union Act.

(b) When the Administrator of the North Carolina Credit Union Division has been satisfied that all of such requirements, and all other requirements of the General Statutes of North Carolina have been complied with, the Administrator of the Credit Union Division shall approve the organization certificate. Upon such approval, the Credit Union shall become a North Carolina credit union as of the date it ceases to be a credit union of another state or a federal credit union. The North Carolina Credit Union shall be vested with all of the assets and shall continue responsibility for all of the obligations of the Credit Union to the same extent as though the conversion had not taken place.

History

Authority G.S. 54-109.95
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. April 1, 1981
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0209 Out of State Office Facilities {#sec-04-ncac-06c-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0209}

Before a credit union may open a branch office in another state, a written request shall be submitted to the Administrator of credit unions for his or her approval. The Administrator may request necessary information and conduct an investigation in evaluating the request. It shall be the responsibility of the board of directors of each credit union operating in more than one state to seek the advice of an attorney to ensure that the credit union complies with applicable state laws of the other state(s).

History

Authority G.S. 54-109.6(a); 54-109.7; 54-109.11; 54-109.12; 54-109.16; 54-109.21(25)
Eff. April 4, 1978
Readopted Eff. February 1, 2018.

04 NCAC 06C .0210 Out-of-State Credit Unions {#sec-04-ncac-06c-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0210}

History

Status: repealed
Authority G.S. 54-109.5; 54-109.21(25); 54-109.94; 54-109.95
Eff. October 1, 1983
Repealed Eff. January 1, 1992.

04 NCAC 06C .0301 General Provisions {#sec-04-ncac-06c-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0301}

(a) Internal controls, accounting procedures, and operational standards adequate to safeguard the assets shall be established by all credit unions.

(b) Credit unions with ten million dollars ($10,000,000) or more in assets shall follow generally accepted accounting principles (GAAP) for financial statement and report preparation. Credit unions with less than ten million dollars ($10,000,000) in assets may follow GAAP or use the procedures in the "Accounting Manual for Federal Credit Unions," including any subsequent amendments that are incorporated by reference, and may be found at no cost on the National Credit Union Administration website (www.ncua.gov).

(c) At least 60 days before a credit union converts its records from a manual to an Electronic Data Processing (EDP) system through an outside servicer or changes EDP services, a copy of the proposed contract and a description of the data processing system shall be submitted to the Administrator for review and approval. If an in-house EDP system or the sponsoring company's EDP facilities are to be used, the Administrator shall be notified in writing of the proposed change before planning and system programming begins. Contracts and agreements for EDP systems shall conform with the following:

(1) the right of the Administrator or his or her representative to request and receive from the service center any reports, summaries, or information contained in or derived from the data in the possession of the service center relating to the credit union;

(2) terms of the contract, including dates for the beginning and end with disclosure of the charges to be incurred;

(3) notice of the termination of the servicing contract or agreement, consistent with industry standards;

(4) the description of the equipment, services, reports, location of original documents and source data and method of transmittal of input information to the service center, and applicable controls;

(5) a maintenance agreement that is consistent with industry standards;

(6) availability of technically qualified personnel;

(7) the due diligence and review by the board of directors or legal counsel; and

(8) fidelity bond coverage for service center personnel and for losses due to system errors and insurance coverage for losses from fire, disaster, or other causes resulting in an interruption of service.

History

Authority G.S. 54-109.11; 54-109.12; 54-109.16; 54-109.17(a); 54-109.17(b)
Eff. February 1, 1976
Amended Eff. November 1, 1977
Readopted Eff. April 4, 1978
Amended Eff. March 1, 2015
Readopted Eff. February 1, 2018.

04 NCAC 06C .0302 Procedures {#sec-04-ncac-06c-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0302}

The basic internal controls, accounting procedures, and operation standards for all credit unions shall be as follows:

(1) an adequate general ledger and detailed cash journal shall be maintained for the control of all transactions of the credit union;

(2) a record of all correcting and adjusting entries, with an explanation of each entry, shall be maintained;

(3) manual and computerized accounting systems, all receipts and disbursements shall be recorded and posted daily to cash journal and subsidiary accounts;

(4) deposits in the bank or credit union shall consist of an entire day's receipts as entered in the journal and cash record. If amounts are less than three hundred dollars ($300.00), more than one day's total receipts may be combined in a single deposit provided that no funds shall be held more than three banking days;

(5) security shall be provided (cash drawer and lockbox) at a minimum for storage of funds;

(6) credit union funds shall be kept separate from all other funds;

(7) cash shall be balanced at the end of each working day, and a record made by each teller detailing coins, currency, checks, and other items counted as cash;

(8) a "cash over and short" account shall be maintained in the expense ledger, with a record showing the name of each person responsible for each difference;

(9) a pre-numbered receipt slip or other original record shall be made and preserved covering each payment received;

(10) all bank or credit union accounts shall be reconciled at least monthly and the reconciliations shall be maintained as set forth in Rule .1002 of this Subchapter;

(11) a duplicate of itemized bank or credit union deposit slips, or other comparable detailed item record, shall be maintained, as set forth in Rule .1002 of this Subchapter;

(12) the status of all the credit union's funds, including investments and funds held by agents or attorneys, shall be determinable at all times;

(13) checks shall be pre-numbered by the printer and not signed in blank in advance of issue. Facsimile signature plates shall be maintained in the credit union vault under dual control;

(14) disbursements shall be supported by invoices, vouchers, or other explanations of record, each showing the nature or purpose of each disbursement;

(15) dual control shall be maintained over all negotiable investment securities;

(16) members' accounts shall be posted and balanced monthly and supported by member trial balance or adding machine tapes, identified, dated, and maintained;

(17) a trial balance of the general ledger shall be prepared within 15 business days from the close of business of the last day of each month and financial statements prepared;

(18) correction of errors in records shall be visible and approved by an authorized person that shall be approved by the board of directors;

(19) a signed membership card file covering all accounts shall be maintained;

(20) payment of dividends or interest on accounts shall be accomplished by check or by credit to the individual account. A record in support of dividend or interest paid by check or credited to accounts shall be maintained;

(21) a cross-index card record shall be maintained for each comaker showing the date, name, and original amount of each note on which the individual appears as comaker;

(22) minutes of meetings of the board of directors shall record in detail all of its business transactions and be signed by the presiding officer and the secretary. Upon meeting as a board of directors, the secretary or designated member shall make a matter of record in the minutes of the meeting all written communications from the Division;

(23) the supervisory committee shall have work papers to support its audit report. The reports and work papers shall be retained and made available for review by the Administrator, as set forth in Rule .1001 of this Subchapter;

(24) a report of actions taken by the credit committee or loan officers shall be prepared, signed, and maintained, as set forth in Rule .1002 of this Subchapter;

(25) minutes of each annual meeting of the members of the credit union shall record all business transacted;

(26) all books and records of the credit union shall have protection from fire and other hazards at all times. Active books and records of the credit union should be located at the principal office at all times;

(27) dormant accounts shall be controlled to prevent improper withdrawal;

(28) annual vacations of at least five consecutive working days (during periods when proofs of subsidiary ledgers are being made) shall be taken by each employee having access to cash and the general ledger. During the vacation, the employees shall remain absent;

(29) a record shall be maintained that shall show the tax and insurance status of each piece of real estate securing the credit union's investment of funds in real estate mortgage loans; and

(30) all tax liabilities shall be determined and paid in accordance with State and federal laws.

History

Authority G.S. 54-109.11(4); 54-109.12; 54-109.16; 54-109.17; 54-109.19; 54-109.92
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. March 1, 2015; January 1, 1992; July 1, 1988; December 1, 1979
Readopted Eff. February 1, 2018.

04 NCAC 06C .0303 Depreciation and Amortization Schedules {#sec-04-ncac-06c-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0303}

History

Status: repealed
Authority G.S. 54-109.12
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. March 1, 2015.

04 NCAC 06C .0304 Management Duties {#sec-04-ncac-06c-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0304}

All credit unions shall conduct their business and the selection of their employees using management and business skills to assure the safe and sound operation of the credit union. Management shall be responsible for:

(1) implementing the policies established by the board of directors;

(2) ensuring the accuracy of the credit union's financial statements, reports, and any other supporting documents;

(3) adopting and implementing an annual budget;

(4) developing and implementing a written plan that guides the strategic direction of the credit union and that is also commensurate with the credit union's size and complexity;

(5) conducting performance evaluations of all employees of the credit union; and

(6) ensuring all directors, committee members, and employees of the credit union receive training through educational opportunities commensurate with their responsibilities and duties and document completion of the training. In the event examiners find that a director, committee member, or employee of the credit union has not received training commensurate with his or her responsibilities and duties, the Credit Union Division shall require training. Educational opportunities may be obtained from but not limited to the League, the Credit Union Division, other trade associations, credit union support groups, and other industry training organizations.

History

Authority G.S. 54-109.12; 54-109.19; 54-109.35; 54-109.92
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983
Readopted Eff. February 1, 2018
Amended Eff. September 1, 2021.

04 NCAC 06C .0305 Independent Audits {#sec-04-ncac-06c-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0305}

(a) An audit of each State-chartered credit union shall occur at least once each calendar year and shall cover the period elapsed since the last audit. The audit shall be performed using generally accepted auditing standards. It shall be the responsibility of the supervisory committee, or board of directors if there is no supervisory committee, to ensure that:

(1) generally accepted auditing standards are used;

(2) an audit of the credit union records is conducted using the minimum procedures applicable to federally insured state-chartered credit unions as set forth in 12 CFR Part 715, which is herein incorporated by reference, including subsequent amendments and editions, and may be found at no cost at www.ecfr.gov; and

(3) the audit report is prepared and submitted to the board of directors.

Workpapers of the supervisory committee or its independent auditors shall be made available for review by the Credit Union Division.

(b) Compensated auditors performing audits for credit unions shall be independent of the credit union's employees, members of the board of directors, supervisory committee, credit committee, or the credit union's loan officers and members of their household or immediate families. For the purposes of this Rule, "member of their immediate families" includes immediate blood relatives and members attained by marriage, including spouses, biological children, adopted children, and step-children, as well as domestic partners. Compensated auditors must be a Certified Public Accountant (CPA), or a bonded auditing firm, or a person who is bonded or has accountants' professional liability insurance coverage.

(c) The supervisory committee, or board of directors if there is no supervisory committee, shall verify or cause to be verified all depositors' and members' accounts annually. The results of the member account verification shall be submitted to the board of directors for review. The verification of members' accounts shall be made using either of the following methods:

(1) a controlled verification of 100 percent of share, deposit, and loan accounts; or

(2) a controlled random sampling method that provides assurance that the general ledger accounts are fairly stated and that members' and depositors' accounts are properly safeguarded.

(d) A credit union shall obtain an outside independent audit by a CPA for any fiscal year during which:

(1) the required annual audit was not performed or was not in accordance with Paragraphs (a), (b), or (c) of this Rule; or

(2) the credit union has experienced serious or persistent recordkeeping deficiencies. For the purposes of this Subparagraph, "persistent" means continuing to exist or endure. For the purposes of this Subparagraph, "serious" is when the Division has cause for concern that the financial condition is not fairly and accurately presented or that management practices are not sufficient to safeguard the assets of the credit union.

When a credit union fails to comply with this Rule, the Administrator has the authority to engage an outside CPA at the credit union's expense to conduct the required annual audit.

History

Authority G.S. 54-109.12; 54-109.35(b); 54-109.49
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1991; October 1, 1983; May 1, 1983; January 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016
Amended Eff. September 1, 2021.

04 NCAC 06C .0306 Display of Financial Statements {#sec-04-ncac-06c-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0306}

Each credit union shall display at its main office and all branches, copies of its monthly financial statement. The statement shall be posted in a manner that is accessible for inspection by members.

History

Authority G.S. 54-109.12
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983
Readopted Eff. February 1, 2018.

04 NCAC 06C .0307 Listing of Officials and Operating Hours {#sec-04-ncac-06c-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0307}

(a) Each credit union shall notify the Administrator of the names and addresses of its officers, directors, committee members of the credit committee and supervisory committee, managers, and internal auditors.

(b) Each credit union shall notify the Administrator of its days and hours of operation.

(c) The credit union shall notify the Administrator of any changes to the information required by this Rule within 15 business days.

History

Authority G.S. 54-109.12; 54-109.36
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. July 1, 2013
Readopted Eff. February 1, 2018.

04 NCAC 06C .0308 Borrowing Limitations {#sec-04-ncac-06c-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0308}

No credit union may borrow funds from any source in excess of 50 percent of its unimpaired capital without the written approval of the Administrator. Nonmember deposit accounts are considered to be borrowed funds.

History

Authority G.S. 54-109.12
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0309 Operational Systems {#sec-04-ncac-06c-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0309}

(a) Credit unions, associations of credit unions, and any other parties interested in credit union programs may submit pilot programs relating to electronic funds transfer through remote service units, loan programs, and other operational systems to the Administrator for evaluation and approval.

(b) A program will be designated a pilot program if it is determined that the implementation of the program will provide the Administrator with the information necessary for the establishment of permanent programs which will effectively benefit all credit unions and the parties they serve.

(c) Where a pilot program is deemed appropriate and the submitting party is a state-chartered credit union, such state-chartered credit union will be designated as a credit union to implement the pilot program, provided the Administrator determines that the implementation by such state-chartered credit union would best serve the Administrator's observation and evaluation of the actual operation of the pilot program. If the requesting credit union is deemed unqualified for implementation, or if the submitting party is not a state-chartered credit union, the Administrator may, with the consent of the submitting party, designate an alternate credit union to test the program.

(d) A termination date will be specified for the Credit Union designated to implement a pilot program. If, at the termination date, additional time is needed for complete evaluation, the Administrator may extend the time at the request of the designated credit union. The Administrator reserves the right to terminate or otherwise modify any ongoing pilot program. At the end of the evaluation period or extensions thereof, the Administrator will determine the benefits of the program and may authorize other qualified credit unions to adopt the same program, or a modification thereof, in which case approval by the Administrator will be required.

History

Authority G.S. 54-109.12
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Share draft programs are permissible if provided for in the Credit Union bylaws or have otherwise been approved by the Administrator.

History

Authority G.S. 54-109.12; 54-109.3(9)(11); 54-109.21(23); 54-109.22; 54-109.53
54-109.55
Eff. December 1, 1979
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0311 Fidelity and Surety Bonds and Insurance Coverage {#sec-04-ncac-06c-.0311 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0311}

(a) The board of directors of a credit union shall purchase a blanket fidelity bond as required by G.S. 54-109.44(2).

(b) Every credit union shall maintain the minimum bond and insurance coverage as required by G.S. 54-109.11(5).

(c) No form of surety bond shall be used except as is approved by the Administrator as set forth in G.S. 54-109.11(5). The approved bond forms shall be Credit Union Blanket Bond 500 Bond Series, plus faithful performance rider, Credit Union Blanket Bond, Standard Form No. 23 of the Surety Association of America, or an equivalent approved Bond Form including a faithful performance rider on a current listing, including any subsequent amendments to the bond forms. The approved bond forms are incorporated by reference and may be found at no cost on the Credit Union Division website (www.nccud.org). These bond forms shall be considered the minimum coverages required for the purpose of this Rule. The approved bond forms in this Paragraph provide faithful performance coverage for all employees and officials. Other forms, or changes in the amount of bond coverage, shall be approved by the Administrator as set forth in G.S. 54-109.11(5).

(d) Maximum deductible limits may be applied to the required coverage contained in 500 Bond Series, and Standard Form No. 23, as specified in this Paragraph:

$0 to 100,000 0

$100,001 to $250,000 $1,000

$250,000 to $1,000,000 2,000

Over $1,000,000 2,000 plus 1/1000 of total assets up to a

maximum of $200,000

Deductibles in excess of those provided in this Paragraph shall be approved by the Administrator based upon the applicable State rules and laws.

(e) In considering a request to deviate from the bond coverage and deductible amounts set forth in this Rule, the Administrator shall consider the following factors about the credit union:

(1) financial strength;

(2) net worth;

(3) return on assets;

(4) quality of assets; and

(5) capital, asset quality, management, earnings, and liquidity, (CAMEL) rating, used by the Credit Union Division and NCUA to evaluate the soundness of credit unions on a uniform basis.

History

Authority G.S. 54-109.11(5); 54-109.12; 54-109.44(2)
Eff. April 1, 1981
Amended Eff. March 1, 2016; July 1, 2013; February 1, 1992; April 1, 1985
Readopted Eff. February 1, 2018.

04 NCAC 06C .0312 Insurance and Group Purchasing {#sec-04-ncac-06c-.0312 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0312}

Credit unions may purchase, make available, or enter into cooperative marketing arrangements (group purchasing) to facilitate its members' voluntary purchase of insurance and other goods and services that shall be in the interest of improving economic and social conditions of its members. Prior to entering into any agreement for cooperative marketing arrangements to provide goods, services, or insurance to its members, the credit union board of directors shall ensure that the service is researched, is needed and wanted by the members, is communicated in an understandable format, and is monitored and evaluated to ensure that the action will not have an adverse effect on the safety and soundness of the credit union.

History

Authority G.S. 54-109.12; 54-109.21; 54-109.75; 54-109.77; 54-109.92(a)(5)
Eff. March 1, 1982
Readopted Eff. February 1, 2018.

04 NCAC 06C .0313 Credit Union Service Organization (cuso) {#sec-04-ncac-06c-.0313 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0313}

(a) For purposes of this Section, a "credit union service organization" (CUSO) is an entity defined in Rule .0101(9) of this Subchapter.

(b) A CUSO may provide the following functions or services:

(1) credit union operational functions including, credit card and debit card services, ATM services, accounting systems, data processing, management training and support, payment item processing, record retention and storage, locator services, research services, debt collection services, credit analysis and loan servicing, and coin and currency services;

(2) family financial services including, financial planning, and counseling, including retirement counseling, estate planning and income tax preparation, developing and administering IRA and Keogh plans and other personnel benefit plans, and provision of trust services including acting as trustee or in other similar fiduciary capacities;

(3) acting as agent for the sale of liability, casualty, automobile, life, health, accident, title, and other insurance;

(4) personal property leasing and development of leasing plans;

(5) any preapproved activities or services set forth in 12 C.F.R. Part 712.5, and any subsequent amendments are incorporated by reference and may be found at no cost on the Code of Federal Regulations website www.ecfr.gov; and

(6) other functions and services, as determined by the board of directors.

(c) A credit union may, either by itself or by agreement with other entities, form, invest in, or lend to a CUSO, within the limits specified by State credit union law. Before investing in or lending to the CUSO, a credit union shall obtain a written agreement from the CUSO that will satisfy the requirements set forth in 12 C.F.R. 712.3 (d), and any subsequent amendments are incorporated by reference and may be found at no cost on the Code of Federal Regulations website www.ecfr.gov.

(d) A credit union investing in or lending to a CUSO shall submit call reports or any other information upon request by the Administrator.

History

Authority G.S. 54-109.2(b)(5); 54-109.21(4); 54-109.21(14); 54-109.21(23); 54-109.21(25); 54-109.22; 54-109.27; 54-109.82(2)
Eff. October 1, 1983
Readopted Eff. February 1, 2018.

04 NCAC 06C .0401 Delinquent Loans and Loan Losses {#sec-04-ncac-06c-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0401}

(a) Monthly Schedule of Delinquent Loans. Each credit union shall, at the end of each month, prepare and review a schedule of delinquent loans that shall list the account number, name(s) of borrower(s), date of loan, date of last payment, original amount of loan, and outstanding balance of loan at date of schedule, together with space to note current action or status.

(b) The unpaid balance of loans shall be set apart in columns of the schedule of delinquent loans that shall indicate the extent of delinquency as determined by the delinquent installments according to the note contract, as follows:

(1) loans which the delinquent installments are 60 days but less than 180 days past due;

(2) loans which the delinquent installments are 180 days but less than 365 days past due; and

(3) loans which the delinquent installments are past due 365 days or more.

Similar formats customized to a credit union's needs shall be acceptable as long as the report described in this Paragraph may be produced upon request.

(1) Each credit union shall establish and maintain the reserves as may be required by State laws and the rules of this Subchapter, or in special cases by the Administrator as set forth in G.S. 54-109.86. Each credit union shall establish an Allowance for Loan Losses Account. The Allowance for Loan Losses Account is not an addition to but a part of the Regular Reserve as required by statute.

(2) The maintenance of a valuation Allowance for Loan Losses Account shall not eliminate the requirement for transferring a percentage of gross income before the payment of each dividend to the regular reserve as required by State credit union laws and rules of this Subchapter.

(3) Adjustments to the valuation Allowance for Loan Losses shall be made prior to the distribution or posting of any dividend to the accounts of all the members so that the valuation allowance established presents the value of loans and anticipated losses.

(4) Adjustments to the valuation Allowance for Loan Losses shall be recorded in the expense account "Provision for Loan Losses."

(5) Dividends shall not exceed the amount available for that purpose after provisions have been made for the statutory transfer to the Regular Reserve Account and the removal of any deficit in the Regular Reserve Account.

(6) Each credit union shall review the Allowance for Loan Losses Account quarterly for accuracy prior to completion of the call report. An independent party shall annually review the credit union's Allowance for Loan Losses Account. The independent party shall have no connection to the credit approval, the estimation process, the methodology, and its application.

History

Authority G.S. 54-109.11(4); 54-109.12; 54-109.16; 54-109.17; 54-109.86; 54-109.87
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. February 1, 1992; October 1, 1983; January 1, 1983; March 1, 1982
Readopted February 1, 2018.

04 NCAC 06C .0402 CHARGE-OFF OF UNCOLLECTaBLE LOANS {#sec-04-ncac-06c-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0402}

(a) All credit unions shall have a Charge–Off of Uncollectable Loans Policy. All losses resulting from uncollectable loans shall be charged against the Allowance for Loan Losses or any special reserve as set forth in G.S. 54-109.86(c).

(b) A record shall be maintained of all loans charged off. The record shall contain the following information: account number, name, original date, amount of original loan, security, balance at time of charge-off, efforts made to collect, and what, if any, recovery has been made on the security. This record shall be kept current and made available to the examiners at each examination.

(c) Any loans delinquent 365 days or more, shall be charged off in accordance with Paragraph (a) of this Rule, unless one of the following applies to the loan:

(1) has a high probability of no loss;

(2) is secured by real estate where the borrower is demonstrating a reasonable level of repayment; or

(3) is in the process of legal action.

Any loan deemed uncollectable, because collection efforts are nonproductive regardless of the number of days delinquent, shall be charged off in accordance with Paragraph (a) of this Rule.

(d) Any recovery of charged-off loans shall be credited to the Allowance for Loan Losses.

History

Authority G.S. 54-109.11(4); 54-109.12; 54-109.16; 54-109.17
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. February 1, 1992; January 1, 1983
Readopted Eff. February 1, 2018.

04 NCAC 06C .0403 Real Estate Loans {#sec-04-ncac-06c-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0403}

(a) Loan Limitations. No more than 30 percent of the total dollar amount of shares and deposits shall be made in fixed rate real estate loans with a remaining maturity of more than seven years without the permission of the Administrator, based on the Administrator's evaluation of the credit union's management.

(b) Selection of Attorneys. If an attorney's fee is paid by the borrower in connection with any loans, the borrower shall have the right to select an attorney of his choice; provided, the attorney or attorneys are acceptable to the Credit Union. The decision as to the acceptability of the attorney or attorneys must be on a reasonable, nondiscriminatory standard to be determined by the Board of directors of each credit union.

History

Authority G.S. 54-109.12; 54-109.18; 54-109.21(25)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. February 1, 1992; January 1, 1988; October 1, 1983; October 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0404 Line of Credit Loans {#sec-04-ncac-06c-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0404}

History

Status: expired
Authority G.S. 54-109.11(4); 54-109.12; 54-109.15; 54-109.16; 54-109.17; 54-109.70; 54-109.71(b); 54-109.82
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. January 1, 1992; December 1, 1979
Readopted Eff. February 1, 2018
Expired Eff. January 1, 2025 pursuant to G.S. 150B-21.3A.

04 NCAC 06C .0405 Maximum Interest Rate on Loans {#sec-04-ncac-06c-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0405}

History

Status: repealed
Authority G.S. 54-109.65
Eff. April 4, 1978
Amended Eff. April 15, 1980
Repealed Eff. April 1, 1985.

04 NCAC 06C .0406 Maximum Unsecured Loan Limits {#sec-04-ncac-06c-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0406}

History

Status: repealed
Authority G. S. 54-109.67
Eff. October 1, 1983
Repealed Eff. April 1, 1985.

04 NCAC 06C .0407 Commercial Lending and Member Business Loans {#sec-04-ncac-06c-.0407 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0407}

(a) Commercial lending and member business loans. State chartered federally insured credit unions shall adhere to the federal regulations prescribed by the National Credit Union Administration relating to commercial lending and member business loan program pursuant to 12 C.F.R. Part 723, and this Rule, and any subsequent amendments, are incorporated by reference and may be found at no cost on the Code of Federal Regulations website www.ecfr.gov.

(b) Written loan policies. The Board of Directors shall give notification to the Administrator of Credit Unions prior to initiating a commercial lending and member business loan program and adopt specific commercial lending and member business loan policies and review them at least annually. The Board of Directors shall review its commercial lending and member business loan policies prior to any material change in the credit union's commercial lending and member business loan program or related organizational structure, and in response to any material change in portfolio performance or change in economic conditions. Credit unions with an asset size of two hundred fifty million dollars ($250,000,000) or below shall have commercial lending and member business loan polices submitted to the Administrator of Credit Unions 30 days prior to initiating a commercial lending and member business loan program.

History

Authority G.S. 54-109.12; 54-109.21(25); 54-109.78; 12 C.F.R. Part 741.3; 12 C.F.R. Part 723; 12 C.F.R. Part 741.203
Eff. January 1, 1988
Amended Eff. August 1, 1998; March 2, 1992
Temporary Amendment Eff. January 1, 2017
Amended Eff. August 1, 2017
Readopted Eff. February 1, 2018.

04 NCAC 06C .0408 Sale of Loans {#sec-04-ncac-06c-.0408 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0408}

(a) A credit union may sell its loans provided the Board of Directors or designated Committee approves the sale and a written agreement and a schedule of loans covered by the agreement are retained in the credit union office.

(b) A credit union may not sell loans with recourse without the permission of the Administrator of Credit Unions.

History

Authority G.S. 54-109.12; 54-109.21(9); 54-109.21(25); 54-109.22
Eff. June 1, 1991
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0409 Loan Limitations {#sec-04-ncac-06c-.0409 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0409}

(a) No loan or line of credit advance shall be made to an individual member, or immediate family member, if such a loan or line of credit advance causes that member along with that member's immediate family to be indebted to the credit union in an aggregate amount exceeding 10 percent of the credit union's unimpaired shares and surplus as set forth in G.S. 54-109.67. For purposes of this Rule "unimpaired shares" shall mean shares without any assignments or pledges. "Surplus" shall mean undivided earnings and reserves.

(b) In the case of member business loans, additional loan limitations apply as set forth in Rule .0205(d) of this Subchapter and pursuant to 12 C.F.R. Part 723.

History

Authority G.S. 54-109.12; 54-109.26; 54-109.67
Eff. August 1, 1998
Readopted Eff. February 1, 2018.

04 NCAC 06C .0410 Prohibited Fees {#sec-04-ncac-06c-.0410 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0410}

(a) A North Carolina Credit Union shall not make any loan or extend any line of credit if, either directly or indirectly, any commission, fee, or other compensation is to be received by the Credit Union's directors, committee members, senior management employees, loan officers, or any immediate family members of such individuals, in connection with underwriting, insuring, servicing, or collecting the loan or line of credit. For the purposes of this Rule, the following definitions shall apply:

(1) "senior management employees" shall mean the Credit Union's Chief Executive Office or President, the Treasurer or Manager, the Vice President, the Assistant Vice President, the Assistant Treasurer or Manager, the Chief Financial Officer, and the Comptroller; and

(2) "immediate family member" shall include a spouse or other family member living in the same household.

(b) For purposes of this Rule, "compensation" shall include non-monetary items, except those of nominal value.

(1) the annual salary of an employee;

(2) the payment of an incentive or bonus based on the Credit Union's overall financial performance; and

(3) the payment of an incentive or bonus to an employee other than a senior management employee, made in connection with a loan or loans made by the Credit Union. The Board of Directors of the Credit Union shall establish written policies and internal controls in connection with the payment of incentives or bonuses and shall monitor compliance with the policies and controls at least annually.

History

Authority G.S. 54-109.12; 54-109.21(25); 54-109.22
Eff. March 1, 2016
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0501 Impairment {#sec-04-ncac-06c-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0501}

(a) An impairment of capital shall exist if the credit union is unable to provide for Allowance for Loan Losses, or any other reserve required by the Administrator.

(b) In determining the degree of impairment of capital that may exist, loans receivable shall be valued at book value less the amount of reserves required. If share deposit balances exceed net assets an impairment shall exist. The total of the credit union's assets, valued according to generally accepted accounting principles, including loans receivable, less current and long term liabilities, shall be considered to be net assets.

(c) Whenever it is determined that there exists an impairment of capital, the board of directors shall notify the Administrator. If required by the Administrator, pursuant to G.S. 54, Article 14A to 14N, the board of directors shall disclose to all shareholders the impairment of capital and other matters regarding the financial condition of the credit union.

History

Authority G.S. 54-109.12; 54-109.92; 54-109.93
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. January 1, 1983
Readopted Eff. February 1, 2018.

04 NCAC 06C .0502 Insolvency {#sec-04-ncac-06c-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0502}

Inability to meet demands of shareholders or creditors shall constitute insolvency.

History

Authority G.S. 54-109.12; 54-109.92
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Readopted Eff. February 1, 2018.

04 NCAC 06C .0601 Dividends {#sec-04-ncac-06c-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0601}

(a) The board of directors may declare dividends pursuant to G.S. 54-109.44 (5) and G.S. 54-109.54.

(b) No dividend shall be declared or paid unless the credit union has satisfied the reserve requirements set forth in G.S. 54-109.86 and any other reserve account that shall be maintained as prescribed by the Administrator.

History

Authority G.S. 54-109.12; 54-109.44(5); 54-109.54; 54-109.86; 54-109.87
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983
Readopted Eff. February 1, 2018.

04 NCAC 06C .0602 Deposits {#sec-04-ncac-06c-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0602}

History

Status: repealed
Authority G.S. 54-109.12; 54-109.44(6)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. April 1, 1985.

04 NCAC 06C .0603 Interest Rebates {#sec-04-ncac-06c-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0603}

The Board of directors may authorize the payment of an interest rebate on loan accounts upon such reasonable terms as are consistent with the following provisions:

(1) The Board of directors shall authorize the method of computation, payment and qualifications for participation in such rebate.

(2) Any rebate of interest shall be recorded as a reduction of loan interest for the accounting period to which it applies.

History

Authority G.S. 54-109.12; 54-109.44(3)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0701 General {#sec-04-ncac-06c-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0701}

History

Status: repealed
Authority G.S. 54-109.12; 54-109.44(6)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06C .0702 Individual Accounts {#sec-04-ncac-06c-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0702}

History

Status: repealed
Authority G.S. 54-109.12; 54-109.44(6)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06C .0703 Joint Account Agreement {#sec-04-ncac-06c-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0703}

History

Status: repealed
Authority G.S. 54-109.12; 54-109.44(6)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06C .0704 Revocable Trust Agreement {#sec-04-ncac-06c-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0704}

History

Status: repealed
Authority G.S. 54-109.12; 54-109.44(6)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06C .0705 Custodial Account for Minors {#sec-04-ncac-06c-.0705 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0705}

History

Status: repealed
Authority G.S. 54-109.12; 54-109.44(6)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. June 1, 1990.

04 NCAC 06C .0706 Dormant Accounts {#sec-04-ncac-06c-.0706 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0706}

After an account is declared dormant and the provisions of the law have been complied with, the Credit Union must transfer the dormant account to accounts payable (N.C. Escheats Fund) and maintain detailed records of such accounts until paid to the N.C. Escheats Fund according to the North Carolina Escheats Law.

History

Authority G.S. 54-109.12
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0707 Statements of Accounts {#sec-04-ncac-06c-.0707 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0707}

History

Status: repealed
Authority G.S. 54-109.12
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Repealed Eff. February 1, 2018.

04 NCAC 06C .0708 Charitable Contributions and Charitable Donation Accounts {#sec-04-ncac-06c-.0708 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0708}

(a) A credit union may make charitable contributions and donations or may fund a charitable donation account. The following definitions apply throughout this Rule:

(1) "Charitable contributions and donations" means gifts provided by credit unions to assist others through contributions of staff, equipment, money, or other resources. This definition includes donations to community groups, nonprofit organizations, other credit unions or credit union affiliated causes, political donations, or donations to create charitable foundations.

(2) "Charitable donation account" ("CDA") means a hybrid charitable and investment vehicle that a credit union may fund as a means to provide charitable contributions to qualified charities.

(3) "Qualified charity" means a charitable organization or other non-profit entity that serves either a charitable, social, welfare, or educational purpose, and recognized by section 501(c)(3) of the Internal Revenue Code as tax exempt.

(4) "Total return" means the actual rate of return on all investments in a CDA over a given period of up to five years, including realized interest, capital gains, dividends, and distributions, but exclusive of account fees and expenses.

(b) A credit union seeking to make charitable contributions and donations shall adopt policies and procedures as approved by its Board of Directors.

(1) Notice. The credit union shall send written notice of the type and amount of initial investment to the Administrator 10 days prior to funding the CDA.

(2) Rating. The credit union shall be rated a CAMEL 1, 2, or 3.

(3) Maximum aggregate funding. The total aggregate investment in CDAs shall be limited to five percent of the applicant credit union's net worth for the duration of the CDAs, as measured every quarterly Call Report cycle.

(4) Segregated account. The assets of a CDA shall be held in a segregated custodial account or special purpose entity and shall be labeled as a CDA.

(5) Regulatory oversight. If a CDA is established using a trust vehicle, the trust shall be a revocable trust and the trustee shall be an entity regulated by a state financial regulatory agency or a federal regulatory agency. A regulated trustee, other person, or entity that is authorized to make investment decisions for a CDA (manager), other than the credit union itself, shall be either a Registered Investment Adviser with the U.S. Securities and Exchange Commission or regulated by the Office of the Comptroller of the Currency.

(6) CDA documentation and other written requirements. The parties to the CDA shall document the terms and conditions controlling the CDA in a written agreement. The terms of the agreement shall be consistent with this Rule. A credit union's board of directors shall adopt written policies governing the creation, funding, and management of a CDA that are consistent with this Rule, review the policies annually, and may amend them. A CDA agreement and policies shall at a minimum:

(A) provide that the CDA will make charitable contributions and donations only to qualified charities;

(B) document the investment strategies and risk tolerances the CDA trustee or other manager shall follow in administering the account;

(C) provide that a credit union shall account for the CDA, including distributions to charities and liquidation of the CDA, in accordance with generally accepted accounting principles; and

(D) state the frequency with which the trustee or manager of the CDA will make distributions to qualified charities that are consistent with Subparagraph (c)(7) of this Rule.

(7) Minimum distribution to charities. A credit union shall distribute a minimum of 51 percent of the CDA's total return to one or more qualified charities no less frequently than every 5 years.

(d) Upon termination of a CDA, regardless of the length of its term, a minimum of 51 percent of the CDA's total return on assets shall be distributed to one or more qualified charities. Following the distributions to the qualified charities, any remaining assets shall be distributed to the credit union either in cash or shall be distributed to the credit union in kind but only if those assets are permissible investments for State-chartered credit unions as set forth in Rule .1201 of this Subchapter and G.S. 54, Article 14I.

(e) The Administrator may revoke or modify a previously funded investment to the applicable credit union, if the Administrator finds the previously authorized investment is no longer a safe and sound practice, or has become inconsistent with applicable State or federal law. The Administrator shall send written notice of the revocation or modification to the applicable credit union. A credit union may appeal for a final decision by the Administrator as set forth in 04 NCAC 06B .0501 of this Chapter.

History

Authority G.S. 54-109.12; 54-109.21(19); 54-109.21(20)
Eff. April 1, 2019.

04 NCAC 06C .0801 Financial Statements and Other Information {#sec-04-ncac-06c-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0801}

Each credit union shall furnish a report of condition to the Administrator due on the same date as designated by the federal insurer in January, April, July, and October. The report shall be submitted on forms supplied by the federal insurer for that purpose. The Administrator shall assess fines and penalties for reports not filed within 15 days, as set forth in G.S. 54-109.13 and G.S. 54-109.15(b).

History

Authority G.S. 54-109.11(4); 54-109.12; 54-109.13; 54-109.15; 54-109.16
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. July 1, 2013; December 1, 1979
Readopted Eff. February 1, 2018.

04 NCAC 06C .0802 Additional Reports {#sec-04-ncac-06c-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0802}

The Administrator may require any additional reports of the status of credit unions as he deems necessary. The additional reports are due within fifteen (15) days of the date specified by the Administrator.

History

Authority G.S. 54-109.12; 54-109.15
Eff. February 1, 1976
Readopted April 4, 1978
Amended Eff. December 1, 1979
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .0901 Credit Union as Custodian {#sec-04-ncac-06c-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0901}

A credit union is authorized to act as custodian, and may receive reasonable compensation for so acting, under any written trust instrument or custodial agreement created or organized in the United States and forming part of a pension fund that qualifies or qualified for specific tax treatment under Section 401(d) or 408 of the Internal Revenue Code for its members, groups, or organizations of members. The funds of such plans shall be invested in share accounts of the credit union. All funds held in a custodial capacity shall be maintained in accordance with applicable State and federal laws, rules, and federal regulations, as may be promulgated by the Secretary of Labor, the Secretary of the Treasury, or any other State and federal authority exercising jurisdiction over such custodial accounts. The credit union shall maintain individual records for each participant that shows all transactions relating to the funds of each participant or beneficiary.

History

Authority G.S. 54-109.12; 54-109.17; 54-109.21(21)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Readopted Eff. February 1, 2018.

04 NCAC 06C .0902 Successor Custodian {#sec-04-ncac-06c-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .0902}

The plan shall provide for the appointment of a successor custodian by a person, committee, corporation or organization other than the Credit Union or any person acting in his capacity as a director, employee or agent of the Credit Union, upon notice from the Credit Union or the Administrator that the Credit Union is unwilling or unable to continue to act as custodian.

History

Authority G.S. 54-109.12; 54-109.21(21)
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .1001 Permanent Record {#sec-04-ncac-06c-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1001}

(a) Each credit union shall retain its records in a manner consistent with reasonable business practices as set forth in G.S. 54-109.17, rules and federal regulations.

(b) The credit union shall permanently retain the original records of the credit union's charter, bylaws, and any amendments to those documents.

(c) The following records shall be retained permanently in their original form or in any electronic or digital form that permits their retrieval and replication:

(1) the minutes of meetings of members and of the board of directors;

(2) audit reports;

(3) copies of the examination reports of the Credit Union Division;

(4) rulings and opinions from the Credit Union Division; and

(5) supervisory committee minutes and audits.

History

Authority G.S. 54-109.12; 54-109.17
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amendment Eff. March 1, 2016
Readopted Eff. February 1, 2018.

04 NCAC 06C .1002 Nonpermanent Records {#sec-04-ncac-06c-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1002}

(a) Each credit union shall retain nonpermanent records as defined in Paragraph (b) of this Rule, in a manner consistent with reasonable business practices as set forth in G.S. 54-109.17, rules, and federal regulations. The board of directors of the credit union shall determine the length of time that any nonpermanent record not specified in this Rule shall be retained based upon reasonable business practices.

(b) All records not referenced in Rule .1001 of this Section shall be considered nonpermanent records.

(c) The following nonpermanent records shall be retained in their original form or in any electronic or digital form that permits their retrieval and replication:

GENERAL LEDGER

General Ledger 15 years

Journal Cash (Journal of original entry) 15 years

Signature Cards (after the account is closed) 10 years

Shares and Deposits Subsidiary Ledger 10 years

Bank Reconciliations 10 years

Registers: (Check, Money Orders, and Collateral) 10 years

Record of Receipts (Deposit tickets, Payroll Deduction Records) 10 years

Withdrawal Slips: (Cash Payments, Check Payments) 10 years

Cancelled Checks, Money Orders, Cancelled Checks 10 years

Bank Statements 10 years

Bank Deposit Slips 10 years

Invoices for Sale or Purchase of Securities 10 years

ADMINISTRATIVE

Certificates and Licenses to Operate Under Programs of Various Government Agencies

After the Term of the Program Expires 10 years

Minutes of the Credit Committee Meetings 10 years

Charged off Loans (Note and Application)(after the date of the charge off) 10 years

Charge off Ledger Sheet 10 years

LEGAL JUDICIAL AUTHORIZATION

Attachments or Garnishments 10 years

Bond Claims 10 years

Court Orders 10 years

MEMBER RECORDS

Transaction Records 10 years

Members Periodic Statements 10 years

Month End Trial Balance 2 years

Signature Cards (after the account is closed) 10 years

LOANS (COMMERCIAL, CONSUMER, AND MORTGAGE)

Subsidiary Loan Ledgers 10 years

Delinquent Loan Schedules 5 years

Loan Applications (after the loan is paid) 2 years

OTHER

Tax Records 10 years

Personnel Records 10 years

Expense Reimbursement Forms 5 years

Reports: Statistical Reports submitted to NCUA or Credit Union Division 10 years

Escheat records, including communications between the credit union and the NC Department

of State Treasurer and records containing the information required to be included in the report

filed with the State Treasurer pursuant to G.S. 116B-60. 10 years

History

Authority G.S. 54-109.12; 54-109.15; 54-109.17
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. March 1, 2016
Readopted Eff. February 1, 2018.

04 NCAC 06C .1101 Organization Certificate {#sec-04-ncac-06c-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1101}

History

Status: repealed
Authority G.S. 54-109.2(a),(b),(c),(d),(e); 54-109.3; 54-109.4; 54-109.12
54-109.15
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983; December 1, 1979
Repealed Eff. April 1, 1985.

04 NCAC 06C .1102 Bylaws {#sec-04-ncac-06c-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1102}

History

Status: repealed
Authority G.S. 54-109.2(a),(b),(c),(d),(e); 54-109.3; 54-109.4; 54-109.12
54-109.15
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983; December 1, 1979
Repealed Eff. April 1, 1985.

04 NCAC 06C .1103 Oath of Office Form {#sec-04-ncac-06c-.1103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1103}

History

Status: repealed
Authority G.S. 54-109.2(a),(b),(c),(d),(e); 54-109.3; 54-109.4; 54-109.12
54-109.15
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983; December 1, 1979
Repealed Eff. April 1, 1985.

04 NCAC 06C .1104 Charter {#sec-04-ncac-06c-.1104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1104}

History

Status: repealed
Authority G.S. 54-109.2(a),(b),(c),(d),(e); 54-109.3; 54-109.4; 54-109.12
54-109.15
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983; December 1, 1979
Repealed Eff. April 1, 1985.

04 NCAC 06C .1105 Financial and Statistical Report {#sec-04-ncac-06c-.1105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1105}

History

Status: repealed
Authority G.S. 54-109.2(a),(b),(c),(d),(e); 54-109.3; 54-109.4; 54-109.12
54-109.15
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983; December 1, 1979
Repealed Eff. April 1, 1985.

04 NCAC 06C .1106 Tax Identification Form {#sec-04-ncac-06c-.1106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1106}

History

Status: repealed
Authority G.S. 54-109.2(a),(b),(c),(d),(e); 54-109.3; 54-109.4; 54-109.12
54-109.15
Eff. February 1, 1976
Readopted Eff. April 4, 1978
Amended Eff. October 1, 1983; December 1, 1979
Repealed Eff. April 1, 1985.

04 NCAC 06C .1201 Investment Activities {#sec-04-ncac-06c-.1201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1201}

Investments shall be made pursuant to G.S. 54, Article 14 I. The Administrator shall consider agreements or options to buy or sell government securities at a future date that are speculative in nature as unsafe and unsound practices.

History

Authority G.S. 54-109.12; 54-109.82; 54-109.92(a)
Eff. April 1, 1979
Readopted Eff. February 1, 2018.

04 NCAC 06C .1202 Permissible Transactions {#sec-04-ncac-06c-.1202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1202}

Credit unions may:

(1) purchase or sell securities in accordance with G.S. 54-109.1 et seq. and when the purchase or sale is to be completed within five business days after the agreement is made;

(2) buy or sell a future contract only if it is used as a hedging contract incidental to the assembly of a pool of loans for sale in the secondary market;

(3) enter into reverse repurchase agreements to meet ordinary and unexpected liquidity needs such as temporary share withdrawal or loan demands, but such agreements represent borrowing and are limited to the borrowing limitations as specified in Rule .0308 of this Subchapter;

(4) enter into loan-type repurchase agreements only with their own members, other credit unions, or credit union organizations;

(5) enter into investment-type repurchase agreements if the following elements of a sale of security are included:

(a) The Credit Union takes possession of the securities or receives a custodial or safekeeping receipt from a bank or other financial institution evidencing that the securities have been segregated from the general assets of the vendor.

(b) The Credit Union is not required to deliver the identical securities in the event of repurchase.

(d) The Credit Union receives the coupons or stated interest rate dividend on the securities purchased for the time period owned.

(6) deliver written application to the Administrator to make investments and purchase insurance, mutual funds and fixed or variable annuity products. The Administrator shall promptly grant or deny the application within 60 calendar days following receipt with or without conditions or provisions, upon consideration of the following factors:

(a) The investment or product is for the sole purpose of funding employee benefit, retirement or deferred compensation plans for employees of the Credit Union; and

(b) The investment or purchase is made consistent with G.S. 54-109.12.

History

Authority G.S. 54-109.12; 54-109.82; 54-109.92(a)
Eff. April 1, 1979
Amended Eff. January 1, 2007
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .1203 Restricted Transactions {#sec-04-ncac-06c-.1203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1203}

Transactions such as options to buy or sell securities for merely speculative purposes are unsafe and unsound practices. Credit unions may not enter into standby commitments or cash forward agreements to purchase or sell securities or reverse repurchasing agreements when used in a speculative pyramiding manner with the intent of using the funds received to purchase other securities.

History

Authority G.S. 54-109.12; 54-109.82; 54-109.92(a)
Eff. April 1, 1979
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .1204 Federal Funds {#sec-04-ncac-06c-.1204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1204}

A credit union may invest in federal funds through any federally-insured financial institution.

History

History Note Authority G.S. 54-109.21(8); 54-109.21(25); 54-109.82(5); 54-109.82(12)
Eff. May 15, 1981
Amended Eff. March 1, 2016; October 1, 1983
Readopted Eff. February 1, 2018.

04 NCAC 06C .1205 Automatic liens upon all shares to secure all debts {#sec-04-ncac-06c-.1205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1205}

In addition to the lien on shares, deposits and accumulated dividends of members as granted by G.S. 54-109.59, a credit union shall also have an automatic lien upon all such shares, deposits and accumulated dividends to secure the full amount of all debts owed to the credit union by its member. This lien shall be equivalent to that lien upon members' shares granted to all federally chartered credit unions by the National Credit Union Act and its regulations.

History

Authority G.S. 54-109.21(25)
Eff. December 1, 2006
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .1301 Special Reserves for Liquidity {#sec-04-ncac-06c-.1301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1301}

(a) Credit unions shall have a Liquidity Policy and Contingency Funding Plan as set forth in 12 C.F.R. Part 741.12, including any subsequent amendments, which are incorporated by reference and may be found at no cost on the Code of Federal Regulations website www.ecfr.gov.

(b) Credit unions with assets of two million ($2,000,000) or more and credit unions that offer share draft accounts shall maintain a reserve of liquid assets (liquidity reserve) equal to a minimum of five percent of the total dollar value amount of the credit union's liability base.

(c) The liability base shall consist of shares, deposits, and notes payable with a maturity of less than one year. Pledged shares, deposits, or both shall be exempted up to the amount of the loans.

(d) The liquidity reserve shall consist of the following:

(1) cash;

(2) shares;

(3) deposits in the National Credit Union Administration Central Liquidity Facility, corporate credit unions, or other financial institutions;

(4) investments with a maturity of less than one year as authorized by G.S. 54-109.82 (3),(4),(5),(9),(10), and (12); and

(5) Government securities with a maturity of more than one year may be included, provided securities are carried at the lower of cost or market and adjusted on a monthly basis. Documentary evidence shall be kept on file supporting the adjustments for a period of 18 months.

(e) The liquidity reserve shall be determined monthly, not later than the tenth day of each month, and shall be based on the credit union's liability base as the last day of business of the preceding month.

(f) The liquidity reserve shall be used to satisfy contractual line of credit agreements, shares, and deposit withdrawals. In the event the liquidity reserve falls below the required amount as set forth in G.S. 54-109.86, the credit union shall immediately notify the Administrator. The credit union shall have 60 days to replenish the liquidity reserve.

(g) In any special case, the Administrator shall have the authority to require a liquidity reserve for credit unions with assets of less than two million dollars ($2,000,000) if necessary to meet the liquidity needs of its creditors, as set forth in G.S. 54-109.86(c).

History

Authority G.S. 54-109.12; 54-109.86(b); 54-109.86(c)(2)
Eff. December 1, 1979
Amended Eff. February 1, 1992; March 1, 1980
Readopted Eff. February 1, 2018.

04 NCAC 06C .1302 Other Reserves {#sec-04-ncac-06c-.1302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1302}

(a) Pursuant to G.S. 54-109.86(b), transfers to regular reserves shall be set at zero percent.

(b) Special reserves for delinquent loans and reserves for line of credit shall be maintained as required in Rules .0401 and .0404(b) of this Subchapter.

History

Authority G.S. 54-109.12; 54-109.86
Eff. December 1, 1979
Readopted Eff. February 1, 2018
Amended Eff. March 1, 2020.

04 NCAC 06C .1303 Corporate Credit Union Reserves {#sec-04-ncac-06c-.1303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1303}

(a) Definitions.

(1) A "corporate credit union" is a credit union whose primary mission is to serve corporate (credit union) accounts. The membership of a corporate credit union shall be institutional and only credit unions can become members, unless the bylaws otherwise prescribe.

(2) Risk assets of a corporate credit union shall be defined in G.S. 54-109.88.

(b) Corporate Reserve.

(1) Immediately, before the payment of each dividend but more often if the Board of directors so determine, the gross earnings derived from activity with the Credit Union corporate members will be determined. From this amount there shall be transferred to a reserve known as the Corporate Reserve, 2 per centum of specified gross earnings until the Corporate Reserve shall equal one and one half per centum of the corporates total assets.

(2) Whenever the Reserves fall below one and one half per centum of total assets it shall be replenished by regular transfers of 2 per centum of specified gross earnings or by contributions in such amounts as may be needed to maintain the Reserves at one and one half per centum of total assets, whichever is less.

(3) The Administrator may increase or decrease the reserve requirement set forth herein when such action is deemed necessary or desirable.

(4) Charges may be made against the Reserves to offset losses on loans, and investments.

History

Authority G.S. 54-110.8
Eff. December 1, 1979
Amended Eff. October 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

04 NCAC 06C .1401 Signature Guarantee {#sec-04-ncac-06c-.1401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 06C .1401}

Provided the following conditions are satisfied, a credit union may offer its members signature guarantee services in connection with the transfer of securities, name change on a security certificate, replacement of lost certificates, or erasures on a security certificate:

(1) The credit union obtains a bond endorsement protecting it against any loss or liability resulting from granting an improper signature guarantee.

(2) The credit union participates in a signature guarantee program endorsed by the Securities Transfer Association.

(3) The credit union obtains the prior written approval of the Administrator before commencing its signature guarantee program.

History

Authority G.S. 54-109.12; 54-109.21(25)
Eff. March 1, 1994
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. September 6, 2016.

Chapter 07 Milk Commission (Repealed)

04 NCAC 07 .0101 Purpose {#sec-04-ncac-07-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0101}

History

Status: repealed
Authority G.S. 106-266.6 et seq.; 106-266.7(c); 106-266.7(k); 106-266.8(7)
150B-11; 150B-62; Preamble to S.L. 1953, Ch. 1338; Preamble to S.L. 1971, Ch. 779
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. December 1, 1984
Repealed Eff. May 1, 1991.

04 NCAC 07 .0102 Name and Address {#sec-04-ncac-07-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0102}

History

Status: repealed
Authority G.S. 106-266.6 et seq.; 106-266.7(c); 106-266.7(k); 106-266.8(7)
150B-11; 150B-62; Preamble to S.L. 1953, Ch. 1338; Preamble to S.L. 1971, Ch. 779
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. December 1, 1984
Repealed Eff. May 1, 1991.

04 NCAC 07 .0103 Commission Staff {#sec-04-ncac-07-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0103}

History

Status: repealed
Authority G.S. 106-266.6 et seq.; 106-266.7(c); 106-266.7(k); 106-266.8(7)
150B-11; 150B-62; Preamble to S.L. 1953, Ch. 1338; Preamble to S.L. 1971, Ch. 779
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. December 1, 1984
Repealed Eff. May 1, 1991.

04 NCAC 07 .0104 Correspondence and Communication {#sec-04-ncac-07-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0104}

History

Status: repealed
Authority G.S. 106-266.6 et seq.; 106-266.7(c); 106-266.7(k); 106-266.8(7)
150B-11; 150B-62; Preamble to S.L. 1953, Ch. 1338; Preamble to S.L. 1971, Ch. 779
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. December 1, 1984
Repealed Eff. May 1, 1991.

04 NCAC 07 .0105 Copies of Milk Commission Law and Rules {#sec-04-ncac-07-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0105}

History

Status: repealed
Authority G.S. 106-266.6 et seq.; 106-266.7(c); 106-266.7(k); 106-266.8(7)
150B-11; 150B-62; Preamble to S.L. 1953, Ch. 1338; Preamble to S.L. 1971, Ch. 779
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. December 1, 1984
Repealed Eff. May 1, 1991.

04 NCAC 07 .0201 Chairman and Vice Chairman {#sec-04-ncac-07-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0201}

History

Status: repealed
Authority G.S. 1A-1, Rule 4J(4); 106-266.7(b); 106-266.7(j); 106-266.8(5),(6),(7)
150B-27; 150B-33
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Repealed Eff. May 1, 1991.

04 NCAC 07 .0202 Parliamentary Rules {#sec-04-ncac-07-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0202}

History

Status: repealed
Authority G.S. 1A-1, Rule 4J(4); 106-266.7(b); 106-266.7(j); 106-266.8(5),(6),(7)
150B-27; 150B-33
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Repealed Eff. May 1, 1991.

04 NCAC 07 .0203 Special Parliamentary Rule {#sec-04-ncac-07-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0203}

History

Status: repealed
Authority G.S. 1A-1, Rule 4J(4); 106-266.7(b); 106-266.7(j); 106-266.8(5),(6),(7)
150B-27; 150B-33
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Repealed Eff. May 1, 1991.

04 NCAC 07 .0204 Process Agent {#sec-04-ncac-07-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0204}

History

Status: repealed
Authority G.S. 1A-1, Rule 4J(4); 106-266.7(b); 106-266.7(j); 106-266.8(5),(6),(7)
150B-27; 150B-33
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Repealed Eff. May 1, 1991.

04 NCAC 07 .0205 Subpoenas: Oaths: Complaints: Affidavits {#sec-04-ncac-07-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0205}

History

Status: repealed
Authority G.S. 1A-1, Rule 4J(4); 106-266.7(b); 106-266.7(j); 106-266.8(5),(6),(7)
150B-27; 150B-33
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Repealed Eff. May 1, 1991.

04 NCAC 07 .0206 Meeting Schedule {#sec-04-ncac-07-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0206}

History

Status: repealed
Authority G.S. 1A-1, Rule 4J(4); 106-266.7(b); 106-266.7(j); 106-266.8(5),(6),(7)
150B-27; 150B-33
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Repealed Eff. May 1, 1991.

04 NCAC 07 .0301 Petitions {#sec-04-ncac-07-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0301}

History

Status: repealed
Authority G.S. 106-266.8(7); 150B-11; 150B-12(c); 150B-16; 150B-13; 150B-17; 150B-23
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. July 1, 1988; December 1, 1984
Repealed Eff. May 1, 1991.

04 NCAC 07 .0302 Rule-Making Hearings {#sec-04-ncac-07-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0302}

History

Status: repealed
Authority G.S. 106-266.8(7); 150B-11; 150B-12(c); 150B-16; 150B-13; 150B-17; 150B-23
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. July 1, 1988; December 1, 1984
Repealed Eff. May 1, 1991.

04 NCAC 07 .0303 Temporary Rules {#sec-04-ncac-07-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0303}

History

Status: repealed
Authority G.S. 106-266.8(7); 150B-11; 150B-12(c); 150B-16; 150B-13; 150B-17; 150B-23
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. July 1, 1988; December 1, 1984
Repealed Eff. May 1, 1991.

04 NCAC 07 .0304 Declaratory Rulings {#sec-04-ncac-07-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0304}

History

Status: repealed
Authority G.S. 106-266.8(7); 150B-11; 150B-12(c); 150B-16; 150B-13; 150B-17; 150B-23
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. July 1, 1988; December 1, 1984
Repealed Eff. May 1, 1991.

04 NCAC 07 .0305 Contested Cases {#sec-04-ncac-07-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0305}

History

Status: repealed
Authority G.S. 106-266.8(7); 150B-11; 150B-12(c); 150B-16; 150B-13; 150B-17; 150B-23
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. July 1, 1988; December 1, 1984
Repealed Eff. May 1, 1991.

04 NCAC 07 .0401 Employment Policy {#sec-04-ncac-07-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0401}

History

Status: repealed
Authority G.S. 106-266.8(7)
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Repealed Eff. July 1, 1988.

04 NCAC 07 .0402 Grievance Procedure {#sec-04-ncac-07-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0402}

History

Status: repealed
Authority G.S. 106-266.8(7)
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Repealed Eff. July 1, 1988.

04 NCAC 07 .0501 Definitions {#sec-04-ncac-07-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0501}

History

Status: repealed
Filed as a Temporary Amendment Eff. November 3, 1989 for a period of 180 days to expire
on May 2, 1990
Filed as a Temporary Amendment Eff. September 20, 1982 for a period of 120 days to expire
on January 18, 1983
Filed as an Emergency Amendment Eff. June 14, 1976 for a period of 90 days to expire on
September 11, 1976
Statutory Authority G.S. 106-266.6; 106-266.8(3),(7),(11),(13); 106-266.9; 106-266.10
Eff. February 1, 1976
Emergency Amendment Made Permanent Eff. September 11, 1976
Readopted Eff. September 29, 1977
Amended Eff. August 1, 1989; July 1, 1988; January 18, 1983; February 1, 1979
ARRC Objection Lodged December 21, 1989
ARRC Objection Removed January 18, 1990
Amended Eff. April 1, 1990
Repealed Eff. May 1, 1991.

04 NCAC 07 .0502 Market Areas {#sec-04-ncac-07-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0502}

History

Status: repealed
Filed as a Temporary Amendment Eff. November 3, 1989 for a period of 180 days to expire
on May 2, 1990
Filed as a Temporary Amendment Eff. September 20, 1982 for a period of 120 days to expire
on January 18, 1983
Filed as an Emergency Amendment Eff. June 14, 1976 for a period of 90 days to expire on
September 11, 1976
Statutory Authority G.S. 106-266.6; 106-266.8(3),(7),(11),(13); 106-266.9; 106-266.10
Eff. February 1, 1976
Emergency Amendment Made Permanent Eff. September 11, 1976
Readopted Eff. September 29, 1977
Amended Eff. August 1, 1989; July 1, 1988; January 18, 1983; February 1, 1979
ARRC Objection Lodged December 21, 1989
ARRC Objection Removed January 18, 1990
Amended Eff. April 1, 1990
Repealed Eff. May 1, 1991.

04 NCAC 07 .0503 Distributor Licenses {#sec-04-ncac-07-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0503}

History

Status: repealed
Filed as a Temporary Amendment Eff. November 3, 1989 for a period of 180 days to expire
on May 2, 1990
Filed as a Temporary Amendment Eff. September 20, 1982 for a period of 120 days to expire
on January 18, 1983
Filed as an Emergency Amendment Eff. June 14, 1976 for a period of 90 days to expire on
September 11, 1976
Statutory Authority G.S. 106-266.6; 106-266.8(3),(7),(11),(13); 106-266.9; 106-266.10
Eff. February 1, 1976
Emergency Amendment Made Permanent Eff. September 11, 1976
Readopted Eff. September 29, 1977
Amended Eff. August 1, 1989; July 1, 1988; January 18, 1983; February 1, 1979
ARRC Objection Lodged December 21, 1989
ARRC Objection Removed January 18, 1990
Amended Eff. April 1, 1990
Repealed Eff. May 1, 1991.

04 NCAC 07 .0504 Classification of Milk {#sec-04-ncac-07-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0504}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Filed as a Temporary Amendment [(a)(4)] Eff. September 20, 1982, for a period of 120 days
to expire on January 18, 1983
Filed as an Emergency Amendment [(a)(1) and (c)] Eff. June 14, 1976, for a period of 90
days to expire on September 11, 1976
Statutory Authority G.S. 106-266.8(3),(7),(10)
Eff. February 1, 1976
Emergency Amendment [(a)(1) and (c)] made permanent Eff. September 11, 1976
Readopted Eff. September 29, 1977
Amended Eff. November 1, 1989; August 1, 1989; September 1, 1988; January 18, 1983
Repealed Eff. February 28, 1991.

04 NCAC 07 .0505 Rules of Classification {#sec-04-ncac-07-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0505}

History

Status: repealed
Filed as a Temporary Amendment [(e)(2)] Eff. September 20, 1982, for a period of 120 days
to expire on January 18, 1983
Filed as an Emergency Amendment [(e)] Eff. October 20, 1980 for a period of 120 days to
expire on February 16, 1981
Filed as an Emergency Amendment [(d)(2)] Eff. January 31, 1978 for a period of 120 days
to expire on May 31, 1978
Statutory Authority G.S. 106-266.8(3),(7),(10)
Eff. February 1, 1976
Amended Eff. May 18, 1976
Readopted Eff. September 29, 1977
Amended Eff. December 1, 1977; November 1, 1977
Emergency Amendment [(d)(2)] made permanent Eff. May 25, 1978
Emergency Amendment [(e)] Expired February 16, 1981
Amended Eff. August 1, 1983; January 18, 1983; May 1, 1982; February 16, 1981
Repealed Eff. August 1, 1989.

04 NCAC 07 .0506 Determination of Equalization Payments {#sec-04-ncac-07-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0506}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Statutory Authority G.S. 106-266.8(3),(7)
Eff. August 1, 1989
Repealed Eff. February 28, 1991.

04 NCAC 07 .0507 Minimum Class Prices and Butterfat Differentials {#sec-04-ncac-07-.0507 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0507}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Filed as a Temporary Amendment [(a) and (b) (5)] Eff. August 4, 1986, for a period of 120
days to expire on December 2, 1986
Filed as a Temporary Amendment [(a), (d) and (i)] Eff. May 3, 1986, for a period of 120 days
to expire on August 31, 1986
Filed as a Temporary Amendment [(a), (d) and (i)] Eff. January 3, 1986, for a period of 120
days to expire on May 3, 1986
Filed as a Temporary Amendment [(a)] Eff. September 23, 1985, for a period of 120 days to
expire on January 21, 1986
Filed as a Temporary Amendment [(a), (b)(1)(B), (b)(2)(B)(ii)(III) and (c)]
Eff. September 13, 1985 for a period of 120 days to expire on January 11, 1986
Filed as a Temporary Amendment [(a)] Eff. August 26, 1985, for a period of 120 days to
expire on December 24, 1985
Filed as a Temporary Amendment [(a)] Eff. December 1, 1984, for a period of 120 days to
expire on March 30, 1985
Filed as a Temporary Amendment [(a)] Eff. February 13, 1984, for a period of 120 days to
expire on June 12, 1984
Filed as a Temporary Amendment [(a) and (b)(1)] Eff. October 1, 1983, for a period of 120
days to expire on January 29, 1984
Filed as a Temporary Amendment [(a)] Eff. May 12, 1983, for a period of 120 days to expire
on September 9, 1983
Filed as a Temporary Amendment [(a)] Eff. May 1, 1983, for a period of 120 days to expire
on August 29, 1983
Filed as a Temporary Amendment [(a)] Eff. April 1, 1983, for a period of 120 days to expire
on July 29, 1983
Filed as a Temporary Amendment [(a)] Eff. February 28, 1983, for a period of 120 days to
expire on June 28, 1983
Filed as a Temporary Amendment [(d)(3)(B)(iii)] Eff. May 26, 1982, for a period of 36 days
to expire on July 1, 1982
Filed as an Emergency Amendment [(a)] Eff. March 18, 1981, for a period of 120 days to
expire on July 16, 1981
Filed as an Emergency Amendment [(a)] Eff. April 20, 1978, for a period of 120 days to
expire on August 17, 1978
Filed as an Emergency Amendment [(a) and (b)(1)] Eff. April 12, 1978, for a period of 120
days to expire on August 10, 1978
Filed as an Emergency Amendment [(c)] Eff. June 14, 1976, for a period of 90 days to expire
on September 11, 1976
Statutory Authority G.S. 106-266.8(7),(10)
Eff. February 1, 1976
Amended Eff. June 1, 1976; May 1, 1976
Emergency Amendment [(c)] made permanent Eff. September 11, 1976
Amended Eff. June 1, 1977; December 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. July 10, 1978; June 1, 1978; December 1, 1977; November 1, 1977
Emergency Amendment [(a)], Eff. April 20, 1978, and Emergency Amendment [(b)(1)],
Eff. April 12, 1978, made permanent Eff. August 2, 1978
Amended Eff. June 1, 1981; June 1, 1980; December 1, 1979; August 1, 1979
Emergency Amendment [(a)] made permanent with change Eff. July 1, 1981
Amended Eff. March 1, 1990; August 1, 1989; July 19, 1988; December 1, 1986
Repealed Eff. February 28, 1991.

04 NCAC 07 .0508 Plant Shrinkage {#sec-04-ncac-07-.0508 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0508}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Statutory Authority G.S. 106-266.8(3),(7)
Eff. August 1, 1989
Repealed Eff. February 28, 1991.

04 NCAC 07 .0509 Producer Settlement Fund {#sec-04-ncac-07-.0509 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0509}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Statutory Authority G.S. 106-266.8(3),(7)
Eff. August 1, 1989
Repealed Eff. February 28, 1991.

04 NCAC 07 .0510 Handler and Producer Payroll Reports {#sec-04-ncac-07-.0510 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0510}

History

Status: repealed
Filed as a Temporary Amendment Eff. September 1, 1990 for a period of 180 days to expire
on February 28, 1991
Statutory Authority G.S. 106-266.8(3),(5),(7),(12),(14)
Eff. August 1, 1989
Amended Eff. February 28, 1991
Repealed Eff. May 1, 1991.

04 NCAC 07 .0511 Uniform Class I and Class Ii Prices, Pool Obligation, Blend Price {#sec-04-ncac-07-.0511 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0511}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Statutory Authority G.S. 106-266.8(3),(7),(10)
Eff. August 1, 1989
Repealed Eff. February 28, 1991.

04 NCAC 07 .0512 Computation of Settlement Fund Amounts {#sec-04-ncac-07-.0512 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0512}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Statutory Authority G.S. 106-266.8(3),(7),(10)
Eff. August 1, 1989
Repealed Eff. February 28, 1991.

04 NCAC 07 .0513 Method of Settlement {#sec-04-ncac-07-.0513 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0513}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Filed as a Temporary Amendment [(f)] Eff. June 1, 1983 for a period of 120 days to expire
on September 29, 1983
Filed as a Temporary Amendment [(f)] Eff. May 12, 1983 for a period of 120 days to expire
on September 9, 1983
Statutory Authority G.S. 106-266.8(3),(7),(10); 106-266.12
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. August 1, 1989; September 1, 1983; March 1, 1983
Recodified from .0508 Eff. August 1, 1989
Repealed Eff. February 28, 1991.

04 NCAC 07 .0514 Computation of Milk in Each Class {#sec-04-ncac-07-.0514 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0514}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Statutory Authority G.S. 106-266.8(3),(7),(10)
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. August 1, 1989; December 1, 1977
Recodified from .0506 Eff. August 1, 1989
Repealed Eff. February 28, 1991.

04 NCAC 07 .0515 Financial Responsibility for Milk Received by Bulk Tanker {#sec-04-ncac-07-.0515 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0515}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Statutory Authority G.S. 106-266.8(3),(7)
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Recodified from .0509 Eff. August 1, 1989
Amended Eff. August 1, 1989
Repealed Eff. February 28, 1991.

04 NCAC 07 .0516 Use and Establishment of Class I Bases {#sec-04-ncac-07-.0516 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0516}

History

Status: repealed
Filed as a Temporary Repeal Eff. September 1, 1990 for a period of 180 days to expire on
February 28, 1991
Filed as a Temporary Amendment [(a)(3), (b), (c), (f)(8)] for a period of 52 days to expire
on March 1, 1982
Filed as an Emergency Amendment [(e)(8)] Eff. April 12, 1978 for a period of 120 days to
expire on August 10, 1978
Filed as an Emergency Amendment [(b) and (e)(4)] Eff. June 8, 1976 for a period of 120 days
to expire on October 6, 1976
Statutory Authority G.S. 106-266.8(3),(7)
Eff. February 1, 1976
Emergency Amendment [(b) and (e)(4)] made permanent Eff. October 6, 1976
Readopted Eff. September 29, 1977
Emergency Amendment [(e)(8)] made permanent Eff. August 2, 1978
Amended Eff. August 1, 1989; August 1, 1983; March 1, 1982
Recodified from .0510 Eff. August 1, 1989
Repealed Eff. February 28, 1991.

04 NCAC 07 .0517 Plant Records and Inspection of Records {#sec-04-ncac-07-.0517 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0517}

History

Status: repealed
Authority G.S. 106-266.8(5),(7),(12),(14)
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Recodified from .0511 Eff. August 1, 1989
Amended Eff. August 1, 1989
Repealed Eff. May 1, 1991.

04 NCAC 07 .0518 Assessment {#sec-04-ncac-07-.0518 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0518}

History

Status: repealed
: Authority G.S. 106-266.8(7); 106-266.11; 106-266.12
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Amended Eff. July 1, 1983
Recodified from .0512 Eff. August 1, 1989
Repealed Eff. May 1, 1991.

04 NCAC 07 .0519 Exemption {#sec-04-ncac-07-.0519 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0519}

History

Status: repealed
: Authority G.S. 106-266.6(4); 106-266.8(7)
Eff. February 1, 1976
Readopted Eff. September 29, 1977
Recodified from .0513 Eff. August 1, 1989
Repealed Eff. May 1, 1991.

04 NCAC 07 .0520 Uniform Procedure for Determining Cost {#sec-04-ncac-07-.0520 omnilex-key=us-nc-regs-official--title-04--04 NCAC 07 .0520}

History

Status: repealed
Authority G.S. 106-266.8(7),(10)(d),(14); 106-266.19
Eff. April 1, 1982
Recodified from .0514 Eff. August 1, 1989
Repealed Eff. May 1, 1991.

Chapter 08 Rural Electrification Authority

04 NCAC 08 .0101 Purpose {#sec-04-ncac-08-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0101}

(a) The purpose of the North Carolina Rural Electrification Authority ("the Authority") is to secure and continue to provide dependable electric and telephone services to customers served by the electric membership corporations ("EMCs") and the telephone membership corporations ("TMCs") in predominately rural areas of the state at the lowest possible cost and on a nondiscriminatory basis, as set forth in G.S. 117-16.1. To accomplish this purpose, the Authority shall act as an agent in securing loans or grants from any agency of the United States Government. The Authority also serves as a forum to receive and investigate complaints from members of the electric cooperatives to arrive at a just and satisfactory solution to the member complaints.

(b) The Authority, pursuant to the Telecommunications Act of 1996, Pub. LA. No. 104-104, 110 Stat. 56 (1996) ("the Act") shall establish procedural schedules for Petitions for Arbitration of interconnection agreements between TMCs and other local and wireless providers. The Authority shall render final decisions for these arbitrations based on information received from testimony, discovery and hearings. The Authority shall review and approve the interconnection agreements and their amendments in accordance with Section 252(e) of the Telecommunications Act.

History

Authority G.S. 117-2; 117-2(11a); 117-3.1; 117-4; 117-26; 117-31; 117-32; 47 U.S.C. 251
Eff. February 1, 1976
Amended Eff. May 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

04 NCAC 08 .0102 Address of the Authority {#sec-04-ncac-08-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0102}

(a) The office of the Authority is located in Raleigh, North Carolina at 313 Chapanoke Road, Suite 210, and the mailing address is 4321 Mail Service Center, Raleigh, North Carolina 27699-4321.

(b) The website address for the Authority is rea.nc.gov.

(c) All correspondence shall be addressed to the attention of the Administrator or to the Chairman of the Authority. The office is open to the public Monday through Friday during the normal business hours of 8:00 a.m. to 5:00 p.m. and is closed on all state holidays.

History

Authority G.S. 117-1
Eff. February 1, 1976
Amended Eff. March 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
Amended Eff. August 1, 2021.

04 NCAC 08 .0103 Rural Electrification Authority Created {#sec-04-ncac-08-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0103}

History

Status: repealed
Authority G.S. 117-1
Eff. February 1, 1976
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 08 .0104 Term of Office {#sec-04-ncac-08-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0104}

History

Status: repealed
Authority G.S. 117-1
Eff. February 1, 1976
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 08 .0105 Organization {#sec-04-ncac-08-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0105}

History

Status: repealed
Authority G.S. 117-4
Eff. February 1, 1976
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 08 .0106 Compensation {#sec-04-ncac-08-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0106}

History

Status: repealed
Authority G.S. 117-5; 138-5
Eff. February 1, 1976
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 08 .0107 Meetings {#sec-04-ncac-08-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0107}

(a) The Authority shall not meet more than 12 times per year.

(b) The Administrator shall send a notice of the date and location of the meeting to all Authority Board members, cooperatives, interested parties and members of the USDA, one week prior to the meeting. A meeting notification shall be posted on the website of the Authority 72 hours prior to each meeting.

(c) Anyone with a matter to present to the Board shall submit all pertinent documents two weeks prior to the meeting where the matter will be presented by the Administrator to the Board of the Authority for their consideration and decision.

(d) A copy of public documents maintained by the office shall be available to the general public at actual cost.

History

Authority G.S. 117-4; 117-5
Eff. February 1, 1976
Amended Eff. March 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
Amended Eff. August 1, 2023.

04 NCAC 08 .0108 Notification of Meetings {#sec-04-ncac-08-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0108}

History

Status: repealed
Authority G.S. 117-5
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0109 Duties of the Administrator {#sec-04-ncac-08-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0109}

History

Status: repealed
Authority G.S. 117-2(10); 117-2(11a); 117-2(12); 117-3.1(a); 117-26; 117-31; 117-32
47 U.S.C 252
Eff. February 1, 1976
Amended Eff. May 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
Repealed Eff. August 1, 2023.

04 NCAC 08 .0110 Correspondence and Communication {#sec-04-ncac-08-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0110}

History

Status: repealed
Authority G.S. 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0111 Board Proceedings {#sec-04-ncac-08-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0111}

History

Status: repealed
Authority G.S. 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0112 Member Visitation {#sec-04-ncac-08-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0112}

History

Status: repealed
Authority G.S. 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0201 Definitions {#sec-04-ncac-08-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0201}

For the purposes of this Section, the following definitions apply:

(1) "Domestic corporation" means an electric membership corporation granted privilege by the State of North Carolina under Chapter 117 of the General Statutes to render its service to its members only in the territory assigned to it by the Authority.

(2) "Domesticated corporation" means a foreign electric membership corporation created under G.S. 117 in the State of North Carolina to serve members within a defined area whose main charter is in another state.

History

Authority G.S. 117-2; 117-9; 117-28
Eff. February 1, 1976
Amended Eff. March 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

04 NCAC 08 .0202 Loan Applications and Categories {#sec-04-ncac-08-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0202}

(a) All EMCs, both domestic and domesticated, shall petition the Authority to apply for any funds in the form of grants or loans issued from any agency of the United States Government for use in the State. The EMC shall send all loan documents to the Administrator three weeks prior to the Board meeting in accordance with Rule .0107 of this Chapter.

(b) Domesticated corporations shall include only the funds for use in this State in its petition for the loan or grant.

(c) A checklist for Rural Utility Service (RUS) loans and Rural Economic Development Loans and Grants (REDLG) may be found on the Authority's website.

History

Authority G.S. 117-26; 117-28
Eff. February 1, 1976
Amended Eff. March 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

04 NCAC 08 .0203 Loan Categories {#sec-04-ncac-08-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0203}

History

Status: repealed
Authority G.S. 117-2(10); 117-2(11); 117-26
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0204 Documents Required for Loan Applications {#sec-04-ncac-08-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0204}

History

Status: repealed
Authority G.S. 117-2(10); 117-2(11); 117-26
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0205 Presentation of Documents {#sec-04-ncac-08-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0205}

History

Status: repealed
Authority G.S. 117-2(10); 117-2(11); 117-26
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0206 Operating Rules and Regulations {#sec-04-ncac-08-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0206}

The EMCs shall provide the following information to the Authority:

(1) A copy of the Financial and Statistical Report (RUS Form 7) and Annual Supplement to Financial and Statistical Report (RUS Form 7a) for periods ending December 31 and June 30 of each year. These forms can be found on the USDA's website at http://www.rurdev.usda.gov/UEP_Support_DCS.html and can be accessed free of charge.

(2) A copy of the EMC's current operating rules and regulations. EMCs shall file copies of revised rules and regulations within 30 days of revision.

(3) A copy of the current EMC bylaws. Changes to the bylaws must be filed within 30 days of the revision.

(4) A copy of the current EMC rate schedules. Changes to the rate schedules must be filed within 30 days of the revision.

(5) An annual data sheet showing growth trends in miles of line, facilities and consumers served.

(6) Each EMC is required to provide a current operating budget report to the Authority at the time of a loan application.

History

Authority G.S. 117-2(12); 117-26
Eff. February 1, 1976
Amended Eff. March 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

04 NCAC 08 .0207 Operating Rules and Regulations {#sec-04-ncac-08-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0207}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0208 Bylaws {#sec-04-ncac-08-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0208}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0209 Rate Schedules {#sec-04-ncac-08-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0209}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0210 Complaints {#sec-04-ncac-08-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0210}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0211 Data Sheets for Progress Reports {#sec-04-ncac-08-.0211 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0211}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0212 Operating Budget {#sec-04-ncac-08-.0212 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0212}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0301 Definitions {#sec-04-ncac-08-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0301}

For the purposes of this Section, the following definitions apply:

(1) "Commercial Mobile Radio Service Provider (CMRS)" means a carrier whose wireless network is connected to the public switched telephone network.

(2) "Competing Local Provider (CLP)" means a telephone company that competes with the already established local telephone company by providing its own network and switching.

(3) "Domestic corporation" means a telephone membership corporation (TMC) established in the State by G.S. 117 to render its services to its members only in the territory assigned to it by the Authority.

(4) "Domesticated corporation" means a foreign TMC created under G.S. 117 to serve members within a defined area in the State whose main charter is in another state.

(5) "Interconnection Agreement" means the negotiation of agreements and subsequent amendments between requesting telecommunications carriers (such as CLPs or CMRS providers) and TMCs for interconnection services or network elements pursuant to Section 251 of the Act.

(6) "Tariff" means a schedule of charges imposed on members of the TMC by the TMCs.

History

Authority G.S. 117-2(12); 117-28; 47 CFR 20.3; 47 U.S.C. 251; 47 U.S.C. 252
Eff. February 1, 1976
Amended Eff. March 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

04 NCAC 08 .0302 Loan Applications {#sec-04-ncac-08-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0302}

(a) All TMCs shall petition the Authority to apply for any funds in the form of grants or loans issued from any agency of the United States government for use in the State.

(b) The TMC shall send all loan documents to the Administrator three weeks prior to the Board meeting in accordance with Rule .0107 of this Chapter.

History

Authority G.S. 117-2(11)
Eff. February 1, 1976
Amended Eff. March 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

04 NCAC 08 .0303 Loan Categories {#sec-04-ncac-08-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0303}

History

Status: repealed
Authority G.S. 117-2(11)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0304 LOAN APPLICATIONS and categories {#sec-04-ncac-08-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0304}

A checklist for applications made pursuant to Rule .0302 of this Section for Rural Utility Service (RUS) loans and Rural Economic Development Loans and Grants (REDLG) may be found on the Authority's website.

History

Authority G.S. 117-32
Eff. February 1, 1976
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015
Amended Eff. November 1, 2015.

04 NCAC 08 .0305 Presentation of Documents {#sec-04-ncac-08-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0305}

History

Status: repealed
Authority G.S. 117-2(11)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0306 required disclosures {#sec-04-ncac-08-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0306}

The TMCs shall provide the following information to the Authority:

(1) A copy of the Financial and Statistical Report for Telephone Borrowers (RUS Form 479), the Annual Supplement to the December 31 Financial and Statistical Report (RUS Form 479a) and Employment Data (RUS Form 15). These forms can be found on the USDA's website at http://www.rurdev.usda.gov/UEP_Support_DCS.html and can be accessed at no charge. This information shall be provided to the Authority by December 31st and June 30th of each year and is used when reviewing loan and grant requests.

(2) A copy of the current TMC bylaws. Changes to the bylaws must be filed within 30 days of the revision.

(3) A copy of the current TMC tariffs. Changes to the tariffs must be filed within 30 days of the revision.

(4) Each TMC shall provide all negotiated interconnection agreements and their amendments to the Authority for review and approval in accordance with 47 U.S.C. 252.

History

Authority G.S. 117-2(11); 117-31; 47 U.S.C. 252
Eff. February 1, 1976
Amended Eff. March 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

04 NCAC 08 .0307 Operating Rules and Regulations {#sec-04-ncac-08-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0307}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0308 Bylaws {#sec-04-ncac-08-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0308}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0309 Tariffs {#sec-04-ncac-08-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0309}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0310 Complaints {#sec-04-ncac-08-.0310 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0310}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0311 Data Sheets for Progress Reports {#sec-04-ncac-08-.0311 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0311}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0312 Operating Budget {#sec-04-ncac-08-.0312 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0312}

History

Status: repealed
Authority G.S. 117-2(11); 117-2(12)
Eff. February 1, 1976
Repealed Eff. March 1, 2014.

04 NCAC 08 .0313 Arbitration Policies {#sec-04-ncac-08-.0313 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0313}

The Authority shall arbitrate any interconnection disputes between a TMC and other telecommunications carriers as described in Section 252 of the 1996 Telecommunications Act ("the Act"). This Rule sets forth the procedures for that process.

(1) When the Authority is requested to arbitrate an interconnection agreement pursuant to Section 252(b)(1) of the Act or pursuant to a valid contractual agreement between a North Carolina cooperative and another telecommunication carrier, the petitioning party shall provide the Authority with the information required under Section 252(b)(2) of the Act and the non-petitioning party shall have the opportunity to respond in the timeframe set forth in Section 252(b)(3).

(2) The Authority shall send each party a list of approved arbitrators. The parties shall have 15 days to review the list, strike names they object to, rank the remaining names in the order of preference and return the list to the Authority. The Authority shall then select the arbitrator agreed to by the parties. If the parties do not agree on the selection, the Authority shall select an arbitrator of its choosing from the list.

(3) The parties seeking the arbitration shall be held accountable for any financial obligations, and each shall be responsible for an equal portion of the arbitrator fee, regardless of the outcome of the recommendation submitted to the Authority. The fee shall be paid directly to the arbitrator.

(4) At the request of any party, or at the discretion of the arbitrator, the arbitrator may:

(a) schedule a preliminary hearing with the parties or its representatives;

(b) direct the production of documents and other information and the identification of any witnesses to be called at the hearing; or

(5) The parties shall respond to requests for hearing dates by the deadline established by the Authority or the arbitrator, be cooperative in scheduling the earliest practical hearing date, and adhere to the established hearing schedule. The arbitrator shall send a notice of hearing to the parties at least 20 calendar days in advance of the hearing date, unless otherwise agreed to by the parties. At least five business days prior to the arbitration hearing, the parties shall exchange copies of all exhibits each party intends to submit at the hearing.

(6) The arbitrator shall conclude the resolution of any unresolved issues no later than nine months following the date on which the request for arbitration was originally received by the Authority.

(7) The petitioning party shall present evidence to support its petition. The non-petitioning party shall then present evidence in response. The arbitrator has the discretion to vary this procedure, but each party shall have the right to be heard and be given an opportunity to present his or her case.

(8) The arbitrator shall make a decision on the issues presented for arbitration that contains applicable findings of fact and conclusions of law and forward this recommended decision to the Authority.

(9) The Authority shall consider the decision of the arbitrator to be a recommendation. The Authority shall make the final decision in any arbitration hearing and may order additional written or oral testimony from the parties in order to render the decision. The Authority may accept the recommended decision from the arbitrator as its final decision, amend the recommended decision, or reject the recommended decision and render its own independent decision.

(10) In accordance with 47 U.S.C. 252, a resolution of any unresolved issues shall be reached not later than nine months following the date on which the request for arbitration was originally received by the Authority.

History

Authority G.S. 117-31; 47 U.S.C. 252
Eff. June 1, 2014.

04 NCAC 08 .0401 Petitions for Rule-Making Hearings {#sec-04-ncac-08-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0401}

(a) Any person wishing to submit a petition requesting the adoption, amendment, or repeal of a rule by the Authority shall address the petition to: Administrator, North Carolina Rural Electrification Authority, 4321 Mail Service Center, Raleigh, North Carolina 27699-4321.

(b) The petition shall contain the following information:

(1) a draft of the proposed rule;

(2) effect on the existing rules and practices;

(3) the name(s) and address(es) of petitioner(s); and

(4) the date.

(c) The Authority shall determine within 120 days of submission whether the public interest will be served by granting the request. The Authority will consider all the contents of the submitted petition, plus any additional information it deems relevant.

(d) If the decision is to deny the petition, the Administrator shall notify the petitioner in writing, stating the reasons therefor. If the decision is to grant the petition, the Authority shall initiate a rule-making proceeding as required by G.S. 150B.

(e) Upon a determination to hold a rule-making proceeding, either in response to a petition or otherwise, the Authority shall follow the procedures in G.S. 150B.

History

Authority G.S. 117-2(12); 150B-20
Eff. February 1, 1976
Amended Eff. March 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

04 NCAC 08 .0402 Rule-Making Hearings {#sec-04-ncac-08-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0402}

History

Status: repealed
Authority G.S. 117-2(12)
Eff. February 1, 1976
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 08 .0403 Temporary Rules {#sec-04-ncac-08-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0403}

History

Status: repealed
Authority G.S. 117-2(12)
Eff. February 1, 1976
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 08 .0404 Declaratory Rulings {#sec-04-ncac-08-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0404}

(a) Any person aggrieved by a statute administered by a rule of the Authority may request a declaratory ruling for the following reasons:

(1) to determine the validity of a rule;

(2) to determine the applicability to a given set of facts of a statute, rule or order administered by the agency; or

(3) to resolve a conflict or inconsistency within the agency regarding interpretation of a law of rule adopted by the agency.

(b) All requests for declaratory rulings shall be written and mailed to: Administrator, North Carolina Rural Electrification Authority, 4321 Mail Service Center, Raleigh, North Carolina 27699-4321.

(1) the name and address of petitioner;

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

(3) the concise statement of the manner in which petitioner is aggrieved by the statute, rule or order or its potential application to him or her;

(4) a statement of whether an oral hearing is desired, and if so the reasons for such an oral hearing; and

(5) the date.

(d) The Authority shall respond to a request for a declaratory ruling as follows:

(1) within 30 days of receipt of the request for a declaratory ruling, the Authority shall make a written decision to grant or deny the request. If the Authority fails to make a written decision to grant or deny the request within 30 days, the failure shall be deemed a decision to deny the request.

(2) If the Authority denies the request, the decision is immediately subject to judicial review in accordance with Article 4 of this Chapter.

(3) If the Authority grants the request, the Authority shall issue a written ruling on the merits within 45 days of the decision to grant the request. A declaratory ruling is subject to judicial review in accordance with Article 4 of G.S. 150B.

(4) If the Authority fails to issue a declaratory ruling within 45 days, the failure shall be deemed a denial on the merits and the person aggrieved may seek judicial review pursuant to Article 4 of G.S. 150B. Upon review of the Authority's failure to issue a declaratory ruling, the court shall not consider any basis for the denial that was not presented in writing to the person aggrieved.

(e) The Board shall refuse to issue a declaratory ruling under the following circumstances:

(1) when the Board has already made a controlling decision on substantially similar facts in a contested case;

(2) when the facts underlying the request for a ruling were specifically considered at the time of the adoption of the rule in question; or

(3) when the subject matter of the request is involved in pending litigation in North Carolina.

History

Authority G.S. 117-2(12); 150B-4
Eff. February 1, 1976
Amended Eff. March 1, 2014
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. May 23, 2015.

04 NCAC 08 .0405 Contested Cases {#sec-04-ncac-08-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 08 .0405}

History

Status: repealed
Authority G.S. 117-2(12)
Eff. February 1, 1976
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

Chapter 09 Savings and Loan Division, Savings and Loan Commission (Repealed)

Subchapter A

04 NCAC 09A .0101 Name and Address {#sec-04-ncac-09a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0101}

History

Status: repealed
Authority G.S. 53-45(b); 54-2; 54-24; 54-24.1; 54-25; 54-26; 54-27; 54-29
54-33.2; 54-44.10; 54A-3; 54A-18; 105-228.23; 105-228.24; 105-228.26; 105-228.27
150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. July 16, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0102 Purposes {#sec-04-ncac-09a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0102}

History

Status: repealed
Authority G.S. 53-45(b); 54-2; 54-24; 54-24.1; 54-25; 54-26; 54-27; 54-29
54-33.2; 54-44.10; 54A-3; 54A-18; 105-228.23; 105-228.24; 105-228.26; 105-228.27
150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. July 16, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0103 Areas of Responsibility {#sec-04-ncac-09a-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0103}

History

Status: repealed
Authority G.S. 53-45(b); 54-2; 54-24; 54-24.1; 54-25; 54-26; 54-27; 54-29
54-33.2; 54-44.10; 54A-3; 54A-18; 105-228.23; 105-228.24; 105-228.26; 105-228.27
150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. July 16, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0104 Functions {#sec-04-ncac-09a-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0104}

History

Status: repealed
Authority G.S. 53-45(b); 54-2; 54-24; 54-24.1; 54-25; 54-26; 54-27; 54-29
54-33.2; 54-44.10; 54A-3; 54A-18; 105-228.23; 105-228.24; 105-228.26; 105-228.27
150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. July 16, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0105 Confidentiality of Reports {#sec-04-ncac-09a-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0105}

History

Status: repealed
Authority G.S. 53-45(b); 54-2; 54-24; 54-24.1; 54-25; 54-26; 54-27; 54-29
54-33.2; 54-44.10; 54A-3; 54A-18; 105-228.23; 105-228.24; 105-228.26; 105-228.27
150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. July 16, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0106 Charges for Services {#sec-04-ncac-09a-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0106}

History

Status: repealed
Authority G.S. 53-45(b); 54-2; 54-24; 54-24.1; 54-25; 54-26; 54-27; 54-29
54-33.2; 54-44.10; 54A-3; 54A-18; 105-228.23; 105-228.24; 105-228.26; 105-228.27
150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. July 16, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0107 Other Collections {#sec-04-ncac-09a-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0107}

History

Status: repealed
Authority G.S. 53-45(b); 54-2; 54-24; 54-24.1; 54-25; 54-26; 54-27; 54-29
54-33.2; 54-44.10; 54A-3; 54A-18; 105-228.23; 105-228.24; 105-228.26; 105-228.27
150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. July 16, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0108 Definitions {#sec-04-ncac-09a-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0108}

History

Status: repealed
Authority G.S. 53-45(b); 54-2; 54-24; 54-24.1; 54-25; 54-26; 54-27; 54-29
54-33.2; 54-44.10; 54A-3; 54A-18; 105-228.23; 105-228.24; 105-228.26; 105-228.27
150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. July 16, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0109 Forms {#sec-04-ncac-09a-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0109}

History

Status: repealed
Authority G.S. 53-45(b); 54-2; 54-24; 54-24.1; 54-25; 54-26; 54-27; 54-29
54-33.2; 54-44.10; 54A-3; 54A-18; 105-228.23; 105-228.24; 105-228.26; 105-228.27
150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. July 16, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0201 Composition and Authority {#sec-04-ncac-09a-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0201}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 143A-179; 150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. December 15, 1980; March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0202 Officers and Duties {#sec-04-ncac-09a-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0202}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 143A-179; 150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. December 15, 1980; March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0203 Meetings {#sec-04-ncac-09a-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0203}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 143A-179; 150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. December 15, 1980; March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0204 Committees {#sec-04-ncac-09a-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0204}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 143A-179; 150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. December 15, 1980; March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0205 Duties {#sec-04-ncac-09a-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0205}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 143A-179; 150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. December 15, 1980; March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0206 Amendments {#sec-04-ncac-09a-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0206}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 143A-179; 150B-10; 150B-12
Eff. February 1, 1976
Amended Eff. December 15, 1980; March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09A .0301 Administrator of Savings and Loan {#sec-04-ncac-09a-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0301}

History

Status: repealed
Authority G.S. 54-24; 150B-10
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09A .0302 Deputy Administrator of Savings and Loan {#sec-04-ncac-09a-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0302}

History

Status: repealed
Authority G.S. 54-24; 150B-10
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09A .0303 Savings and Loan Examiners {#sec-04-ncac-09a-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09A .0303}

History

Status: repealed
Authority G.S. 54-24; 150B-10
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

Subchapter B

04 NCAC 09B .0101 Petitions {#sec-04-ncac-09b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0101}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 150B-11(3); 150B-12; 150B-12(d),(e)
150B-13; 150B-16; 150B-17
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09B .0102 Notice {#sec-04-ncac-09b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0102}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 150B-11(3); 150B-12; 150B-12(d),(e)
150B-13; 150B-16; 150B-17
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09B .0103 Hearings {#sec-04-ncac-09b-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0103}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 150B-11(3); 150B-12; 150B-12(d),(e)
150B-13; 150B-16; 150B-17
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09B .0104 Emergency Rules {#sec-04-ncac-09b-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0104}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 150B-11(3); 150B-12; 150B-12(d),(e)
150B-13; 150B-16; 150B-17
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09B .0105 Declaratory Rulings {#sec-04-ncac-09b-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0105}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 150B-11(3); 150B-12; 150B-12(d),(e)
150B-13; 150B-16; 150B-17
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09B .0201 Savings and Loan Commission Hearings {#sec-04-ncac-09b-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0201}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0202 Hearings Before the Administrator of Savings and Loan {#sec-04-ncac-09b-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0202}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0203 Request for Hearing {#sec-04-ncac-09b-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0203}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0204 Notice {#sec-04-ncac-09b-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0204}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0205 Written Answers to Notice {#sec-04-ncac-09b-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0205}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0206 Representation by an Attorney {#sec-04-ncac-09b-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0206}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0207 Waiver {#sec-04-ncac-09b-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0207}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0208 Depositions {#sec-04-ncac-09b-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0208}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0209 Discovery {#sec-04-ncac-09b-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0209}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0210 Rules of Evidence {#sec-04-ncac-09b-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0210}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0211 Pre-Hearing Conference {#sec-04-ncac-09b-.0211 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0211}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0212 Place and Forum for Contested Cases {#sec-04-ncac-09b-.0212 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0212}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0213 Failure to Appear for a Contested Case {#sec-04-ncac-09b-.0213 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0213}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0214 Consolidation of Contested Cases {#sec-04-ncac-09b-.0214 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0214}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0215 Intervention of a New Party Into a Contested Case {#sec-04-ncac-09b-.0215 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0215}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0216 Disqualification of Hearing Officer {#sec-04-ncac-09b-.0216 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0216}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0217 Subpoenas {#sec-04-ncac-09b-.0217 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0217}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09B .0218 Public Inspection of Files {#sec-04-ncac-09b-.0218 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09B .0218}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2; 150B-2(2); 150B-11(2),(3)
150B-12; 150B-23; 150B-23(d); 150B-25; 150B-25(a); 150B-25(b); 150B-26; 150B-28
150B-29; 150B-32(b),(c); 150B-33(2),(5),(6)
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

Subchapter C

04 NCAC 09C .0101 Application to Organize a Savings and Loan Association {#sec-04-ncac-09c-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0101}

History

Status: repealed
Authority G.S. 54-1; 54-2; 54-7; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-9; 54A-18
150B-12
Eff. February 1, 1976
Amended Eff. March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0102 Guidelines in Considering Application {#sec-04-ncac-09c-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0102}

History

Status: repealed
Authority G.S. 54-1; 54-2; 54-7; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-9; 54A-18
150B-12
Eff. February 1, 1976
Amended Eff. March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0103 Restriction on Stock Ownership {#sec-04-ncac-09c-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0103}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-12
Eff. November 7, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0104 Guidelines in Processing New Charter Applications {#sec-04-ncac-09c-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0104}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-3
Eff. June 1, 1978
Amended Eff. May 15, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09C .0105 Guideline for Filing New Charter Applications {#sec-04-ncac-09c-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0105}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. June 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0106 Corporate Name {#sec-04-ncac-09c-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0106}

History

Status: repealed
Authority G.S. 54-2; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-10; 54A-18; 150B-12
Eff. September 1, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0201 Application to Establish a Branch Office {#sec-04-ncac-09c-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0201}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0202 Guidelines in Considering Application {#sec-04-ncac-09c-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0202}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0203 Guidelines for Filing Branch Applications {#sec-04-ncac-09c-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0203}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. June 15, 1979
Amended Eff. March 1, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09C .0204 Opening a Branch Office {#sec-04-ncac-09c-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0204}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. March 1, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09C .0301 Organization and Classification of Directors {#sec-04-ncac-09c-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0301}

History

Status: repealed
Authority G.S. 54-2; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0302 Composition of Board of Directors {#sec-04-ncac-09c-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0302}

History

Status: repealed
Authority G.S. 54-2; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0303 Vacancies on Board of Directors {#sec-04-ncac-09c-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0303}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0304 Meetings of Directors {#sec-04-ncac-09c-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0304}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0305 Liability of Directors to Association {#sec-04-ncac-09c-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0305}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0306 Duty of Directors and Officers to Association {#sec-04-ncac-09c-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0306}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0307 Loan Committee {#sec-04-ncac-09c-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0307}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0308 Officers and Employees {#sec-04-ncac-09c-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0308}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0309 Restrictions Involving Loan Services {#sec-04-ncac-09c-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0309}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0310 Insider Loans {#sec-04-ncac-09c-.0310 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0310}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0311 Prohibited Transactions {#sec-04-ncac-09c-.0311 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0311}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0312 Indemnity Bonds {#sec-04-ncac-09c-.0312 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0312}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0313 Expenses of Litigation {#sec-04-ncac-09c-.0313 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0313}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0314 Bylaws {#sec-04-ncac-09c-.0314 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0314}

History

Status: repealed
Authority G.S. 54-7; 54-18.3; 54-19; 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54-33.3
54A-2; 54A-3; 54A-18; 55-27; 55-28; 55-32; 55-34; 55-35; 150B-12
Eff. March 15, 1979
Amended Eff. March 1, 1981; April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0401 Voting by Proxy {#sec-04-ncac-09c-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0401}

History

Status: repealed
Authority G.S. 54-7; 54-24; 54-24.1; 54-33.2; 54A-2; 54A-3; 54A-18; 55-68
150B-12
Eff. February 1, 1976
Amended Eff. March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0402 Form of Proxy {#sec-04-ncac-09c-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0402}

History

Status: repealed
Authority G.S. 54-7; 54-24; 54-24.1; 54-33.2; 54A-2; 54A-3; 54A-18; 55-68
150B-12
Eff. February 1, 1976
Amended Eff. March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0403 Holders of Proxies {#sec-04-ncac-09c-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0403}

History

Status: repealed
Authority G.S. 54-7; 54-24; 54-24.1; 54-33.2; 54A-2; 54A-3; 54A-18; 55-68
150B-12
Eff. February 1, 1976
Amended Eff. March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0404 Proxy Solicitation {#sec-04-ncac-09c-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0404}

History

Status: repealed
Authority G.S. 54-7; 54-24; 54-24.1; 54-33.2; 54A-2; 54A-3; 54A-18; 55-68
150B-12
Eff. February 1, 1976
Amended Eff. March 15, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09C .0501 General Policies {#sec-04-ncac-09c-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0501}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2
Eff. February 1, 1976
Amended Eff. June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09C .0502 Retention: Reproduction and Disposition of Records {#sec-04-ncac-09c-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0502}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.1; 54-33.2
Eff. February 1, 1976
Amended Eff. June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09C .0601 General Provisions {#sec-04-ncac-09c-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0601}

History

Status: repealed
Authority G.S. 54-2; 54-18.3; 54-18.5; 54-19; 54-20; 54-21; 54-21.1; 54-21.2
54-21.3; 54-21.4; 54-22; 54-23; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; September 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0602 Insurance of Savings Accounts {#sec-04-ncac-09c-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0602}

History

Status: repealed
Authority G.S. 54-2; 54-18.3; 54-18.5; 54-19; 54-20; 54-21; 54-21.1; 54-21.2
54-21.3; 54-21.4; 54-22; 54-23; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; September 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0603 Insured and Guaranteed Loans {#sec-04-ncac-09c-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0603}

History

Status: repealed
Authority G.S. 54-2; 54-18.3; 54-18.5; 54-19; 54-20; 54-21; 54-21.1; 54-21.2
54-21.3; 54-21.4; 54-22; 54-23; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; September 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0604 Dealing with Successors in Interest {#sec-04-ncac-09c-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0604}

History

Status: repealed
Authority G.S. 54-2; 54-18.3; 54-18.5; 54-19; 54-20; 54-21; 54-21.1; 54-21.2
54-21.3; 54-21.4; 54-22; 54-23; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; September 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0605 Property Improvement and Small Loans {#sec-04-ncac-09c-.0605 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0605}

History

Status: repealed
Authority G.S. 54-2; 54-18.3; 54-18.5; 54-19; 54-20; 54-21; 54-21.1; 54-21.2
54-21.3; 54-21.4; 54-22; 54-23; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; September 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0606 Purchase Money Financing of Mobile Homes {#sec-04-ncac-09c-.0606 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0606}

History

Status: repealed
Authority G.S. 54-2; 54-18.3; 54-18.5; 54-19; 54-20; 54-21; 54-21.1; 54-21.2
54-21.3; 54-21.4; 54-22; 54-23; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; September 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0607 Power to Purchase Loans and to Lend Upon Loans {#sec-04-ncac-09c-.0607 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0607}

History

Status: repealed
Authority G.S. 54-2; 54-18.3; 54-18.5; 54-19; 54-20; 54-21; 54-21.1; 54-21.2
54-21.3; 54-21.4; 54-22; 54-23; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; September 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0608 Participation Loans {#sec-04-ncac-09c-.0608 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0608}

History

Status: repealed
Authority G.S. 54-2; 54-18.3; 54-18.5; 54-19; 54-20; 54-21; 54-21.1; 54-21.2
54-21.3; 54-21.4; 54-22; 54-23; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; September 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0609 Sale of Loans {#sec-04-ncac-09c-.0609 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0609}

History

Status: repealed
Authority G.S. 54-2; 54-18.3; 54-18.5; 54-19; 54-20; 54-21; 54-21.1; 54-21.2
54-21.3; 54-21.4; 54-22; 54-23; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; September 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0610 Servicing Loans {#sec-04-ncac-09c-.0610 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0610}

History

Status: repealed
Authority G.S. 54-2; 54-18.3; 54-18.5; 54-19; 54-20; 54-21; 54-21.1; 54-21.2
54-21.3; 54-21.4; 54-22; 54-23; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. September 1, 1980; September 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09C .0611 Retirement or Reduction of Permanent Capital Reserve {#sec-04-ncac-09c-.0611 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0611}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 54A-19; 150B-12
Eff. April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0612 Dividends by a Stock-Owned Savings and Loan Association {#sec-04-ncac-09c-.0612 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0612}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 54A-19; 150B-12
Eff. April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0613 Credit Cards {#sec-04-ncac-09c-.0613 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0613}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. September 1, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0701 Notice of Annual Meeting Required {#sec-04-ncac-09c-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0701}

History

Status: repealed
Authority G.S. 54-10; 54-24; 54-24.1; 54-33.2; 55-68
Eff. June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09C .0702 Notice by Publication {#sec-04-ncac-09c-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0702}

History

Status: repealed
Authority G.S. 54-10; 54-24; 54-24.1; 54-33.2; 55-68
Eff. June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09C .0703 Additional Notice Required {#sec-04-ncac-09c-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0703}

History

Status: repealed
Authority G.S. 54-10; 54-24; 54-24.1; 54-33.2; 55-68
Eff. June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09C .0704 Contents of Additional Notice {#sec-04-ncac-09c-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0704}

History

Status: repealed
Authority G.S. 54-10; 54-24; 54-24.1; 54-33.2; 55-68
Eff. June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09C .0801 List of Stockholders to Be Kept {#sec-04-ncac-09c-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0801}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-2; 54A-3; 54A-10; 54A-18; 150B-12
Eff. October 1, 1978
Amended Eff. September 1, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0802 Certificates for Shares {#sec-04-ncac-09c-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0802}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-2; 54A-3; 54A-10; 54A-18; 150B-12
Eff. October 1, 1978
Amended Eff. September 1, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0803 Transfer of Shares {#sec-04-ncac-09c-.0803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0803}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-2; 54A-3; 54A-10; 54A-18; 150B-12
Eff. October 1, 1978
Amended Eff. September 1, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09C .0804 When Stock May Be Held by Financial Institutions {#sec-04-ncac-09c-.0804 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09C .0804}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-3; 54A-10; 54A-18; 150B-12
Eff. April 15, 1980
Repealed Eff. August 31, 1981.

Subchapter D

04 NCAC 09D .0101 Evidence of Ownership {#sec-04-ncac-09d-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0101}

History

Status: repealed
Authority G.S. 54-18.3; 54-18.5; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. March 1, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09D .0102 Duplicate Certificates and Passbooks {#sec-04-ncac-09d-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0102}

History

Status: repealed
Authority G.S. 54-18.3; 54-18.5; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. March 1, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09D .0103 Third Party Payment Orders or Authorizations {#sec-04-ncac-09d-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0103}

History

Status: repealed
Authority G.S. 54-18.3; 54-18.5; 54-24; 54-24.1; 54-33.2; 54A-2; 54A-3; 150B-12
Eff. June 1, 1979
Amended Eff. December 31, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09D .0104 Negotiable Order of Withdrawal Accounts {#sec-04-ncac-09d-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0104}

History

Status: repealed
Authority G.S. 54-18.3; 54-18.5; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. December 31, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09D .0105 Non-Interest-Bearing Negotiable Order Withdrawal Accounts {#sec-04-ncac-09d-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0105}

History

Status: repealed
Authority G.S. 54-18.3; 54-18.5; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. December 31, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09D .0106 Holding of Certificate or Passbook {#sec-04-ncac-09d-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0106}

History

Status: repealed
Authority G.S. 41-2.1; 54-18.1; 54-18.3; 54-18.5; 54-24; 54-24.1; 54-33.2; 54A-3
54A-18; 150B-12
Eff. March 1, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09D .0107 Signature Cards {#sec-04-ncac-09d-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0107}

History

Status: repealed
Authority G.S. 41-2.1; 54-18.1; 54-18.3; 54-18.5; 54-24; 54-24.1; 54-33.2; 54A-3
54A-18; 150B-12
Eff. March 1, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09D .0108 Joint Savings Accounts {#sec-04-ncac-09d-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0108}

History

Status: repealed
Authority G.S. 41-2.1; 54-18.1; 54-18.3; 54-18.5; 54-24; 54-24.1; 54-33.2; 54A-3
54A-18; 150B-12
Eff. March 1, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09D .0201 Classes of Shares {#sec-04-ncac-09d-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0201}

History

Status: repealed
Authority G.S. 41-2.1; 54-14; 54-15; 54-18; 54-18.1; 54-18.3; 54-18.5; 54-42
54-43
Eff. February 1, 1976
Repealed Eff. March 1, 1981.

04 NCAC 09D .0202 Certificates and Pass Books {#sec-04-ncac-09d-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0202}

History

Status: repealed
Authority G.S. 41-2.1; 54-14; 54-15; 54-18; 54-18.1; 54-18.3; 54-18.5; 54-42
54-43
Eff. February 1, 1976
Repealed Eff. March 1, 1981.

04 NCAC 09D .0301 Election {#sec-04-ncac-09d-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0301}

History

Status: repealed
Authority G.S. 54-17; 54-18.3; 54-18.5; S.L. 1969, Ch. 449
Eff. March 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09D .0302 Membership: Rights {#sec-04-ncac-09d-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0302}

History

Status: repealed
Authority G.S. 54-17; 54-18.3; 54-18.5; S.L. 1969, Ch. 449
Eff. March 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09D .0303 Evidence of Account {#sec-04-ncac-09d-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09D .0303}

History

Status: repealed
Authority G.S. 54-17; 54-18.3; 54-18.5; S.L. 1969, Ch. 449
Eff. March 15, 1978
Repealed Eff. August 31, 1981.

Subchapter E

04 NCAC 09E .0101 Manner of Making Loans: Security Required {#sec-04-ncac-09e-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0101}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0102 Direct Reduction of Principal {#sec-04-ncac-09e-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0102}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0103 Insured and Guaranteed Loans {#sec-04-ncac-09e-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0103}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0104 Appraisals {#sec-04-ncac-09e-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0104}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0105 Loans to One Borrower {#sec-04-ncac-09e-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0105}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0106 Purchase of Loans {#sec-04-ncac-09e-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0106}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0107 Loans for Improvement: Repairing and Equipping {#sec-04-ncac-09e-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0107}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0108 Appraisals with Respect to Supervisory Examinations {#sec-04-ncac-09e-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0108}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0109 Records with Respect to Mortgage Loans {#sec-04-ncac-09e-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0109}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0110 Sale of Loans {#sec-04-ncac-09e-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0110}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0111 Advances for Taxes and Insurance Premiums {#sec-04-ncac-09e-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0111}

History

Status: repealed
Authority G.S. 24-1.2; 54-19; 54-20; 54-21; 54-21.1; 54-21.4; 54-24; 54-24.1
54-33.1; 54-33.2; 54A-3; 54A-18; 150B-12; 54-33.2
Eff. February 1, 1976
Amended Eff. December 15, 1980; September 1, 1980; July 16, 1979; June 15, 1978
Repealed Eff. August 31, 1981.

04 NCAC 09E .0201 General Provisions {#sec-04-ncac-09e-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0201}

History

Status: repealed
Authority G.S. 54-19; 54-24; 54-24.1; 54-33.2
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

History

Status: repealed
Authority G.S. 54-19; 54-24; 54-24.1; 54-33.2
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09E .0203 Acceptability of Stock as Security {#sec-04-ncac-09e-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0203}

History

Status: repealed
Authority G.S. 54-19; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. April 15, 1980
Amended Eff. May 15, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09E .0301 Fees and Charges {#sec-04-ncac-09e-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0301}

History

Status: repealed
Authority G.S. 24-1; 24-1.1; 24-1.1A; 24-1.2; 24-8; 24-10; 54-24; 54-24.1; 54-33.1
54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09E .0302 Settlement Statement {#sec-04-ncac-09e-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0302}

History

Status: repealed
Authority G.S. 24-1; 24-1.1; 24-1.1A; 24-1.2; 24-8; 24-10; 54-24; 54-24.1; 54-33.1
54-33.2; 54A-3; 54A-18; 150B-12
Eff. February 1, 1976
Amended Eff. August 10, 1979
Repealed Eff. August 31, 1981.

04 NCAC 09E .0303 Selection of Attorney {#sec-04-ncac-09e-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0303}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2
Eff. October 1, 1977
Repealed Eff. August 31, 1981.

04 NCAC 09E .0401 General Provisions {#sec-04-ncac-09e-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0401}

History

Status: repealed
Authority G.S. 45-75; 54-20; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. July 16, 1979
Amended Eff. April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09E .0402 Graduated Payment Mortgage {#sec-04-ncac-09e-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0402}

History

Status: repealed
Authority G.S. 45-75; 54-20; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. July 16, 1979
Amended Eff. April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09E .0403 Variable Rate Mortgage {#sec-04-ncac-09e-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0403}

History

Status: repealed
Authority G.S. 45-75; 54-20; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. July 16, 1979
Amended Eff. April 15, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09E .0404 Reverse-Annuity Mortgage {#sec-04-ncac-09e-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0404}

History

Status: repealed
Authority G.S. 24-1.1A; 45-75; 54-20; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18
150B-12
Eff. April 15, 1980
Amended Eff. September 1, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09E .0405 Roll-Over Mortgage {#sec-04-ncac-09e-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0405}

History

Status: repealed
Authority G.S. 24-1.1A; 45-75; 54-20; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18
150B-12
Eff. April 15, 1980
Amended Eff. September 1, 1980
Repealed Eff. August 31, 1981.

04 NCAC 09E .0406 Fixed-Payment Adjustable-Rate Mortgage Loan {#sec-04-ncac-09e-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0406}

History

Status: repealed
Authority G.S. 54-20; 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. December 15, 1980
Amended Eff. March 1, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09E .0501 General Authority {#sec-04-ncac-09e-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0501}

History

Status: repealed
Authority G.S. 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. December 15, 1980
Amended Eff. March 1, 1981; January 14, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09E .0502 Definitions {#sec-04-ncac-09e-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0502}

History

Status: repealed
Authority G.S. 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. December 15, 1980
Amended Eff. March 1, 1981; January 14, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09E .0503 Loans to One Borrower {#sec-04-ncac-09e-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0503}

History

Status: repealed
Authority G.S. 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. December 15, 1980
Amended Eff. March 1, 1981; January 14, 1981
Repealed Eff. August 31, 1981.

04 NCAC 09E .0504 Interest Rates and Other Provisions {#sec-04-ncac-09e-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09E .0504}

History

Status: repealed
Authority G.S. 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. December 15, 1980
Amended Eff. March 1, 1981; January 14, 1981
Repealed Eff. August 31, 1981.

Subchapter F

04 NCAC 09F .0101 Investments {#sec-04-ncac-09f-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09F .0101}

History

Status: repealed
Authority G.S. 54-21.2; 54-21.3; 54-24; 54-33.2; 54-33.3
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09F .0102 Fiscal Agent {#sec-04-ncac-09f-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09F .0102}

History

Status: repealed
Authority G.S. 54-21.2; 54-21.3; 54-24; 54-33.2; 54-33.3
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09F .0103 Commercial Paper and Corporate Debt Securities {#sec-04-ncac-09f-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09F .0103}

History

Status: repealed
Authority G.S. 54-21.2(b); 54-24; 54-24.1; 54-33.2; 54A-3; 54A-18; 150B-12
Eff. December 15, 1980
Repealed Eff. August 31, 1981.

Subchapter G

04 NCAC 09G .0101 Form Required {#sec-04-ncac-09g-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09G .0101}

History

Status: repealed
Authority G.S. 54-41.1; 105-228.24; 105-228.26; 105-228.27
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09G .0102 Stock and Income Tax Form {#sec-04-ncac-09g-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09G .0102}

History

Status: repealed
Authority G.S. 54-41.1; 105-228.24; 105-228.26; 105-228.27
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

Subchapter H

04 NCAC 09H .0101 Filing Requirements {#sec-04-ncac-09h-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09H .0101}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09H .0102 Activities {#sec-04-ncac-09h-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09H .0102}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09H .0103 Financial Limitations {#sec-04-ncac-09h-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09H .0103}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09H .0104 Unsecured Debt {#sec-04-ncac-09h-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09H .0104}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09H .0105 Secured Debt {#sec-04-ncac-09h-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09H .0105}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09H .0106 Stock in a Service Corporation {#sec-04-ncac-09h-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09H .0106}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09H .0107 Membership of Board of Directors {#sec-04-ncac-09h-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09H .0107}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

04 NCAC 09H .0108 Amendments to Articles of Incorporation or to Bylaws {#sec-04-ncac-09h-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 09H .0108}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2
Eff. February 1, 1976
Repealed Eff. August 31, 1981.

Chapter 13 State Ports Authority

Subchapter A

04 NCAC 13A .0101 Identifying Information {#sec-04-ncac-13a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0101}

History

Status: repealed
Authority G.S. 143B-454(6)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13A .0102 Functions {#sec-04-ncac-13a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0102}

History

Status: repealed
Authority G.S. 143B-453
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13A .0103 Board of State Ports Authority and Secretary of Ecd {#sec-04-ncac-13a-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0103}

History

Status: repealed
Authority G.S. 143B-452; 143B-453; 143B-454;143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. July 1, 1988
Repealed Eff. January 1, 1994.

04 NCAC 13A .0104 Executive Director {#sec-04-ncac-13a-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0104}

History

Status: repealed
Authority G.S. 143B-452; 143B-453; 143B-454;143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. July 1, 1988
Repealed Eff. January 1, 1994.

04 NCAC 13A .0105 Administration of the Authority {#sec-04-ncac-13a-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0105}

History

Status: repealed
Authority G.S. 143B-454(7)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13A .0106 Comptroller Section {#sec-04-ncac-13a-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0106}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(4) through (8); 143B-461 through 143B-463
143B-465; 143-217; 143-218(4) through (8); 143-224 through 143-226; 143-227.1; 143B-353
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13A .0107 Traffic Section {#sec-04-ncac-13a-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0107}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(4) through (8); 143B-461 through 143B-463
143B-465; 143-217; 143-218(4) through (8); 143-224 through 143-226; 143-227.1; 143B-353
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13A .0108 Public Relations Section {#sec-04-ncac-13a-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0108}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(4) through (8); 143B-461 through 143B-463
143B-465; 143-217; 143-218(4) through (8); 143-224 through 143-226; 143-227.1; 143B-353
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13A .0109 Engineering Section {#sec-04-ncac-13a-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0109}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(4) through (8); 143B-461 through 143B-463
143B-465; 143-217; 143-218(4) through (8); 143-224 through 143-226; 143-227.1; 143B-353
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13A .0110 Safety Section {#sec-04-ncac-13a-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0110}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(4) through (8); 143B-461 through 143B-463
143B-465; 143-217; 143-218(4) through (8); 143-224 through 143-226; 143-227.1; 143B-353
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13A .0111 Wilmington Operations {#sec-04-ncac-13a-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0111}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(4) through (8); 143B-461 through 143B-463
143B-465; 143-217; 143-218(4) through (8); 143-224 through 143-226; 143-227.1; 143B-353
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13A .0112 Morehead City Operations {#sec-04-ncac-13a-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0112}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(4) through (8); 143B-461 through 143B-463
143B-465; 143-217; 143-218(4) through (8); 143-224 through 143-226; 143-227.1; 143B-353
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13A .0113 Southport Boat Harbor {#sec-04-ncac-13a-.0113 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0113}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(4) through (8); 143B-461 through 143B-463
143B-465; 143-217; 143-218(4) through (8); 143-224 through 143-226; 143-227.1; 143B-353
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13A .0201 Purposes and Powers {#sec-04-ncac-13a-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0201}

History

Status: repealed
Authority G.S. 143B-453; 143B-454
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13A .0202 Execution of Contracts {#sec-04-ncac-13a-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0202}

History

Status: repealed
Authority G.S. 143B-454
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13A .0203 Real Property and Construction {#sec-04-ncac-13a-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0203}

History

Status: repealed
Authority G.S. 143-129; 143B-454; 143B-455; 143B-457
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13A .0204 Vending Services {#sec-04-ncac-13a-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13A .0204}

History

Status: repealed
Authority G.S. 111-41; 143B-454(1)
Eff. June 18, 1979
Repealed Eff. July 1, 1998.

Subchapter B

04 NCAC 13B .0101 Laws and Rules Governing {#sec-04-ncac-13b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13B .0101}

History

Status: repealed
Authority G.S. 143B-453; 143B-454; 143B-465
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13B .0102 Purchases Exceeding $5,000 {#sec-04-ncac-13b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13B .0102}

History

Status: repealed
Authority G.S. 143-52; 143B-453; 143B-454; 143B-465
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13B .0103 Purchases Not Exceeding $5,000: Certification Contracts {#sec-04-ncac-13b-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13B .0103}

History

Status: repealed
Authority G.S. 143B-453; 143B-454; 143B-465
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13B .0104 Purchases Not Exceeding $5,000: Informal Quotations {#sec-04-ncac-13b-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13B .0104}

History

Status: repealed
Authority G.S. 143B-453; 143B-454; 143B-465
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13B .0105 Purchases Not Exceeding $5,000: Monthly Account Orders {#sec-04-ncac-13b-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13B .0105}

History

Status: repealed
Authority G.S. 143B-453; 143B-454; 143B-465
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

Subchapter C

04 NCAC 13C .0101 Lease of Southport Boat Harbor {#sec-04-ncac-13c-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13C .0101}

History

Status: repealed
Authority G.S. 143B-454(3); 143B-455
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13C .0102 Agreement with Boat Owners {#sec-04-ncac-13c-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13C .0102}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(6),(7); 143-218(6),(7)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13C .0103 Regulations for Boat Owners {#sec-04-ncac-13c-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13C .0103}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(6),(7); 143-218(6),(7)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13C .0104 Availability of Rates and Regulations {#sec-04-ncac-13c-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13C .0104}

History

Status: repealed
Authority G.S. 143B-453; 143B-454(6),(7); 143-218(6),(7)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

Subchapter D

04 NCAC 13D .0101 Publication of Port Charges Tariff {#sec-04-ncac-13d-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0101}

History

Status: repealed
Authority G.S. 143B-453; 143B-454; 150B-14
Eff. February 1, 1976
Readopted Eff. June 18, 1979
ARRC Objection Lodged January 19, 1989
Amended Eff. July 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13D .0102 Application of Tariff {#sec-04-ncac-13d-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0102}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0103 Authority Held Harmless {#sec-04-ncac-13d-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0103}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0104 Authority Liability {#sec-04-ncac-13d-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0104}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0105 Authority Rights {#sec-04-ncac-13d-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0105}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0106 Discharging Ballast: Rubbish: or Dunnage {#sec-04-ncac-13d-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0106}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0107 Fire Signal and Smoking Restrictions {#sec-04-ncac-13d-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0107}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0108 Holidays {#sec-04-ncac-13d-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0108}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0109 Insurance {#sec-04-ncac-13d-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0109}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0110 Payment of Charges and Invoices {#sec-04-ncac-13d-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0110}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0111 Quotation of Special Rates: Rules: and Regulations {#sec-04-ncac-13d-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0111}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0112 Cargo or Merchandise Refused: Undesirable: Damaged: Etc. {#sec-04-ncac-13d-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0112}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0113 Regular Working Hours {#sec-04-ncac-13d-.0113 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0113}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0114 Requirement of Prior Instructions {#sec-04-ncac-13d-.0114 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0114}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0115 Responsibility for Cleaning Facilities {#sec-04-ncac-13d-.0115 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0115}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0116 Responsibility for Damage to Facilities {#sec-04-ncac-13d-.0116 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0116}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0117 Segregation of Import Cargoes {#sec-04-ncac-13d-.0117 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0117}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0118 Shippers Request and Complaints {#sec-04-ncac-13d-.0118 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0118}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0119 Storage of Cruise Passenger's Private Vehicles {#sec-04-ncac-13d-.0119 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0119}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0120 Ton Definition {#sec-04-ncac-13d-.0120 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0120}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0201 Definition {#sec-04-ncac-13d-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0201}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. July 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0202 Free Time Allowed {#sec-04-ncac-13d-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0202}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. July 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0301 Definition {#sec-04-ncac-13d-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0301}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0302 Delays and Detentions {#sec-04-ncac-13d-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0302}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0303 Rates {#sec-04-ncac-13d-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0303}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0401 Definition {#sec-04-ncac-13d-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0401}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0402 Rates {#sec-04-ncac-13d-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0402}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0501 Supervisory Personnel {#sec-04-ncac-13d-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0501}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0502 Equipment Rental {#sec-04-ncac-13d-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0502}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0503 Gantry Crane Rental {#sec-04-ncac-13d-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0503}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0504 Labor Furnished Rates {#sec-04-ncac-13d-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0504}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0505 Minimum Charges {#sec-04-ncac-13d-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0505}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0506 Overtime Charges {#sec-04-ncac-13d-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0506}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0507 Passengers Fees {#sec-04-ncac-13d-.0507 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0507}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0508 Special Services {#sec-04-ncac-13d-.0508 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0508}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0509 Steamship Agency and Stevedore Fees {#sec-04-ncac-13d-.0509 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0509}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0510 Terminal Use Charge {#sec-04-ncac-13d-.0510 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0510}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0511 Cleaning Docks and Removing Trash {#sec-04-ncac-13d-.0511 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0511}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0512 Stand-by Services on Frozen or Perishable Commodities {#sec-04-ncac-13d-.0512 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0512}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. December 15, 1976; October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0601 Intra-Terminal Switching Service: Definition {#sec-04-ncac-13d-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0601}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0602 Rates {#sec-04-ncac-13d-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0602}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0603 Stand-by Use of Engine Service: Definition {#sec-04-ncac-13d-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0603}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0604 Rates: Stand-by Use {#sec-04-ncac-13d-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0604}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0701 Application of Rules and Charges {#sec-04-ncac-13d-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0701}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0702 Definition {#sec-04-ncac-13d-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0702}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0703 Free Time Allowed {#sec-04-ncac-13d-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0703}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0704 Open Storage Rates {#sec-04-ncac-13d-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0704}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0705 Handling Rates {#sec-04-ncac-13d-.0705 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0705}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0706 Wharfage {#sec-04-ncac-13d-.0706 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0706}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0801 Definition {#sec-04-ncac-13d-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0801}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0802 Rates {#sec-04-ncac-13d-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0802}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0901 Handling: Definition {#sec-04-ncac-13d-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0901}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976; July 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0902 Handling Rules {#sec-04-ncac-13d-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0902}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976; July 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0903 Transfer Definition {#sec-04-ncac-13d-.0903 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0903}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976; July 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0904 Transfer Rules {#sec-04-ncac-13d-.0904 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0904}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976; July 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0905 Unitized and Skidded Cargoes Definition {#sec-04-ncac-13d-.0905 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0905}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976; July 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0906 Storage Definition {#sec-04-ncac-13d-.0906 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0906}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976; July 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0907 Storage Rules {#sec-04-ncac-13d-.0907 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0907}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976; July 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .0908 Rates Charged {#sec-04-ncac-13d-.0908 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .0908}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976; July 1, 1976; February 19, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .1001 General Application {#sec-04-ncac-13d-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .1001}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .1002 Free Time {#sec-04-ncac-13d-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .1002}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .1003 Computation of Storage {#sec-04-ncac-13d-.1003 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .1003}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .1004 Rates and Charges {#sec-04-ncac-13d-.1004 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .1004}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .1101 Application {#sec-04-ncac-13d-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .1101}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .1102 Receipt and Delivery {#sec-04-ncac-13d-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .1102}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .1103 Rates and Charges {#sec-04-ncac-13d-.1103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .1103}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .1201 Services and Charges {#sec-04-ncac-13d-.1201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .1201}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .1202 Transit Tobaccos {#sec-04-ncac-13d-.1202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .1202}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13D .1203 Wharfage {#sec-04-ncac-13d-.1203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13D .1203}

History

Status: repealed
Authority G.S. 143B-454; 143-218
Eff. February 1, 1976
Amended Eff. October 1, 1976
Repealed Eff. June 18, 1979.

Subchapter E

04 NCAC 13E .0101 Title {#sec-04-ncac-13e-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0101}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0102 Adoption {#sec-04-ncac-13e-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0102}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0103 Ordination {#sec-04-ncac-13e-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0103}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0201 Statutory Definitions {#sec-04-ncac-13e-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0201}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. July 1, 1988
Repealed Eff. July 1, 1998.

04 NCAC 13E .0202 Definitions: Authority Ordinances {#sec-04-ncac-13e-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0202}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0301 Duties of Police Departments {#sec-04-ncac-13e-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0301}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0302 Duties of Port Managers {#sec-04-ncac-13e-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0302}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13E .0303 Duties: Terminal Traffic Engineer {#sec-04-ncac-13e-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0303}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13E .0304 Testing: Traffic Control Devices {#sec-04-ncac-13e-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0304}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13E .0305 Traffic Committees Established {#sec-04-ncac-13e-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0305}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13E .0306 Duties of Traffic Committees {#sec-04-ncac-13e-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0306}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13E .0401 Enforcement by Police Officers {#sec-04-ncac-13e-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0401}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0402 Direction of Traffic by Police Officers {#sec-04-ncac-13e-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0402}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0403 Operation of Emergency Vehicle {#sec-04-ncac-13e-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0403}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0404 Right of Way: Emergency Vehicle {#sec-04-ncac-13e-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0404}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0405 Collisions: Reports and Investigations {#sec-04-ncac-13e-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0405}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0501 Placement and Maintenance {#sec-04-ncac-13e-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0501}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13E .0502 Standards and Specifications {#sec-04-ncac-13e-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0502}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0601 Speed Limits {#sec-04-ncac-13e-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0601}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0602 Vehicles with Lugs Restricted {#sec-04-ncac-13e-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0602}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0603 Erection of Traffic Control Signs {#sec-04-ncac-13e-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0603}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13E .0701 Smoking Restrictions {#sec-04-ncac-13e-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0701}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13E .0702 Fire Arms Prohibited {#sec-04-ncac-13e-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0702}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0703 Penalty Upon Conviction {#sec-04-ncac-13e-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0703}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13E .0801 Penalties Upon Conviction {#sec-04-ncac-13e-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0801}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. July 1, 1998.

04 NCAC 13E .0802 Penalty: Parking Violations {#sec-04-ncac-13e-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0802}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13E .0803 Registration of Vehicles and Gate Procedure {#sec-04-ncac-13e-.0803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0803}

History

Status: repealed
Authority G.S. 143B-461
Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13E .0901 Wilmington Ordinance Schedules {#sec-04-ncac-13e-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0901}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1994; January 1, 1994; March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13E .0902 Morehead City Ordinance Schedules {#sec-04-ncac-13e-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13E .0902}

History

Status: repealed
Authority G.S. 143B-461
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

Subchapter F

04 NCAC 13F .0101 General {#sec-04-ncac-13f-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0101}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0102 Assignment of Responsibilities {#sec-04-ncac-13f-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0102}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0103 Utilization Analysis {#sec-04-ncac-13f-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0103}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0104 Goals and Timetables {#sec-04-ncac-13f-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0104}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0105 Internal Evaluation {#sec-04-ncac-13f-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0105}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0106 Reporting Procedures {#sec-04-ncac-13f-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0106}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0107 Job Structuring {#sec-04-ncac-13f-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0107}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0108 Selection and Placement {#sec-04-ncac-13f-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0108}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0109 Recruitment {#sec-04-ncac-13f-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0109}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0110 Sources of Recruitment {#sec-04-ncac-13f-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0110}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0111 Employment Applications on File {#sec-04-ncac-13f-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0111}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0112 Records and Reports {#sec-04-ncac-13f-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0112}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0113 Promotions and Transfer Policies and Procedures {#sec-04-ncac-13f-.0113 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0113}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13F .0114 Employment Termination Policies and Procedures {#sec-04-ncac-13f-.0114 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0114}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13F .0115 Grievance Procedures {#sec-04-ncac-13f-.0115 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0115}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0116 Implementation Program {#sec-04-ncac-13f-.0116 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0116}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0117 Equal Employment Opportunity Goals {#sec-04-ncac-13f-.0117 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0117}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0118 Utilization of Skills of Present Employees {#sec-04-ncac-13f-.0118 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0118}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0119 Wage and Salary Structure {#sec-04-ncac-13f-.0119 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0119}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0120 Benefits and Conditions of Employment {#sec-04-ncac-13f-.0120 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0120}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0121 Labor Unions {#sec-04-ncac-13f-.0121 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0121}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0122 Outside Contractors {#sec-04-ncac-13f-.0122 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0122}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. March 1, 1989.

04 NCAC 13F .0201 Policy Statement {#sec-04-ncac-13f-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0201}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. November 1, 1982
Repealed Eff. March 1, 1989.

04 NCAC 13F .0202 Appeal Procedure {#sec-04-ncac-13f-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0202}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. November 1, 1982
Repealed Eff. March 1, 1989.

04 NCAC 13F .0301 General {#sec-04-ncac-13f-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0301}

History

Status: repealed
Authority G.S. 143B-454(5); 150B-14
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13F .0302 Personnel Questions {#sec-04-ncac-13f-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0302}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Amended Eff. March 1, 1989
Repealed Eff. July 1, 1998.

04 NCAC 13F .0303 Recruitment: Evaluation: and Referral {#sec-04-ncac-13f-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0303}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13F .0304 Grievances {#sec-04-ncac-13f-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0304}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13F .0305 Posting of Policy {#sec-04-ncac-13f-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0305}

History

Status: repealed
Authority G.S. 143B-454(5)
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13F .0306 Qualifications {#sec-04-ncac-13f-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0306}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0307 Employment of Relatives {#sec-04-ncac-13f-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0307}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0308 Commitments {#sec-04-ncac-13f-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0308}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0309 Age Limitations and Retirement {#sec-04-ncac-13f-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0309}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0310 Medical Examination Procedure {#sec-04-ncac-13f-.0310 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0310}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0311 Re-Employment {#sec-04-ncac-13f-.0311 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0311}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0312 Minimum Age {#sec-04-ncac-13f-.0312 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0312}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0313 Work Schedule {#sec-04-ncac-13f-.0313 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0313}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0314 Limitations {#sec-04-ncac-13f-.0314 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0314}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0315 Employment of the Mentally Retarded {#sec-04-ncac-13f-.0315 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0315}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0401 Pay Status {#sec-04-ncac-13f-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0401}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0402 Total Compensation and Total Employment {#sec-04-ncac-13f-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0402}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0403 Overtime Pay {#sec-04-ncac-13f-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0403}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0404 Availability of Funds {#sec-04-ncac-13f-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0404}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0405 New Appointments: Salary Rate {#sec-04-ncac-13f-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0405}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0406 New Appointments: Date to Begin Work {#sec-04-ncac-13f-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0406}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0407 New Appointments: Increment Anniversary Date {#sec-04-ncac-13f-.0407 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0407}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0408 New Appointments: Qualifications {#sec-04-ncac-13f-.0408 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0408}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0409 New Appointments: Trainee Appointments {#sec-04-ncac-13f-.0409 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0409}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0410 Application for Employment: Form P-105 {#sec-04-ncac-13f-.0410 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0410}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0411 Application: Completeness and Signature {#sec-04-ncac-13f-.0411 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0411}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0412 Promotion: General {#sec-04-ncac-13f-.0412 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0412}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0413 Promotion: Salary Rate {#sec-04-ncac-13f-.0413 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0413}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0414 Promotion: Effective Date {#sec-04-ncac-13f-.0414 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0414}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0415 Promotion: Increment Anniversary Date {#sec-04-ncac-13f-.0415 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0415}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0416 Promotion: Qualifications {#sec-04-ncac-13f-.0416 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0416}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0417 Demotion: General {#sec-04-ncac-13f-.0417 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0417}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0418 Demotion: Effective Date {#sec-04-ncac-13f-.0418 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0418}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0419 Demotion: Qualifications {#sec-04-ncac-13f-.0419 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0419}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0420 Reallocation {#sec-04-ncac-13f-.0420 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0420}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0421 Salary Range Revision {#sec-04-ncac-13f-.0421 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0421}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0422 Overtime Payment {#sec-04-ncac-13f-.0422 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0422}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0423 Transfer {#sec-04-ncac-13f-.0423 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0423}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0424 Reinstatement {#sec-04-ncac-13f-.0424 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0424}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0425 Annual Salary Increases {#sec-04-ncac-13f-.0425 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0425}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0426 Outside Employment {#sec-04-ncac-13f-.0426 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0426}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0427 Longevity Pay {#sec-04-ncac-13f-.0427 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0427}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0428 Emergency Call-Back Pay {#sec-04-ncac-13f-.0428 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0428}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0429 Other Types of Employment {#sec-04-ncac-13f-.0429 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0429}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0501 Generally {#sec-04-ncac-13f-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0501}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0502 Annual Leave {#sec-04-ncac-13f-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0502}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0503 Sick Leave {#sec-04-ncac-13f-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0503}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0504 Funeral Leave {#sec-04-ncac-13f-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0504}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0505 Petty Leave {#sec-04-ncac-13f-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0505}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0506 Leave-Adverse Weather Conditions {#sec-04-ncac-13f-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0506}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0507 Education Leave {#sec-04-ncac-13f-.0507 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0507}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0508 Civil Leave {#sec-04-ncac-13f-.0508 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0508}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0509 Workmen's Compensation Leave {#sec-04-ncac-13f-.0509 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0509}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0510 Holidays {#sec-04-ncac-13f-.0510 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0510}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0511 Military Leave {#sec-04-ncac-13f-.0511 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0511}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0512 Maternity Leave {#sec-04-ncac-13f-.0512 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0512}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0513 Other Types of Leave Without Pay {#sec-04-ncac-13f-.0513 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0513}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0514 Separation {#sec-04-ncac-13f-.0514 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0514}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0515 Leave Without Pay {#sec-04-ncac-13f-.0515 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0515}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5), (12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0601 Policy {#sec-04-ncac-13f-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0601}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0602 Posting of Policy {#sec-04-ncac-13f-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0602}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0603 Procedure {#sec-04-ncac-13f-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0603}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

04 NCAC 13F .0604 Disciplinary Action: Suspension: and Dismissal {#sec-04-ncac-13f-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13F .0604}

History

Status: repealed
Authority G.S. 143B-454(5); 143-218(5),(12)
Eff. February 1, 1976
Repealed Eff. June 18, 1979.

Subchapter G

04 NCAC 13G .0101 Procedural Requirements {#sec-04-ncac-13g-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0101}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-10
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0102 Statutory Provisions {#sec-04-ncac-13g-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0102}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-10
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0103 Rule Making and Administrative Hearing Procedures {#sec-04-ncac-13g-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0103}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-14
Eff. November 1, 1982
Repealed Eff. July 1, 1988.

04 NCAC 13G .0201 Filing Petition {#sec-04-ncac-13g-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0201}

History

Status: repealed
Authority G.S. 143B-454; 150B-16
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0202 Contents of Petition {#sec-04-ncac-13g-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0202}

History

Status: repealed
Authority G.S. 143B-454; 150B-16
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0203 Transmittal of Petition {#sec-04-ncac-13g-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0203}

History

Status: repealed
Authority G.S. 143B-454; 150B-16
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0204 Consideration of Petition {#sec-04-ncac-13g-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0204}

History

Status: repealed
Authority G.S. 143B-454; 150B-16
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0205 Decision on Petition {#sec-04-ncac-13g-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0205}

History

Status: repealed
Authority G.S. 143B-454; 150B-16
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0301 Notice Required {#sec-04-ncac-13g-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0301}

History

Status: repealed
Authority G.S. 143B-454; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0302 Request for Notice {#sec-04-ncac-13g-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0302}

History

Status: repealed
Authority G.S. 143B-454; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0303 Further Information {#sec-04-ncac-13g-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0303}

History

Status: repealed
Authority G.S. 143B-454; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0401 Rulemaking Hearing Generally {#sec-04-ncac-13g-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0401}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0402 Request to Make Oral Presentation {#sec-04-ncac-13g-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0402}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0403 Contents of Request {#sec-04-ncac-13g-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0403}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0404 Acknowledgement of Receipt {#sec-04-ncac-13g-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0404}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0405 Waiver of Notice {#sec-04-ncac-13g-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0405}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0406 Duration of Oral Presentation {#sec-04-ncac-13g-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0406}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0407 Written Presentations {#sec-04-ncac-13g-.0407 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0407}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0408 Conduct of Hearing {#sec-04-ncac-13g-.0408 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0408}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0409 Hearing Officer {#sec-04-ncac-13g-.0409 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0409}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0410 Report of Hearing Officer or Board {#sec-04-ncac-13g-.0410 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0410}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0411 Adoption of Rule {#sec-04-ncac-13g-.0411 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0411}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0412 Record of Proceedings {#sec-04-ncac-13g-.0412 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0412}

History

Status: repealed
Authority G.S. 143B-454; 150B-9; 150B-12
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0501 Request for Declaratory Ruling {#sec-04-ncac-13g-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0501}

History

Status: repealed
Authority G.S. 143B-454; 150B-17
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0502 Contents of Request {#sec-04-ncac-13g-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0502}

History

Status: repealed
Authority G.S. 143B-454; 150B-17
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0503 Transmittal of Request {#sec-04-ncac-13g-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0503}

History

Status: repealed
Authority G.S. 143B-454; 150B-17
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0504 Denial or Granting of Request {#sec-04-ncac-13g-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0504}

History

Status: repealed
Authority G.S. 143B-454; 150B-17
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0505 Basis for Denial of Request {#sec-04-ncac-13g-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0505}

History

Status: repealed
Authority G.S. 143B-454; 150B-17
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0506 Procedure {#sec-04-ncac-13g-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0506}

History

Status: repealed
Authority G.S. 143B-454; 150B-17
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0601 Rules {#sec-04-ncac-13g-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0601}

History

Status: repealed
Authority G.S. 143B-454; 150B-11; 150B-14
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0602 Orders: Decisions: Opinions and Declaratory Rulings {#sec-04-ncac-13g-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0602}

History

Status: repealed
Authority G.S. 143B-454; 150B-11; 150B-14
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13G .0603 Matter Adopted by Reference {#sec-04-ncac-13g-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13G .0603}

History

Status: repealed
Authority G.S. 143B-454; 150B-11; 150B-14
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

Subchapter H

04 NCAC 13H .0101 Applicability of This Subchapter {#sec-04-ncac-13h-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0101}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0102 Statutory Provisions {#sec-04-ncac-13h-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0102}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0201 Informal Negotiations {#sec-04-ncac-13h-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0201}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0202 Request for Administrative Hearing {#sec-04-ncac-13h-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0202}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0203 Contents of Request {#sec-04-ncac-13h-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0203}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0204 Consideration of and Decision on Request {#sec-04-ncac-13h-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0204}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0205 Denial of Request {#sec-04-ncac-13h-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0205}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0301 Reasonable Notice {#sec-04-ncac-13h-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0301}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0302 Contents of Notice {#sec-04-ncac-13h-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0302}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0401 Types of Intervention {#sec-04-ncac-13h-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0401}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0402 Petition to Intervene {#sec-04-ncac-13h-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0402}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0403 Contents of Petition {#sec-04-ncac-13h-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0403}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0404 Timely Petition {#sec-04-ncac-13h-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0404}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0405 Decision on Petition {#sec-04-ncac-13h-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0405}

History

Status: repealed
Authority G.S. 143B-454; 150B-23
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0501 Appointment {#sec-04-ncac-13h-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0501}

History

Status: repealed
Authority G.S. 143B-454; 150B-32
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0502 Affidavit to Disqualify Hearing Officer {#sec-04-ncac-13h-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0502}

History

Status: repealed
Authority G.S. 143B-454; 150B-32
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0503 Contents of Affidavit {#sec-04-ncac-13h-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0503}

History

Status: repealed
Authority G.S. 143B-454; 150B-32
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0504 Time of Filing {#sec-04-ncac-13h-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0504}

History

Status: repealed
Authority G.S. 143B-454; 150B-32
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0505 Decision on Affidavit {#sec-04-ncac-13h-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0505}

History

Status: repealed
Authority G.S. 143B-454; 150B-32
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0506 Withdrawal of Hearing Officer {#sec-04-ncac-13h-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0506}

History

Status: repealed
Authority G.S. 143B-454; 150B-32
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0601 Power to Subpoena {#sec-04-ncac-13h-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0601}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0602 Request for Subpoena {#sec-04-ncac-13h-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0602}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0603 Contents of Request for Subpoena {#sec-04-ncac-13h-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0603}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0604 Issuance of Subpoena {#sec-04-ncac-13h-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0604}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0605 Service of Subpoena {#sec-04-ncac-13h-.0605 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0605}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0606 Request to Revoke Subpoena {#sec-04-ncac-13h-.0606 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0606}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0607 Contents of Request to Revoke {#sec-04-ncac-13h-.0607 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0607}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0608 Service of Request to Revoke {#sec-04-ncac-13h-.0608 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0608}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0609 Response to Request to Revoke {#sec-04-ncac-13h-.0609 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0609}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0610 Hearing on Subpoena {#sec-04-ncac-13h-.0610 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0610}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0611 Decision on Request to Revoke Subpoena {#sec-04-ncac-13h-.0611 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0611}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0612 Grounds for Revocation of Subpoena {#sec-04-ncac-13h-.0612 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0612}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0613 Enforcement of Subpoena {#sec-04-ncac-13h-.0613 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0613}

History

Status: repealed
Authority G.S. 143B-454; 150B-27
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0701 Pre-Hearing Conference {#sec-04-ncac-13h-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0701}

History

Status: repealed
Authority G.S. 143B-454; 150B-23; 150B-25
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0702 Written Answer to Notice {#sec-04-ncac-13h-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0702}

History

Status: repealed
Authority G.S. 143B-454; 150B-23; 150B-25
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0703 Failure to Appear {#sec-04-ncac-13h-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0703}

History

Status: repealed
Authority G.S. 143B-454; 150B-23; 150B-25
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0704 Reopening a Hearing {#sec-04-ncac-13h-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0704}

History

Status: repealed
Authority G.S. 143B-454; 150B-23; 150B-25
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0705 Continuances {#sec-04-ncac-13h-.0705 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0705}

History

Status: repealed
Authority G.S. 143B-454; 150B-23; 150B-25
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0801 Time for Decision {#sec-04-ncac-13h-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0801}

History

Status: repealed
Authority G.S. 143B-454; 150B-34; 150B-37
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0802 Proposal for Decision {#sec-04-ncac-13h-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0802}

History

Status: repealed
Authority G.S. 143B-454; 150B-34; 150B-37
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0803 Exceptions to Proposal for Decision {#sec-04-ncac-13h-.0803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0803}

History

Status: repealed
Authority G.S. 143B-454; 150B-34; 150B-37
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0804 Request for Oral Hearing on Proposal for Decision {#sec-04-ncac-13h-.0804 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0804}

History

Status: repealed
Authority G.S. 143B-454; 150B-34; 150B-37
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0805 Notice of Oral Hearing {#sec-04-ncac-13h-.0805 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0805}

History

Status: repealed
Authority G.S. 143B-454; 150B-34; 150B-37
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0806 Conduct of Oral Hearing {#sec-04-ncac-13h-.0806 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0806}

History

Status: repealed
Authority G.S. 143B-454; 150B-34; 150B-37
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0807 Decision Following Proposal for Decision {#sec-04-ncac-13h-.0807 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0807}

History

Status: repealed
Authority G.S. 143B-454; 150B-34; 150B-37
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

04 NCAC 13H .0808 Official Record {#sec-04-ncac-13h-.0808 omnilex-key=us-nc-regs-official--title-04--04 NCAC 13H .0808}

History

Status: repealed
Authority G.S. 143B-454; 150B-34; 150B-37
Eff. February 1, 1976
Readopted Eff. June 18, 1979
Repealed Eff. November 1, 1982.

Chapter 14 Economic Development Divisions, Division of Business Assistance

Subchapter A

04 NCAC 14A .0101 Purpose {#sec-04-ncac-14a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14A .0101}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14A .0102 Organization: Economic Development Divisions {#sec-04-ncac-14a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14A .0102}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14A .0103 Organization: Division of Business Assistance {#sec-04-ncac-14a-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14A .0103}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14A .0104 Purpose {#sec-04-ncac-14a-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14A .0104}

History

Status: expired
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980
Pursuant to G.S. 150B-21.3A, rule Expired January 1, 2015.

04 NCAC 14A .0105 Organization: Economic Development Divisions {#sec-04-ncac-14a-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14A .0105}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 14A .0106 Organization: Division of Business Assistance {#sec-04-ncac-14a-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14A .0106}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

Subchapter B

04 NCAC 14B .0101 Purpose {#sec-04-ncac-14b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0101}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0102 Initial Contact {#sec-04-ncac-14b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0102}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0103 Staff Presentation {#sec-04-ncac-14b-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0103}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0104 Entry Form {#sec-04-ncac-14b-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0104}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0105 Status Report {#sec-04-ncac-14b-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0105}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0106 Inspection {#sec-04-ncac-14b-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0106}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0107 Agency Decision {#sec-04-ncac-14b-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0107}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0108 Governor's Community of Excellence Plaque {#sec-04-ncac-14b-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0108}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0109 purpose {#sec-04-ncac-14b-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0109}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0111, .0112, .0114, .0116)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0110 initial contact {#sec-04-ncac-14b-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0110}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0111, .0112, .0114, .0116)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0111 Staff Presentation {#sec-04-ncac-14b-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0111}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0111, .0112, .0114, .0116)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0112 Entry Form {#sec-04-ncac-14b-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0112}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0111, .0112, .0114, .0116)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0113 Status Report {#sec-04-ncac-14b-.0113 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0113}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0111, .0112, .0114, .0116)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0114 Inspection {#sec-04-ncac-14b-.0114 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0114}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0111, .0112, .0114, .0116)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0115 Agency Decision {#sec-04-ncac-14b-.0115 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0115}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0111, .0112, .0114, .0116)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0116 Governor's Community of Excellence Plaque {#sec-04-ncac-14b-.0116 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0116}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0111, .0112, .0114, .0116)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0201 Maximum Size of Community {#sec-04-ncac-14b-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0201}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0202 Sponsoring Organization {#sec-04-ncac-14b-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0202}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0203 Community Profile {#sec-04-ncac-14b-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0203}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0204 Industrial Sites {#sec-04-ncac-14b-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0204}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0205 Promotion Materials {#sec-04-ncac-14b-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0205}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0206 Existing Industry Committee {#sec-04-ncac-14b-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0206}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0207 Community Planning Requirement {#sec-04-ncac-14b-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0207}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0208 Livability Requirement: Cleanup-Fixup {#sec-04-ncac-14b-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0208}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0209 Recreation {#sec-04-ncac-14b-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0209}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0210 Development Team Requirement {#sec-04-ncac-14b-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0210}

History

Status: expired
Filed as an Emergency Regulation Eff. January 12, 1979 for a period of 120 days to expire
on May 12, 1979
Statutory Authority G.S. 143B-432; 143B-10(j)
Expired Eff. May 12, 1979.

04 NCAC 14B .0211 Maximum Size of Community {#sec-04-ncac-14b-.0211 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0211}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0214, .0215, .0216, .0219)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0212 Sponsoring Organization {#sec-04-ncac-14b-.0212 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0212}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0214, .0215, .0216, .0219)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0213 Community Profile {#sec-04-ncac-14b-.0213 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0213}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0214, .0215, .0216, .0219)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0214 Industrial Sites {#sec-04-ncac-14b-.0214 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0214}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0214, .0215, .0216, .0219)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0215 Promotion Materials {#sec-04-ncac-14b-.0215 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0215}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0214, .0215, .0216, .0219)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0216 Existing Industry Committee {#sec-04-ncac-14b-.0216 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0216}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0214, .0215, .0216, .0219)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0217 Community Planning Requirement {#sec-04-ncac-14b-.0217 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0217}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0214, .0215, .0216, .0219)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0218 Livability Requirement: Cleanup-Fixup {#sec-04-ncac-14b-.0218 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0218}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0214, .0215, .0216, .0219)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0219 Recreation {#sec-04-ncac-14b-.0219 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0219}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0214, .0215, .0216, .0219)
Repealed Eff. July 1, 2012.

04 NCAC 14B .0220 Development Team Requirement {#sec-04-ncac-14b-.0220 omnilex-key=us-nc-regs-official--title-04--04 NCAC 14B .0220}

History

Status: repealed
Authority G.S. 143B-432; 143B-10(j)
Eff. November 26, 1979
Amended Eff. December 10, 1980 (Rule .0214, .0215, .0216, .0219)
Repealed Eff. July 1, 2012.

Chapter 15 Commission of Navigation and Pilotage for the Cape Fear River and Bar

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0102 Pilot Defined {#sec-04-ncac-15-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0102}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0103 Number of Pilots {#sec-04-ncac-15-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0103}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0104 Validation of Existing Licenses {#sec-04-ncac-15-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0104}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0105 Annual Renewal of Licenses {#sec-04-ncac-15-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0105}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0106 Filling Vacancies {#sec-04-ncac-15-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0106}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0107 Application and Licensing of Pilot's Apprentices {#sec-04-ncac-15-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0107}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0108 Cancellation: Revocation: and Suspension of Licenses {#sec-04-ncac-15-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0108}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0109 Jurisdiction Over Disputes as to Pilotage {#sec-04-ncac-15-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0109}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0110 Vessels Requiring Pilot's Assistance {#sec-04-ncac-15-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0110}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0111 Vessels: When Tugboat Assistance Required {#sec-04-ncac-15-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0111}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0112 Explosive Laden Vessels and Their Movement {#sec-04-ncac-15-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0112}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0113 Payment of Fees to Board {#sec-04-ncac-15-.0113 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0113}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0114 Rule Making Procedure {#sec-04-ncac-15-.0114 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0114}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0115 Administrative Appeal Procedure {#sec-04-ncac-15-.0115 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0115}

History

Status: repealed
Authority G.S. 76-1; 76-3 through 76-7; 76-10; 76-11; 76-13; 143A-6; 150A-23
Eff. February 1, 1976
Amended Eff. July 10, 1982; February 5, 1981; May 18, 1979; February 1, 1977
Repealed Eff. December 1, 1985.

04 NCAC 15 .0116 Pilotage Rates {#sec-04-ncac-15-.0116 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0116}

History

Status: repealed
Filed as a Temporary Rule Eff. March 12, 1982, for a period of 120 days to expire on
July 10, 1982
Authority G.S. 76A-17; 143A-6
Eff. July 10, 1982
Repealed Eff. January 1, 1986.

04 NCAC 15 .0117 Extension of Validation of Existing Licenses {#sec-04-ncac-15-.0117 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0117}

History

Status: repealed
Filed as a Temporary Rule Eff. March 12, 1982, for a period of 120 days to expire on
July 10, 1982
Authority G.S. 76A-5; 76A-6; 143A-6
Repealed Eff. July 10, 1982.

04 NCAC 15 .0118 Definitions {#sec-04-ncac-15-.0118 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0118}

For purposes of this Chapter, the following definitions apply:

(1) The term "association" shall mean the Wilmington Cape Fear Pilots Association.

(2) The term "Coast Guard" shall mean the United States Coast Guard.

(3) The term "commission" shall mean the Cape Fear Navigation and Pilotage Commission.

(4) The term "pilot" shall mean a Full Licensed Pilot as established by G.S. 76A-6(2).

(5) The term "river and bar" shall mean the Cape Fear River and Bar to the extent of navigation aids.

(6) The term "Sunny Point" shall mean the Military Ocean Terminal at Sunny Point.

History

Authority G.S. 76A-1; 76A-5; 76A-6; 76A-13
Eff. December 1, 1985
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 23, 2015.

04 NCAC 15 .0119 Number of Pilots {#sec-04-ncac-15-.0119 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0119}

(a) The commission shall license a number of pilots not to exceed one pilot per 98 piloted vessel arrivals annually or fraction thereof, subject to G.S. 76A-14. Annual piloted vessel arrivals shall be calculated by averaging the number of piloted arrivals during the five immediately-preceding calendar years.

(b) The apprentice system established in Rule .0121 of this Chapter shall be used to fill vacancies in the pilotage service except in emergencies, such as the incapacity of one or more licensed pilots due to accident, sickness, or death. In such emergency, the Commission may issue one or more limited-licenses for such term as is necessary to alleviate the emergency, based upon the number of licensed pilots whose capacity is unimpaired, the number of piloted vessel arrivals and departures, and any recommendation of a majority vote of the association. The association's recommendation shall be based on the qualifications of the candidate seeking a limited license, including the candidate's experience, agility, knowledge of the local waters, U.S. Coast Guard certifications, and other skills required to perform the duties of a limited-licensed pilot.

History

Authority G.S. 76A-1; 76A-5; 76A-13; 76A-14
Eff. December 1, 1985
Amended Eff. August 1, 2000
Readopted Eff. December 1, 2018.

04 NCAC 15 .0120 Annual Renewal of License {#sec-04-ncac-15-.0120 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0120}

Each pilot who desires to renew his license shall present a written application for renewal to the commission at its regular meeting immediately preceding May 1 of each year. That application shall include the results of a physical examination conducted within 60 days prior to the date of the application and a bond in the amount of five hundred dollars ($500.00) from two freehold sureties. The results of the physical examination shall be reported on the form required by the Coast Guard for the issuance of an original federal pilot's license. If the application is satisfactory, the commission shall issue a license effective May 1.

History

Authority G.S. 76A-1; 76A-5
Eff. December 1, 1985
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 23, 2015.

04 NCAC 15 .0121 Apprenticeship {#sec-04-ncac-15-.0121 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0121}

(a) In order to be considered for an appointment as an apprentice pilot, an applicant shall:

(1) provide evidence of graduation from a maritime college or regionally-accredited four-year college or university or hold a valid Third Mate's Unlimited Ocean license;

(2) not have been convicted of a felony;

(3) provide evidence of 20/20 visual acuity uncorrected or corrected by lens;

(4) provide evidence of being able to distinguish colors by means of the Stilling Test or other equivalent test accepted by the Coast Guard;

(5) provide three personal references;

(6) provide evidence of passing a complete physical examination in the form required by the Coast Guard for the issuance of an original federal pilot's license; and

(7) be a citizen and resident of North Carolina.

(b) If determined by a majority vote of the association that the applicant has demonstrated the knowledge and skill necessary to obtain an apprentice pilot's certificate and if approved by a majority vote of the commission, the applicant shall be issued an apprentice pilot's certificate. He or she shall be known as an apprentice pilot during apprenticeship. No member of the association who is a parent, sibling, or grandparent of an applicant shall participate in the discussion or voting by the association in recommending whether to approve the application for an apprentice pilot's certificate.

(c) Under the direct supervision of a pilot, an apprentice pilot shall become proficient in all matters appertaining to the duties of a pilot, including:

(1) the rules of the road as defined by the USCG;

(2) the use of compass and navigational aids;

(3) the set of various currents;

(4) boarding of vessels in heavy weather;

(5) the bearing of noted objects;

(6) the number, shapes, and colors of buoys; and

(7) the use of radar and ranges.

(d) An apprentice pilot shall make such boarding and trips and perform such duties as directed by a pilot in order to master the waters of the river and bar to master the handling of the various vessels that will be under the command of a pilot as they travel inbound from the ocean to the port of call and outbound from the port of call to the ocean.

(e) A limited license may be issued to an apprentice pilot by the commission upon a determination by a majority of the association that the applicant has demonstrated the knowledge and skill necessary to obtain a limited license and after consideration of the factors set forth in Paragraph (c) of this Rule. Prior to advancing from one limited license to the next, a majority of the association shall have signed the limited license, certifying progressive development of the knowledge and skill necessary for a limited license. The commission may issue the next limited license upon a determination by a majority of the association that the applicant has demonstrated the knowledge and skill necessary to obtain that limited license and after consideration of the factors set forth in Paragraph (c) of this Rule. No member of the association who is a parent, sibling, or grandparent of an applicant shall participate in the discussion or voting by the association in recommending whether to issue a limited license to the applicant.

(f) An apprenticeship may be terminated at any time there is a finding by the commission that progress is not being made as set forth in Paragraphs (c) through (e) or any of the requirements set forth in Paragraph (a) have been violated. A majority vote of the association shall be required in ordered to present these proposed findings to the commission and recommend termination of an apprenticeship. No member of the association who is a parent, sibling, or grandparent of an applicant shall participate in the discussion or voting by the association in recommending whether to terminate the applicant's apprenticeship.

(g) In order to be considered for an appointment as a pilot:

(1) an applicant shall have satisfied all statutory requirements for a full license;

(2) an applicant shall hold a pilot's license issued by the Coast Guard;

(3) an applicant shall not have been convicted of a felony;

(4) an applicant shall be recommended by a majority of the association and have been approved by a majority of the commission;

(5) there shall be a vacancy in the number of pilots established pursuant to Rule .0119 of this Chapter; and

(6) no member of the association or commission who is a parent, sibling, or grandparent of an applicant shall participate in the discussion or voting when considering whether to appoint an applicant as a fully licensed pilot.

(h) Upon the successful completion of the apprentice pilot training program and the requirements for a fully licensed pilot, an apprentice pilot shall then be placed on the apprentice pilots waiting list in the order in which they complete all such requirements. When a vacancy occurs in the number of fully licensed pilots, the apprentice next in line shall be appointed to that vacancy. If he or she declines, his or her name shall be stricken from the waiting list. During this interim between the expiration of the limited license and the occurrence of a vacancy, the apprentice shall be required to make an average of two boardings per month under the supervision of a fully licensed pilot.

History

Authority G.S. 76A-1; 76A-5; 76A-6; 76A-12; 76A-13
Eff. December 1, 1985
Amended Eff. August 1, 2000
Readopted Eff. December 1, 2018.

04 NCAC 15 .0122 Disciplinary Actions Against Pilots {#sec-04-ncac-15-.0122 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0122}

No pilot shall:

(1) be intoxicated or under the influence of any drug while on duty; or

(2) be convicted of a felony; or

(3) be permanently incapacitated, physically or mentally, from the performance of his duties as a pilot; or

(4) refuse his duties.

History

Authority G.S. 76A-1; 76A-5; 76A-13; 76A-15
Eff. December 1, 1985
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 23, 2015.

04 NCAC 15 .0123 Incidents or Accidents Involving Pilots {#sec-04-ncac-15-.0123 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0123}

(a) Following any marine incident or accident involving a vessel in charge of a pilot, the pilot in charge of the vessel shall give an oral report to the commission chairman or other member if the chairman is not available. Within 120 hours of the pilot reaching his or her destination (the port inbound - sea buoy outbound), the pilot shall submit to the commission a written narrative report. Sketches and diagrams may be used to explain the situation if the pilot feels their use would be helpful, including aerial photos of the waters and area used by the ship while under pilotage, nautical maps, sounding charts, or any other visual aid to explain or describe the marine incident or accident.

(b) The commission shall investigate such occurrence in accordance with G.S. 76A-5(d).

History

Authority G.S. 76A-1; 76A-5
Eff. December 1, 1985
Readopted Eff. December 1, 2018.

04 NCAC 15 .0124 Movement of Vessels {#sec-04-ncac-15-.0124 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0124}

History

Status: repealed
Authority G.S. 76A-1; 76A-5
Eff. December 1, 1985
Repealed Eff. December 1, 2018.

04 NCAC 15 .0125 Pilot Arrangements {#sec-04-ncac-15-.0125 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0125}

(a) A pilot assigned to a vessel sailing from Sunny Point shall arrive at the Main Gate in adequate time to be on board the vessel in time to make preparations for its departure.

(b) It shall be the responsibility of the Command at Sunny Point to provide adequate and prompt transportation to and from the Main Gate and the vessel's gangway or to provide a permit to the pilot allowing him to provide his own transportation to and from the Main Gate and the vessel's gangway.

(c) The commission shall cooperate with the Command at Sunny Point to ensure the pilots of prompt access to Sunny Point, and to ensure the safe and timely movement of all vessels entering or leaving Sunny Point.

History

Authority G.S. 76A-1; 76A-5
Eff. December 1, 1985
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 23, 2015.

04 NCAC 15 .0126 When Tugboat Assistance Required {#sec-04-ncac-15-.0126 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0126}

Every vessel over sixty gross tons shall have the assistance of a tug (or tugs) while transiting the Cape Fear Memorial Bridge and any other bridge north of that bridge. "Approaching" a bridge is defined as being that point in the river at which it becomes reasonably necessary for the tug (or tugs) to be alongside the vessel in order to have the vessel under control prior to transiting the bridge. Additionally, prior to the time at which the tug (or tugs) begins to exert an influence on the vessel, the pilot aboard the vessel shall relinquish control of the vessel to the docking master controlling the tug (or tugs). This transfer of authority shall occur at a point in the river agreed upon by the pilot and docking master. However, if the docking master refuses to accept control of the vessel for any reason, it shall be the duty of the pilot to retain control of the vessel.

History

Authority G.S. 76A-1; 76A-5
Eff. December 1, 1985
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 23, 2015.

04 NCAC 15 .0127 Pilotage Rates {#sec-04-ncac-15-.0127 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0127}

(a) Requests for rate revisions shall be submitted in writing to the secretary of the commission before February 1 of the year in which the rate revision is requested.

(b) Proposed rate revisions shall be considered by the commission at the first regular meeting after March 1 of the year in which the rate revision is requested.

(1) publication in at least two Wilmington area newspapers;

(2) posting at the State Ports Authority Building of the N.C. State Ports Authority at Wilmington; and

(3) written notification to the N.C. Shipping Association.

(d) Rate revisions shall be effective July 1 of the year in which the rate is revised by the commission.

History

Authority G.S. 76A-1; 76A-17
Eff. December 1, 1985
Readopted Eff. December 1, 2018.

04 NCAC 15 .0128 Fees {#sec-04-ncac-15-.0128 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0128}

The pilots association shall pay to the commission one-fourth of one percent of every pilotage fee received by every fully licensed, limited-licensed, or apprentice pilot that is licensed or certified by the commission. Such payment shall be made on the 10th day of each quarter for the pilotage fees received the preceding quarter.

History

Authority G.S. 76A-1; 76A-24
Eff. December 1, 1985
Readopted Eff. December 1, 2018.

04 NCAC 15 .0129 Commission Hearings {#sec-04-ncac-15-.0129 omnilex-key=us-nc-regs-official--title-04--04 NCAC 15 .0129}

History

Status: repealed
Authority G.S. 76A-1; 76A-5; 76A-15; 76A-24; 150B-12; 150B-23
Eff. December 1, 1985
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

Chapter 16 Savings Institutions

Subchapter A

04 NCAC 16A .0101 savings institutions division {#sec-04-ncac-16a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0101}

History

Status: repealed
Authority G.S. 54B-4; 54B-55; 54C-4; 54C-53
Eff. August 31, 1981
Amended Eff. December 1, 2011; December 6, 1991; January 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16A .0102 Rule-Making and Administrative Hearing Procedures {#sec-04-ncac-16a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0102}

History

Status: repealed
Authority G.S. 54B-55; 150B-14
Eff. August 31, 1981
Repealed Eff. June 1, 1988.

04 NCAC 16A .0103 Definitions {#sec-04-ncac-16a-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0103}

Unless otherwise indicated, words and phrases defined by G.S. 54B-4 and G.S. 54C-4 shall have the same meaning in this Chapter.

History

Authority G.S. 54B-55; 54C-53
Eff. August 31, 1981
Amended Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16A .0104 Supervisory Fee {#sec-04-ncac-16a-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0104}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire
on March 31, 1992
Authority G.S. 54B-55; 54B-57; 54C-53; 54C-55
Eff. August 31, 1981
Amended Eff. February 15, 1992; July 1, 1990; September 1, 1986; October 1, 1982
Repealed Eff. November 1, 2017.

04 NCAC 16A .0105 Restrictions: Payment of Dividends and Repurchase of Stock {#sec-04-ncac-16a-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0105}

(a) A stock savings institution shall not declare or pay a cash dividend on or repurchase any of its capital stock if the effect would be to reduce the net worth of the savings institution to an amount that is less than the minimum required by the federal regulatory authority pursuant to 12 U.S.C. 1831o(d) or an amount less than the minimum required by G.S. 54C-163, whichever is greater. 12 U.S.C. 1831o(d) is hereby incorporated by reference, including subsequent amendments or editions, and may be found free of charge as follows: https://www.gpo.gov/fdsys/pkg/USCODE-2010-title12/html/USCODE-2010-title12-chap16-sec1831o.htm.

(b) Without the prior written approval of the Commissioner of Banks, a stock savings institution that has been in operation or converted from mutual form for less than five years shall not repurchase any of its capital stock. Such approval shall be granted only upon a showing that the proposed repurchase will not adversely affect the safety and soundness of the savings institution.

(c) A stock savings institution that has been in operation or converted from mutual form for less than five years shall obtain the written approval of the Commissioner of Banks before declaring or paying a cash dividend on its capital stock in an amount in excess of one-half of the greater of:

(1) the savings institution's net income for the most recent fiscal year end; or

(2) the average of the savings institution's net income after dividends for the most recent fiscal year end and not more than two of the immediately preceding fiscal year ends.

(d) For a period of three years following the date of completion of a conversion from mutual to stock form, no person shall, directly or indirectly, offer to acquire or acquire the beneficial ownership of more than 10 percent of any class of an equity security of a converted savings institution without the prior written approval of the Commissioner of Banks. Such approval shall be granted only as follows:

(1) upon a finding by the Commissioner of Banks that during the first year following the date of completion of the conversion to protect the safety and soundness of the institution; or

(2) during the second and third years following the date of completion of the conversion upon a finding by the Commissioner of Banks that:

(A) such acquisition:

(i) is necessary to protect the safety and soundness of the institution; or

(ii) is supported by the board of directors of the converted savings institution; and

(B) the person acquiring in excess of 10 percent of any class of an equity security of the converted institution is of good character and integrity, possesses satisfactory managerial skills, after the acquisition such person will be a source of financial strength to the converted savings institution, and the interests of the public will not be adversely affected.

(e) Securities owned in violation of Paragraph (d) of this Rule in excess of 10 percent of any class of securities shall not be counted as shares entitled to vote and shall not be voted by any person or counted as voting shares in connection with any matters submitted to the stockholders for a vote.

(f) Paragraphs (d) and (e) shall not apply to:

(1) any offer with a view toward public resale made to the savings institution, the institutions underwriters, or the selling group acting on the institution's behalf; or

(2) any offer to acquire or acquisition of beneficial ownership of more than 10 percent of the common stock of a savings institution by a corporation whose ownership is or will be substantially the same as the ownership of the savings institution, provided that the offer or acquisition is made more than one year following the date of completion of the conversion.

History

Authority G.S. 54B-43; 54B-55; 54C-44; 54C-53
Eff. August 31, 1981
Amended Eff. July 1, 1990; November 1, 1985
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; December 1, 2011; April 15, 1993; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16A .0201 Petition for Adoption: Amendment or Repeal of Rules {#sec-04-ncac-16a-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0201}

History

Status: repealed
Authority G.S. 53-93; 54B-55; 150B-12; 150B-20; 150B-21.2(d)
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0202 Notice of Rule-Making Hearings {#sec-04-ncac-16a-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0202}

History

Status: repealed
Authority G.S. 53-93; 54B-55; 150B-12; 150B-20; 150B-21.2(d)
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0203 Rule-Making Hearings: General Information {#sec-04-ncac-16a-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0203}

History

Status: repealed
Authority G.S. 53-93; 54B-55; 150B-12; 150B-20; 150B-21.2(d)
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0301 Petition for Declaratory Ruling {#sec-04-ncac-16a-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0301}

History

Status: repealed
Authority G.S. 53-93; 54B-2; 54B-52; 54B-55; 54C-2; 54C-3; 54C-52; 54C-53; 150B-2(5); 150B-4
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0302 Response of Commissioner of Banks to Petition {#sec-04-ncac-16a-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0302}

History

Status: repealed
Authority G.S. 53-93; 54B-2; 54B-52; 54B-55; 54C-2; 54C-3; 54C-52; 54C-53; 150B-2(5); 150B-4
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0401 Right to Hearing {#sec-04-ncac-16a-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0401}

History

Status: repealed
Authority G.S. 53-93; 53-104; 54B-55; 150B-38; 150B-39
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0402 Informal Settlement {#sec-04-ncac-16a-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0402}

History

Status: repealed
Authority G.S. 53-93; 53-104; 54B-55; 150B-38; 150B-39
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0403 Request for Hearing {#sec-04-ncac-16a-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0403}

History

Status: repealed
Authority G.S. 53-93; 53-104; 54B-55; 150B-38; 150B-39
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0404 Notice of Hearing {#sec-04-ncac-16a-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0404}

History

Status: repealed
Authority G.S. 53-93; 53-104; 54B-55; 150B-38; 150B-39
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0405 Intervention in an Administrative Hearing {#sec-04-ncac-16a-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0405}

History

Status: repealed
Authority G.S. 53-93; 53-104; 54B-55; 150B-38; 150B-39
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0406 Depositions {#sec-04-ncac-16a-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0406}

History

Status: repealed
Authority G.S. 53-93; 53-104; 54B-55; 150B-38; 150B-39
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0407 Subpoenas {#sec-04-ncac-16a-.0407 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0407}

History

Status: repealed
Authority G.S. 53-93; 53-104; 54B-55; 150B-38; 150B-39
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0408 Service of Subpoenas {#sec-04-ncac-16a-.0408 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0408}

History

Status: repealed
Authority G.S. 53-93; 53-104; 54B-55; 150B-38; 150B-39
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16A .0409 Objection to a Subpoena {#sec-04-ncac-16a-.0409 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16A .0409}

History

Status: repealed
Authority G.S. 53-93; 53-104; 54B-55; 150B-38; 150B-39
Eff. July 1, 1990
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

Subchapter B

04 NCAC 16B .0101 Officers {#sec-04-ncac-16b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16B .0101}

History

Status: repealed
Authority G.S. 54B-53; 54B-55
Eff. August 31, 1981
Amended Eff. July 1, 1990
Repealed Eff. May 14, 2014 pursuant to G.S. 150B-21.7(a).

04 NCAC 16B .0102 Meetings {#sec-04-ncac-16b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16B .0102}

History

Status: repealed
Authority G.S. 54B-53; 54B-55
Eff. August 31, 1981
Amended Eff. July 1, 1990
Repealed Eff. May 14, 2014 pursuant to G.S. 150B-21.7(a).

04 NCAC 16B .0103 Committees {#sec-04-ncac-16b-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16B .0103}

History

Status: repealed
Authority G.S. 54B-53; 54B-55
Eff. August 31, 1981
Amended Eff. July 1, 1990
Repealed Eff. May 14, 2014 pursuant to G.S. 150B-21.7(a).

Subchapter C

04 NCAC 16C .0101 Forms {#sec-04-ncac-16c-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0101}

04 NCAC 16C .0102 CHARTER APPLICATION RESTRICTIONS

04 NCAC 16C .0103 Corporate Name {#sec-04-ncac-16c-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0103}

History

Status: repealed
Authority G.S. 54B-2; 54B-9; 54B-10; 54B-52; 54B-55; 54C-2; 54C-9; 54C-12; 54C-52; 54C-53
Eff. August 31, 1981
Temporary Amendment Eff. August 26, 1985 for a period of 93 days to expire on November 26, 1985
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. December 1, 2011; February 15, 1992; July 1, 1990; November 1, 1985
Repealed Eff. November 1, 2017.

04 NCAC 16C .0104 Interim Savings Institutions {#sec-04-ncac-16c-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0104}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Filed as a Temporary Rule Eff. August 26, 1985 for a period of 93 days to expire on
November 26, 1985
Authority G.S. 54B-45; 54B-55; 54C-46; 54C-53
Eff. November 1, 1985
Amended Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16C .0105 Conversion to Savings Bank {#sec-04-ncac-16c-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0105}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on
March 31, 1992
Authority G.S. 54C-30; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16C .0201 Form {#sec-04-ncac-16c-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0201}

History

Status: repealed
Authority G.S. 54B-22; 54B-55; 54C-23; 54C-53
Eff. August 31, 1981
Amended Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. December 1, 2011; February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16C .0202 Branch Office Application Restrictions {#sec-04-ncac-16c-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0202}

History

Status: repealed
Authority G.S. 54B-22; 54B-55; 54C-23; 54C-53
Eff. August 31, 1981
Amended Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. December 1, 2011; February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16C .0203 Forfeiture of Branch Office Final Approval {#sec-04-ncac-16c-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0203}

History

Status: repealed
Authority G.S. 54B-22; 54B-55; 54C-23; 54C-53
Eff. August 31, 1981
Amended Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. December 1, 2011; February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16C .0301 Branch Office {#sec-04-ncac-16c-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0301}

History

Status: repealed
Authority G.S. 54B-23; 54B-55
Eff. August 31, 1981
Repealed Eff. November 1, 1985.

04 NCAC 16C .0302 Principal Office {#sec-04-ncac-16c-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0302}

History

Status: repealed
Authority G.S. 54B-23; 54B-55
Eff. August 31, 1981
Repealed Eff. November 1, 1985.

04 NCAC 16C .0303 Location Change {#sec-04-ncac-16c-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0303}

History

Status: repealed
Authority G.S. 54B-23; 54B-55
Eff. November 1, 1985
Repealed Eff. February 15, 1992.

04 NCAC 16C .0304 Temporary Closing of Office {#sec-04-ncac-16c-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0304}

If a bank's office is closed temporarily, other than closures in observance of a holiday, the bank shall notify the Commissioner of Banks no later than 72 hours after such closure if the closure may interfere with the bank's operations or poses an existing or imminent threat to the safety or security of persons on property.

History

Authority G.S. 54B-55
Eff. July 1, 1990
Amended Eff. November 1, 2017; December 1, 2011
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16C .0305 Purchase of Branch {#sec-04-ncac-16c-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0305}

History

Status: repealed
Authority G.S. 54B-22; 54B-55; 54C-24; 54C-53
Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. December 1, 2011; February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16C .0401 Definitions {#sec-04-ncac-16c-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0401}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. April 1, 1982
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16C .0402 APPLICATION: GUIDELINES FOR APPROVAL BY aDMINISTRATOR {#sec-04-ncac-16c-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0402}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. April 1, 1982
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16C .0403 General Policies {#sec-04-ncac-16c-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0403}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. April 1, 1982
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16C .0404 Unmanned Remote Service Unit Access Techniques {#sec-04-ncac-16c-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0404}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. April 1, 1982
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16C .0405 Privacy of Account Data {#sec-04-ncac-16c-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0405}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. April 1, 1982
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16C .0501 Form {#sec-04-ncac-16c-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0501}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-48.6; 54B-55; 54C-53; 54C-178
Eff. September 1, 1986
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16C .0502 Acquisition Restrictions {#sec-04-ncac-16c-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0502}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-48.6; 54B-55; 54C-53; 54C-178
Eff. September 1, 1986
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16C .0503 Fees {#sec-04-ncac-16c-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16C .0503}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-48.6; 54B-55; 54C-53; 54C-178
Eff. September 1, 1986
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

Subchapter D

04 NCAC 16D .0101 Composition of Board of Directors {#sec-04-ncac-16d-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0101}

History

Status: repealed
Authority G.S. 54B-55
Eff. August 31, 1981
Amended Eff. April 15, 1993; February 15, 1992; July 1, 1990; September 1, 1984
Repealed Eff. November 1, 2017.

04 NCAC 16D .0102 Prohibited Transactions {#sec-04-ncac-16d-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0102}

History

Status: repealed
Authority G.S. 54B-55
Eff. August 31, 1981
Amended Eff. January 1, 1984; April 1, 1983
Repealed Eff. July 1, 1990.

04 NCAC 16D .0103 Bylaws {#sec-04-ncac-16d-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0103}

History

Status: repealed
Authority G.S. 54B-2; 54B-9; 54B-52; 54B-55; 54C-2; 54C-9; 54C-52; 54C-53
Eff. August 31, 1981
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16D .0104 Insider Loan Limitations {#sec-04-ncac-16d-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0104}

History

Status: repealed
Authority G.S. 54B-154
Eff. April 1, 1982
Amended Eff. July 1, 1983
Repealed Eff. July 1, 1990.

04 NCAC 16D .0105 Amendment of Converted Association's Charter {#sec-04-ncac-16d-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0105}

History

Status: repealed
Authority G.S. 54B-33
Eff. December 1, 1984
Repealed Eff. April 15, 1993.

04 NCAC 16D .0201 Voting by Proxy {#sec-04-ncac-16d-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0201}

History

Status: repealed
Authority G.S. 54B-55; 54B-105
Eff. August 31, 1981
Amended Eff. December 6, 1991; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16D .0202 Form of Proxy {#sec-04-ncac-16d-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0202}

History

Status: repealed
Authority G.S. 54B-55; 54B-105
Eff. August 31, 1981
Amended Eff. December 6, 1991; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16D .0203 Holders of Proxies {#sec-04-ncac-16d-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0203}

History

Status: repealed
Authority G.S. 54B-55; 54B-105
Eff. August 31, 1981
Amended Eff. December 6, 1991; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16D .0204 Proxy Solicitation {#sec-04-ncac-16d-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0204}

History

Status: repealed
Authority G.S. 54B-55; 54B-105
Eff. August 31, 1981
Amended Eff. December 6, 1991; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16D .0301 General Policies {#sec-04-ncac-16d-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0301}

History

Status: repealed
Authority G.S. 54B-2; 54B-9; 54B-21; 54B-52; 54B-55; 54C-2; 54C-52; 54C-53
Eff. August 31, 1981
Amended Eff. December 1, 2011; February 15, 1992; July 1, 1990; April 1, 1987; January 1, 1984; July 1, 1983
Repealed Eff. November 1, 2017.

04 NCAC 16D .0302 Retention: Reproduction and Disposition of Records {#sec-04-ncac-16d-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0302}

History

Status: repealed
Authority G.S. 54B-2; 54B-9; 54B-21; 54B-52; 54B-55; 54C-2; 54C-52; 54C-53
Eff. August 31, 1981
Amended Eff. December 1, 2011; February 15, 1992; July 1, 1990; April 1, 1987; January 1, 1984; July 1, 1983
Repealed Eff. November 1, 2017.

04 NCAC 16D .0401 Servicing Loans {#sec-04-ncac-16d-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0401}

History

Status: repealed
Authority G.S. 54B-55; 54B-161
Eff. August 31, 1981
Amended Eff. February 15, 1992; July 1, 1990; November 1, 1985
Repealed Eff. November 1, 2017.

04 NCAC 16D .0402 Appraisals {#sec-04-ncac-16d-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0402}

History

Status: repealed
Authority G.S. 54B-55; 54B-161
Eff. August 31, 1981
Amended Eff. February 15, 1992; July 1, 1990; November 1, 1985
Repealed Eff. November 1, 2017.

04 NCAC 16D .0403 Records with Respect to Loan {#sec-04-ncac-16d-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0403}

History

Status: repealed
Authority G.S. 54B-55; 54B-161
Eff. August 31, 1981
Amended Eff. February 15, 1992; July 1, 1990; November 1, 1985
Repealed Eff. November 1, 2017.

04 NCAC 16D .0404 Alternative Mortgage Instruments {#sec-04-ncac-16d-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0404}

History

Status: repealed
Authority G.S. 54B-55; 54B-163
Eff. August 31, 1981
Amended Eff. July 1, 1990; October 1, 1987
Repealed Eff. February 15, 1992.

04 NCAC 16D .0405 Unsecured Loans Limit {#sec-04-ncac-16d-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0405}

History

Status: repealed
Authority G.S. 54B-55; 54B-151
Eff. August 31, 1981
Amended Eff. July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16D .0406 Accounting for Gains and Losses {#sec-04-ncac-16d-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0406}

History

Status: repealed
Authority G.S. 54B-55
Eff. December 1, 1981
Amended Eff. April 1, 1984
Repealed Eff. July 1, 1990.

04 NCAC 16D .0407 Loans to One Borrower {#sec-04-ncac-16d-.0407 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0407}

History

Status: repealed
Authority G.S. 54B-55; 54B-164
Eff. July 1, 1983
Amended Eff. December 1, 2011; February 15, 1992; July 1, 1990; November 1, 1985; January 1, 1985
Repealed Eff. November 1, 2017.

04 NCAC 16D .0408 Accounting for Uncollectible Income {#sec-04-ncac-16d-.0408 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0408}

History

Status: repealed
Authority G.S. 54B-55
Eff. January 1, 1984
Repealed Eff. July 1, 1990.

04 NCAC 16D .0501 Signature Cards {#sec-04-ncac-16d-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0501}

04 NCAC 16D .0502 HOLDING OF CERTIFICATE OR PASSBOOK

History

Authority G.S. 54B-55; 54B-121
Eff. August 31, 1981
Repealed Eff. November 1, 2017.

04 NCAC 16D .0503 Nonnegotiable Orders of Withdrawal {#sec-04-ncac-16d-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0503}

History

Status: repealed
Authority G.S. 54B-55; 54B-128
Eff. August 31, 1981
Repealed Eff. July 1, 1990.

04 NCAC 16D .0504 Negotiable Order of Withdrawal Accounts {#sec-04-ncac-16d-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0504}

History

Status: repealed
Authority G.S. 54B-55; 54B-127
Eff. August 31, 1981
Amended Eff. February 1, 1983
Repealed Eff. November 1, 2017.

04 NCAC 16D .0505 Non-Interest-Bearing Negotiable Order of Withdrawal Accts. {#sec-04-ncac-16d-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0505}

History

Status: repealed
Authority G.S. 54B-55; 54B-127
Eff. August 31, 1981
Repealed Eff. July 1, 1990.

04 NCAC 16D .0506 Credit Cards {#sec-04-ncac-16d-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0506}

History

Status: repealed
Authority G.S. 54B-55; 54B-77
Eff. August 31, 1981
Repealed Eff. February 15, 1992.

04 NCAC 16D .0601 Liquidity Fund Requirement {#sec-04-ncac-16d-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0601}

History

Status: repealed
Authority G.S. 54B-55; 54B-210; 54B-211
Eff. August 31, 1981
Amended Eff. July 1, 1983
Repealed Eff. July 1, 1990.

04 NCAC 16D .0602 Amount of Liquidity Fund {#sec-04-ncac-16d-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0602}

History

Status: repealed
Authority G.S. 54B-55; 54B-210; 54B-211
Eff. August 31, 1981
Amended Eff. July 1, 1983
Repealed Eff. July 1, 1990.

04 NCAC 16D .0701 General Reserve Requirements {#sec-04-ncac-16d-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0701}

History

Status: repealed
Authority G.S. 54B-216
Eff. December 1, 1981
Amended Eff. November 1, 1982; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16D .0702 Requirements for Newly-Chartered Stock Associations {#sec-04-ncac-16d-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0702}

History

Status: repealed
Authority G.S. 54B-216
Eff. December 1, 1981
Repealed Eff. November 1, 1982.

04 NCAC 16D .0703 Appraised Equity Capital {#sec-04-ncac-16d-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0703}

History

Status: repealed
Authority G.S. 54B-216
Eff. November 1, 1982
Amended Eff. July 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16D .0901 Securities {#sec-04-ncac-16d-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0901}

History

Status: repealed
Authority G.S. 54B-55; 54B-193; 54C-53; 54C-141
Eff. October 1, 1987
Amended Eff. December 1, 2011; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16D .0902 Stock in Other Depository Institutions {#sec-04-ncac-16d-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16D .0902}

History

Status: repealed
Authority G.S. 54B-55; 54B-193; 54C-53; 54C-141
Eff. July 1, 1990
Amended Eff. December 1, 2011; February 15, 1992
Repealed Eff. November 1, 2017.

Subchapter E

04 NCAC 16E .0101 Tax Forms: Collection {#sec-04-ncac-16e-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0101}

History

Status: repealed
Authority G.S. 54B-55; 105-228.27
Eff. August 31, 1981
Amended Eff. January 1, 1983
Repealed Eff. January 1, 1984.

04 NCAC 16E .0102 Internal Revenue Service Form 1099 {#sec-04-ncac-16e-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0102}

History

Status: repealed
Authority G.S. 54B-55; 105-228.27
Eff. August 31, 1981
Amended Eff. January 1, 1983
Repealed Eff. January 1, 1984.

04 NCAC 16E .0103 Board of Directors {#sec-04-ncac-16e-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0103}

(a) A director shall not vote on any matter in which they have a personal or financial interest.

(b) When a savings institution takes action establishing a new chief executive officer or director, the savings institution shall notify the Commissioner of Banks within 14 calendar days of such change, and shall provide the name of the new chief executive officer or director, the effective date of the appointment, and a statement of the person's past and current business and professional affiliations. The name of any departing chief executive officer or director shall also be provided to the Commissioner of Banks in writing.

(1) For stock savings banks under fifty million dollars ($50,000,000) in assets, stock ownership in the institution or its holding company of two thousand five hundred dollars ($2,500.00) in market value at time of purchase;

(2) For mutual savings banks under fifty million dollars ($50,000,000) in assets, a two thousand five hundred dollar ($2,500) deposit relationship;

(3) For stock savings banks over fifty million dollars ($50,000,000) in assets, stock ownership in the institution or its holding company of five thousand dollars ($5,000) in market value at time of purchase; or

(4) For mutual savings banks over fifty million dollars ($50,000,000) in assets, a five thousand dollar ($5,000.00) deposit relationship.

For savings institutions that cross the fifty million dollar ($50,000,000) threshold, the Commissioner of Banks shall allow up to one year for the Directors to comply with the ownership interest requirement.

History

Authority G.S. 54B-55; 54C-53; 54C-101
Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16E .0104 Bylaws {#sec-04-ncac-16e-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0104}

The Commissioner of Banks shall be deemed to have approved any amendments to bylaws that the Commissioner has not objected within 25 days after the date that the bylaws are filed with the Commissioner of Banks.

History

Authority G.S. 54B-9; 54B-52; 54C-9; 54C-52; 54C-53; 54C-102
Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Eff. February 15, 1992
Amended Eff. November 1, 2017; December 1, 2011
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16E .0105 Amendment of Converted Savings Bank's Charter {#sec-04-ncac-16e-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0105}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on
March 31, 1992
Statutory Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. April 15, 1993.

04 NCAC 16E .0201 Voting by Proxy {#sec-04-ncac-16e-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0201}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54C-53; 54C-105
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16E .0202 Form of Proxy {#sec-04-ncac-16e-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0202}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54C-53; 54C-105
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16E .0203 Holders of Proxies {#sec-04-ncac-16e-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0203}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54C-53; 54C-105
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16E .0204 Proxy Solicitation {#sec-04-ncac-16e-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0204}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54C-53; 54C-105
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16E .0301 General Policies {#sec-04-ncac-16e-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0301}

(a) Records to be Kept at Principal Office. Each savings institution, each affiliate, and the institution's parent company shall keep and make available for examination by the representatives of the Commissioner of Banks at the principal office, books and records of all the transactions of the institution in its true financial condition. Records shall be kept to permit and facilitate a speedy examination by the representatives of the Commissioner of Banks.

(b) Maintenance of Membership and Stockholder Records. Every savings institution shall maintain membership or stockholder records. When a savings institution has reason to believe 10 percent or more of the outstanding capital stock of the savings institution is controlled by one owner, the institution shall notify the Commissioner in writing and shall include the residential address and the number of shares held by the shareholder.

(c) Savings institutions shall keep the following books and records at the institution, or at its parent holding company, unless another storage site is approved by the Commissioner of Banks in writing:

(1) Alphabetical direct and indirect liability ledgers. Each institution shall keep an alphabetical direct and indirect liability ledger. The alphabetical direct liability ledger shall show each customer's direct obligations owed to the institution by loan name or account number and the balance outstanding under each account. The alphabetical indirect liability ledger shall show each customer's indirect obligations owed to the institution by loan name or account number and the balance outstanding under each account. The alphabetical direct liability ledger shall be kept in balance with the general ledger control. The alphabetical indirect liability ledger shall be updated at least monthly. Where the aggregate total of a customer's direct and indirect obligations to the institution do not exceed twenty thousand dollars ($20,000), the indirect obligations of that customer may be omitted from the alphabetical indirect liability ledger. In an institution whose automated record system is not able to produce an alphabetical liability ledger, the institution shall produce an alphabetical listing of customers showing all of a customer's loan or account numbers and the amount outstanding under each account number when called upon by representatives of the Commissioner of Banks. Each institution shall produce both the direct and indirect liability ledgers in hard copy form upon request by representatives of the Commissioner of Banks.

(2) Monthly reconciliation of accounts with correspondent banks. A record shall be kept, showing the monthly reconciliation of each account with correspondent banks. A signed review of such reconciliations shall be made by an officer or employee of the institution other than the person responsible for preparing the reconciliation.

(3) Purchases and sales of securities. A record shall be kept of purchases and sales of securities. The record shall include the following:

(A) dates of purchases and sales;

(B) interest rates;

(D) par value;

(E) cost value;

(F) all write-ups or write-downs;

(G) a full description of the security;

(H) from whom purchased;

(I) to whom sold;

(J) purchase price;

(K) selling price; and

(L) when, where, and why pledged or deposited.

This record shall be maintained in balance with the general ledger control.

(4) Charge-offs. A record shall be kept of all items charged-off and of all recoveries. All charge-offs shall be authorized or approved by the executive committee or by the board of directors, and the action shall be recorded in their minutes. The charge-off record shall show the date of the charge-off, a description of the asset, and the amount of the charge-off. The record shall be supported by the actual charged-off items or the final disposition of any charged-off item. The record of recoveries shall show the date and amount of each recovery.

(5) Records of real estate. A record shall be kept of all parcels owned, including the banking house. The record shall show when the property was acquired, how the property was acquired, the cost of the property, the book value of the property, and detailed income and expense reports relating to the property. This record shall be supported by appraisals, title certificates showing assessed value, tax receipts, and hazard insurance policies relating to the property. Every savings institution shall appraise the value of each parcel of real estate taken in satisfaction of debts previously contracted at the time of acquisition. The report of each appraisal shall be submitted in writing to the Board of Directors and shall be kept in the records of the savings institution.

(6) Meeting minutes. Minutes of all board of directors' meetings, board committee meetings, and members and stockholders meetings shall be kept showing any action resulting from the meeting. All minutes shall be signed by the chairman and the secretary of such meeting.

(7) Cash items held over. A daily record shall be kept of all cash items held over from the day's business, including all checks that would cause an overdraft if handled according to the institution's check-posting policy. This record shall be kept in balance with the general ledger control and shall identify the account on which the item is drawn or is obligated for payment, the reason the item is being held, the date the item was placed in the cash items account, and the amount of the item.

(d) Unless an institution requests approval of another storage site in writing, and receives approval from the Commissioner of Banks, the books and records of the institution's parent holding company shall be kept at the institution or at the institution's parent holding company; and the books and records of an affiliate of the institution shall be kept at the affiliate, the institution, or the institution's parent holding company.

(e) Based upon the safety and soundness of a savings institution as determined by examination or other information, the Commissioner of Banks may require a savings institution to prepare or maintain different or additional books, records, and reports.

History

Authority G.S. 54B-2; 54B-9; 54B-52; 54B-55; 54C-2; 54C-22; 54C-52; 54C-53
Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Eff. February 15, 1992
Amended Eff. November 1, 2017; December 1, 2011
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16E .0302 Retention, Reproduction and Disposition of Records {#sec-04-ncac-16e-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0302}

(a) Each savings institution shall take precautions to protect records from damage by fire, flood, or other hazards and to safeguard records from unnecessary deterioration as a result of excess heat, humidity, dryness, or lack of proper ventilation. Safeguards shall be maintained to protect records from access or removal by unauthorized persons.

(b) Each savings institution or branch office shall retain all records set forth in this Paragraph for the periods specified.

RECORDS TO BE MINIMUM RETENTION

RETAINED PERIOD (YRS.)

ACCOUNTING - ASSOCIATION

Bank Statements and Reconcilements 5

Cancelled Checks 5

Check Vouchers or Stubs 5

Duplicate Deposit Slips 5

Expense and Paid Bills File 3

FHLB and State Reports 5

General and Subsidiary Ledgers 15

General and Other Journals 15

Original Entry Records 5

Pre-authorized Bank Forms 5

Tellers' Cash Proof Sheets 2

Trial Balances 3

CORPORATE

Annual Reports to Supervisors 5

Attachments, Executions, and Releases 3

Audit Reports 3

Ballots and Proxy Votes of Members and Stockholders 3

Blanket Bonds T + 5

Certificate of Insurance P

Charter, Bylaws, and Amendments P

Claims, Court Orders, and Restraining Orders 10

Deeds, Leases, and Contracts; Titles to Vehicles T + 5

Examination Reports and Supervisory Letters 5

FHLB Membership Certificate P

Minute Books (Members, Stockholder, Directors, and Committees) P

N.C. Corporate Tax Forms 15

Pension Trust (IRS Ruling, Bylaws, and Trust Agreements) T + 5

Personal Property Tax Records 15

Social Security and Unemployment Tax Records 15

U.S. Corporate Income Tax Forms 15

DEPOSIT ACCOUNTS

Affidavits for Lost Passbook or Certificate P

Cancelled Savings Certificates 5

Deposit 5

Deposit Account Assignment or Transfer Records P

Deposit Account Loan Disclosures After Note "Paid" 2

Deposit Account Loan Notes R

Inheritance Tax Releases 10

Lost Instrument Bonds for Passbooks or Certificates P

No-Mail Notice T + 4

Power of Attorney or Affidavits P

Returned 1099 Forms 6

Savings Certificates Record of Issue T + 5

Signature Card Files T + 5

Withdrawal Slips or Checks 5

INSURANCE

Directors and Officers Liability 10

Fire and Extended Coverage, Auto Errors and Omissions 3

Public Liability - Workers Compensation 10

LOANS (Commercial, Consumer Credit, and Credit Cards)

Borrowers' Statement T + 3

Charged-off Loan Records 10

Collateral Records 10

Customer Application T + 1

Disclosure Document 2

Interest Rebate Record T + 3

Liability Card or Ledger T + 3

Loan Ledger Cards T + 3

Loans Made Record T + 3

Loans Paid Record T + 3

Loan Proceeds Disbursement Records T + 3

Merchant Agreement - Credit Card T + 2

Note and/or Loan Register P

Posting or Transaction Journal 3

Resolutions T + 3

Sales Tickets or Drafts - Credit Card 3

Statement of Account - Credit Card 5

MORTGAGE LOANS

Additional Collateral Agreement T + 3

Affidavits T + 3

Applications T + 3

Appraisals T + 3

Collection Records T + 3

Commitments T + 3

Construction Loan Agreement T + 3

Construction Loan Authorizations T + 3

Correspondence T + 3

Cost Estimates T + 3

Credit Reports T + 3

Disclosure and Recision T + 3

Escrow Agreements and Records T + 3

FHA Insurance Receipts T + 3

Flood Insurance Documentation T + 3

Inspection Reports T + 3

Loan Register P

Modifications T + 3

Mortgage Loan Disclosure Statement (Form HMDA-1) 5

Paid Bills for Borrowers Construction T + 3

Settlement Statement T + 3

Signature Cards T + 3

Title Opinions T + 3

Waiver of Liens T + 3

MISCELLANEOUS

All Retirement Plan Accounts

All Related Forms and Documents T + 7

General Correspondence 3

Investments

Purchase and Sale T + 3

Safe-Keeping Receipts T + 3

Mail Register 3

OSHA

OSHA Records and Reports 6

Personnel Records

Employment Applications

Hired T + 3
Not Hired 3

Group Insurance Records T + 6

Payroll Records 10

Time Cards 3

Purchases, Sales and Participation

Agreement T + 3

Remittance Report T + 3

Sale List T + 3

Safe Deposit Boxes

History Cards P

Lease Contracts T + 3

Rent Receipts 3

Savings Bonds

Applications 2

Duplicate Stubs 2

Letter of Transmittal of Bonds Redeemed 2

Monthly Report of Sales and Holdings 2

Travelers Checks

Applications 2

Consignment Receipts 2

REAL ESTATE OWNED

Appraisal T + 3

Contracts for Sale T + 3

Deeds T + 3

Notice of Intent to Foreclose T + 3

Leases T + 3

PMI Claims T + 3

Tax Records T + 3

Title Policies T + 3

Trustee's Report T + 3

KEY TO SYMBOLS USED

P - Permanent

R - Return to Customer After Termination of Contractual Relationship

T - Termination (Closed, Paid-off, or Settled)

History

Authority G.S. 54B-55; 54C-53
Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16E .0303 Required Policies {#sec-04-ncac-16e-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0303}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on
March 31, 1992
Authority G.S. 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16E .0401 Servicing Loans {#sec-04-ncac-16e-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0401}

A savings institution may service loans originated by the savings institution or by other lenders.

History

Authority G.S. 54B-55; 54B-161; 54C-53
Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16E .0402 Appraisals {#sec-04-ncac-16e-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0402}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54C-53; 54C-128
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16E .0403 Records with Respect to Loans {#sec-04-ncac-16e-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0403}

Each savings institution shall maintain the following loan documentation:

(1) Financial Statements. Financial statements shall be required from any person who is a maker, co-maker, guarantor, endorser, or surety on any unsecured loans or other unsecured extensions of credit in an amount of fifty thousand dollars ($50,000) or more in the aggregate. Financial statements required by this Item shall:

(a) be signed or acknowledged by the maker;

(b) be dated within 18 months preceding the origination date of the credit obligation;

(d) be addressed to or made for the lending savings institution; and

(e) include information reflecting the assets, liabilities, net worth, and income of the borrower.

(2) Financial Statement Exceptions. A savings institution may waive the financial statement required by Item (1) of this Rule for credit granted under a credit card. For an individual whose unsecured obligations consist of consumer loans scheduled to be repaid in at least quarterly installments, a savings institution may substitute a current credit bureau report for the financial statement required by Item (1) of this Rule. A credit bureau report shall be within 18 months from its date of issue.

(3) Personal Property Appraisals. Appraisals on personal property used as collateral for a loan shall be obtained and shall be completed as follows:

(a) Except as provided by Sub-item (3)(c) of this Rule, a written appraisal of personal property used to collateralize any loan shall be made or approved.

(b) Requirements. The appraisal required by this Item shall include:

(i) the name of the borrower;

(ii) the date the appraisal was made;

(iii) the value of the collateral;

(iv) the signatures of two people making the appraisal;

(v) a brief description of the property;

(vi) the amount of any senior lien and the holder of the lien, if any; and

(vii) the original amount or outstanding balance of the loan that the property is used to secure.

(i) on collateral to notes of less than fifty thousand dollars ($50,000);

(ii) on loans fully secured by obligations of the United States or the State of North Carolina;

(iii) on loans fully secured by deposits in the savings institution maintaining the loan account; or

(iv) on loans fully secured by the cash surrender or loan value of life insurance policies.

(d) Renewal Exceptions. Appraisals need not be renewed biennially where a motor vehicle or mobile home is the sole or partial collateral for a loan.

(e) Single Signature Exception. An appraisal may be performed and signed by only one person where a motor vehicle or mobile home is the sole collateral for a loan.

(4) Real Estate Appraisals. Unless otherwise provided, all real estate taken as security for loans shall be appraised in the form and manner set forth in Sub-item (4)(a) through (4)(c) of this Rule. In addition, the appraisal shall be independent in that the appraiser shall not be involved in the loan transaction secured by the property being appraised and shall have no interest, financial or otherwise, in the property.

(a) The savings institution may elect to waive the requirement for an appraisal of real estate given as security for loans of fifty thousand dollars ($50,000) or less.

(b) Appraisals of real estate given as security for loans over fifty thousand dollars ($50,000), but not exceeding two hundred fifty thousand dollars ($250,000), whether directly or indirectly pledged as collateral, shall be prepared by:

(i) two members of the board of directors who are familiar with real estate values in the community where the property is located;

(ii) two savings institution employees who are familiar with real estate values in the community where the property is located, provided that one of the two employees shall not be involved in the loan transaction secured by the property being appraised; or

(iii) a state-licensed real estate appraiser, state-certified real estate appraiser, or a person certified as a real estate appraiser by an appraisal trade organization approved by the savings institution to perform an appraisal.

(c) Appraisals prepared pursuant to Sub-item (4)(b) of this Rule shall be in writing and shall be signed and dated by the person or persons making the appraisal. The appraisal shall identify the loan transaction for which it was made; identify the current balance of any senior lien and the identity of the holder of the lien, if any; segregate values of improvements from values of the land; and describe the property so as to make it identifiable. If a professional appraisal form is used that does not include this information, the savings institution shall complete and attach to the appraisal its own appraisal summary form disclosing the required information. The appraisal shall state the basis or approach used to determine the value of the property. Acceptable approaches to determining the value of real property shall be the following:

(i) the current cost of replacing a property, less depreciation relating to deterioration from functional or economic obsolescence;

(ii) the value indicated by recent sales of comparable properties in the market and other market factors such as listings and offers to sell; or

(iii) the value that the property's net earning power will support, based on a capitalization of net income.

(d) All real estate given as security for loans in an amount over two hundred fifty thousand dollars ($250,000), whether directly or indirectly pledged as collateral, shall be appraised, and such appraisal shall be subject to the provisions of 12 C.F.R. 323.1 through 12 C.F.R. 323.7, which are hereby incorporated by reference including subsequent amendments or additions. This information is available at the U.S. Printing Office website at http://www.ecfr.gov/cgi-bin/text-idx?SID=cb59b820da3e668ebb333139d429ce0c&node=pt12.5.323&rgn=div5 at no cost.

(5) Certificate of Title. A title opinion furnished by an attorney at law, a title report or title insurance policy issued by a company licensed by the Commissioner of Insurance, or other insurance coverage that provides the savings institution with similar protection against loss from title defects, errors, or omissions at closing or other loan-related risks shall be obtained in connection with each deed of trust or mortgage given as security on each real estate-secured loan when:

(a) the loan is primarily secured by real property and only secondarily by the borrower's general credit-worthiness; and

(b) the amount of the loan secured by the real property is fifty thousand dollars ($50,000) or more.

(6) Stock Certificate and Stock Powers. Where stock certificates or similar negotiable securities are accepted as collateral for a loan, each certificate shall be either endorsed and witnessed or accompanied by a stock power signed and witnessed. Where such collateral is in the name of someone other than the maker or endorser of the note, there shall be on file in the savings institution written authority from the collateral owner permitting the hypothecation of the collateral.

(7) Corporate Resolutions. A loan made to a corporation shall be supported by a certified copy of a resolution of the board of directors of the corporation authorizing the loan transaction.

(8) Partnership Declaration. A loan made to a partnership shall be supported by a declaration of the general partners showing the composition of the partnership, and unless all partners sign the note, the authority of the partner(s) executing the note to bind the partnership.

(9) Limited Liability Company Certification. A loan made to a limited liability company shall be supported by a certification of a manager thereof that the loan has been duly authorized by the limited liability company.

(10) Unlisted Securities. Full credit information on all unlisted securities, now owned or hereafter acquired, shall be kept on file in the savings institution.

History

Authority G.S. 54C-53; 54C-128
Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16E .0404 Unsecured Loans Limit {#sec-04-ncac-16e-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0404}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54C-53; 54C-121; 54C-128
Eff. February 15, 1992
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16E .0405 Loans to One Borrower {#sec-04-ncac-16e-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0405}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54C-53; 54C-121; 54C-128
Eff. February 15, 1992
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16E .0501 Signature Cards {#sec-04-ncac-16e-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0501}

History

Status: repealed
Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54C-53; 54C-164
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16E .0502 Holding of Certificate or Passbook {#sec-04-ncac-16e-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0502}

An unpledged savings certificate or passbook shall not be held by a savings institution for the convenience of an account holder.

History

Authority G.S. 54B-55; 54B-121; 54C-53; 54C-164
Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16E .0601 Liquidity {#sec-04-ncac-16e-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0601}

04 NCAC 16E .0602 NET WORTH

History

Filed as a Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on
March 31, 1992
Authority G.S. 54C-53; 54C-162; 54C-163
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16E .0701 Securities {#sec-04-ncac-16e-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0701}

History

Status: repealed
Authority G.S. 54C-53; 54C-141
Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Eff. February 15, 1992
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

04 NCAC 16E .0702 Stock in Other Depository Institutions {#sec-04-ncac-16e-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16E .0702}

History

Status: repealed
Authority G.S. 54C-53; 54C-141
Temporary Adoption Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Eff. February 15, 1992
Amended Eff. December 1, 2011
Repealed Eff. November 1, 2017.

Subchapter F

04 NCAC 16F .0101 Permitted Activities {#sec-04-ncac-16f-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0101}

The service corporation of a savings institution may engage in activities that are approved by the federal regulatory authority pursuant to 12 C.F.R. 5.59(f) for service corporations owned by federal associations that have principal offices in this State and may engage in any other activity authorized for state-chartered savings institutions and approved in advance in writing by the Commissioner of Banks upon a showing by the savings institution that the activity enhances the safe and sound operation of the savings institution, is well managed, is subject to adequate controls, and is not otherwise violative of . North Carolina law. 12 C.F.R. 5.59(f) 1831o is hereby incorporated by reference, including subsequent amendments or editions, and may be found free of charge as follows: https://www.ecfr.gov/cgi-bin/text-idx?SID=b1cbbe0d7d8194e47523927417a42a03&mc=true&node=se12.1.5_159&rgn=div8.

History

Authority G.S. 54B-55; 54B-194; 54C-53; 54C-144
Eff. August 31, 1981
Amended Eff. July 1, 1990; October 1, 1987
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; May 11, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16F .0102 Investment Limitation {#sec-04-ncac-16f-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0102}

Investments in a service corporation include not only stock and other securities of a service corporation, such as notes, bonds and debentures, but also any loans, secured or unsecured, to the service corporation. The investment limitation established by G.S. 54B-194 and G.S. 54C-144 applies to the total investment that a savings institution can make in one or in any number of service corporations. A secured loan to a state-wide multi-owned service corporation shall not be included in the assets investment limitation.

History

Authority G.S. 54B-55; 54B-194; 54C-53; 54C-144
Eff. August 31, 1981
Amended Eff. July 1, 1990; October 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. May 11, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16F .0103 Debt Limitation for Wholly-Owned Service Corporations {#sec-04-ncac-16f-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0103}

The aggregate amount of secured and unsecured debt that a wholly-owned service corporation may have outstanding at any one time to the savings institution and to non-stockholders shall not exceed:

(1) ten times the total of the service corporation's net worth and unsecured debt to the savings institution; or

(2) twenty times the total if the service corporation engages in originating, investing in, selling, purchasing, servicing, or otherwise dealing in (including brokerage or warehousing) loans and participations in loans, that are underwritten in accordance with the savings institution's lending policy and secured by real estate or liens on mobile homes.

History

Authority G.S. 54B-55; 54B-194; 54C-53; 54C-144
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Eff. August 31, 1981
Amended Eff. November 1, 2017; May 11, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16F .0104 Stock in a Service Corporation {#sec-04-ncac-16f-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0104}

History

Status: repealed
Authority G.S. 54B-55; 54B-194
Eff. August 31, 1981
Repealed Eff. July 1, 1990.

04 NCAC 16F .0105 Amendments to Articles of Incorporation or Bylaws {#sec-04-ncac-16f-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0105}

(a) Prior to filing with the Secretary of State of North Carolina, a service corporation shall file with the Commissioner of Banks copies of any proposed amendment to its articles of incorporation. The Commissioner of Banks must approve the form and content of the proposed amendment.

(b) Before the bylaws or any amendments to the bylaws of a service corporation shall become effective, a certified copy of the bylaws or amendments shall be filed with and approved by the Commissioner of Banks. If the Commissioner of Banks fails to act upon the bylaws or amendment within 60 days of receipt, the bylaws or amendment shall be deemed approved.

History

Authority G.S. 54B-55; 54B-194; 54C-53; 54C-144
Eff. August 31, 1981
Amended Eff. November 1, 2017; December 1, 2011; July 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16F .0106 Establishment of Finance Subsidiaries {#sec-04-ncac-16f-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0106}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54B-195; 54C-53; 54C-144; 54C-146
Eff. October 1, 1984
Amended Eff. December 1, 2011; May 11, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16F .0107 Board Action Required {#sec-04-ncac-16f-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0107}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54B-195; 54C-53; 54C-144; 54C-146
Eff. October 1, 1984
Amended Eff. December 1, 2011; May 11, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16F .0108 finance subsidiary transactions with parent {#sec-04-ncac-16f-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0108}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54B-195; 54C-53; 54C-144; 54C-146
Eff. October 1, 1984
Amended Eff. December 1, 2011; May 11, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16F .0109 issuance of securities by finance subsidiaries {#sec-04-ncac-16f-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0109}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54B-195; 54C-53; 54C-144; 54C-146
Eff. October 1, 1984
Amended Eff. December 1, 2011; May 11, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16F .0110 transfer of proceeds {#sec-04-ncac-16f-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0110}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54B-195; 54C-53; 54C-144; 54C-146
Eff. October 1, 1984
Amended Eff. December 1, 2011; May 11, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16F .0111 holding company subsidiaries and finance subsidiaries {#sec-04-ncac-16f-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0111}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54B-195; 54C-53; 54C-144; 54C-146
Eff. October 1, 1984
Amended Eff. December 1, 2011; May 11, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16F .0112 notification to the commissioner of banks {#sec-04-ncac-16f-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0112}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54B-195; 54C-53; 54C-144; 54C-146
Eff. October 1, 1984
Amended Eff. December 1, 2011; May 11, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16F .0113 examination of finance subsidiaries {#sec-04-ncac-16f-.0113 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16F .0113}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54B-195; 54C-53; 54C-144; 54C-146
Eff. October 1, 1984
Amended Eff. December 1, 2011; May 11, 1992
Repealed Eff. November 1, 2017.

Subchapter G

04 NCAC 16G .0101 General {#sec-04-ncac-16g-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0101}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0102 Provisions of Prescribed Forms {#sec-04-ncac-16g-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0102}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0103 Definitions {#sec-04-ncac-16g-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0103}

As used in this Subchapter the words and phrases defined by G.S. 54C-4 and the following definitions apply:

(1) "An affiliate of," or "a person affiliated with" used in connection with another specified person shall mean a person that directly, or indirectly through one or more intermediaries, controls or is under common control with the person specified.

(2) "Amount," when used in regard to securities, shall mean the principal amount if relating to evidences of indebtedness, the number of shares if relating to shares of stock, or the number of units if relating to any other kind of security.

(3) "Applicant" shall mean a savings institution that has applied to convert to stock ownership pursuant to this Subchapter.

(4) "Broker" shall mean any person engaged in the business of effecting transactions in securities for the account of others.

(5) "Dealer" shall mean any person who engages either for all or part of their time, directly or indirectly, as agent, broker, or principal, in the business of offering, buying, selling, or otherwise dealing or trading in securities issued by another person.

(6) "Deposit account" shall mean that part of the liability of the savings institution that is credited to the account of the holder including certificates of deposit.

(7) "Eligibility record date" shall mean the record date for determining eligible account holders of a converting savings institution.

(8) "Eligible account holder" shall mean any person holding a qualifying deposit as determined in accordance with Rule .0313 of this Subchapter.

(9) "Employee" shall not mean a director or executive officer of a savings institution.

(10) "Equity security" shall mean the following:

(a) any stock or similar security;

(b) any security convertible, with or without considerations, into a security, or carrying any warrant or right to subscribe to or purchase a security; or

(11) "Executive Officer" shall mean any person performing a policy-making function with respect to any organization, whether incorporated or unincorporated.

(12) "Investment representative" shall mean a professional investment advisor acting as agent for the purchaser and independent of the seller and not acting on behalf of the seller in connection with the transaction.

(13) "Market maker" shall mean a dealer who, with respect to a particular security:

(a) regularly publishes bona fide, competitive bid, and offer quotation in a recognized inter-dealer quotation system or furnishes bona fide competitive bid and offer quotations on request; and

(b) is ready, willing, and able to effect transactions in reasonable quantities at the quoted prices with other brokers or dealers.

(14) "Material," when used to qualify a requirement to provide information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before purchasing an equity security of the applicant, or matters as to which an average prudent savings institution member ought reasonably to be informed in voting upon the plan of conversion of the applicant.

(15) "Negotiated transactions" shall mean transactions in which the securities are offered and the terms and arrangements relating to any sale of the securities are arrived at through direct communications between the seller or any person acting in its behalf and the purchaser or his investment representative.

(16) "Offer," "offer to sell," or "offer of sale" shall mean every attempt or offer to dispose of or solicitation of an offer to buy a security or interest in a security for value. These terms shall not include preliminary negotiations or agreements between an applicant and any underwriter or among underwriters who are or will be in privity of contract with an applicant.

(17) "Person" is defined in G.S. 55-1-40.

(18) "Proxy" shall mean every form of authorization by which a person is, or may be deemed to be, designated to act for a savings institution member in the exercise of his or her voting rights in the affairs of a savings institution. An authorization may take the form of failure to dissent or object.

(19) "Purchase" and "buy" shall mean every contract to acquire a security or interest in a security for value.

(20) "Sale" and "sell" shall mean every contract to dispose of a security or interest in a security for value.

(21) "Security" shall mean any note, stock, treasury stock, bond, debenture, transferable share, investment contract, voting-trust certificate, or in general, any instrument commonly known as a "security." It shall also include any certificate of interest or participation in, temporary or interim certificate for, receipt for, or warrant or right to subscribe to or purchase, any of the foregoing.

(22) "Solicitation" and "solicit" shall mean:

(a) any request for a proxy whether or not accompanied by or included in a form of proxy;

(b) any request to execute, not execute, or revoke a proxy; or

(c) providing a form of proxy or other communication to savings institution members under circumstances calculated to result in the procurement, withholding, or revocation of a proxy. The terms shall not apply to the furnishing of a form of proxy to a savings institution member upon the unsolicited request of the member or to the performance by any person of ministerial acts on behalf of a person soliciting a proxy.

(23) "Subscription offering" shall mean offering shares of capital stock, through nontransferable subscription rights, to:

(a) eligible account holders as required by Rule .0311(2) of this Subchapter;

(b) supplemental eligible account holders as required by Rule .0311(4) of this Subchapter;

(c) members entitled to vote at the meeting called to consider the conversion as required by Rule .0311(5) of this Subchapter;

(d) directors, executive officers, and employees, as permitted by Rule .0312(2) of this Subchapter; or

(e) eligible account holders, supplemental eligible account holders, and voting members as permitted by Rule .0312(3) of this Subchapter.

(24) "Subsidiary" of a specified person shall mean a person controlled, directly or indirectly, through one or more intermediaries by the specified person.

(25) "Supplemental eligible account holder" shall mean any person holding a qualifying deposit, except executive officers, directors, and their associates, as of the supplemental eligibility record date required by Rule .0311 of this Subchapter.

(26) "Underwriter" shall mean any person who has purchased from an applicant with a view to, or any person who offers or sells for an applicant in connection with, the distribution of any security; or participates or has a direct or indirect participation in the direct or indirect underwriting of any undertaking. Underwriting shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commission. The term "principal underwriter" shall mean an underwriter in privity of contract with the applicant or other issuer of securities as to which he or she is the underwriter.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0104 General Requirements {#sec-04-ncac-16g-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0104}

(a) No application for conversion shall be approved by the Commissioner of Banks unless:

(1) The conversion shall be conducted in compliance with G.S. 54B or G.S. 54C, and this Subchapter and pursuant to a plan of conversion approved by the Commissioner of Banks; and

(2) The conversion shall not result in a taxable reorganization under the Internal Revenue Code.

(b) The converted savings bank shall be deemed to be a continuation of the savings institution so converted.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0105 application for conversion {#sec-04-ncac-16g-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0105}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992.
Repealed Eff. November 1, 2017.

04 NCAC 16G .0106 Confidential Information {#sec-04-ncac-16g-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0106}

An applicant that submits information as part of an application may request that the information be confidential by separately binding and labeling the information as "confidential," and a statement shall be submitted setting forth the grounds on which the information should be treated as confidential pursuant to G.S. 54C-60. Only general reference to the confidential information shall be made in that portion of the application that the applicant requests not to be confidential. The Commissioner of Banks shall review the request of the applicant and determine if the documents are confidential pursuant to G.S. 54C-60. Applications under this Subchapter shall be made available for inspection by the public, except for portions that are bound and labeled "confidential" and that the Commissioner of Banks determines to be confidential pursuant to G.S. 54C-60. Preliminary copies of proxy-soliciting materials shall be confidential regardless of whether they are bound and labeled as "confidential." The applicant shall be advised of any decision by the Commissioner of Banks to make public information designated as "confidential" by the applicant. Notwithstanding the provisions of this Rule and to the extent permitted by G.S. 54C-60, the Commissioner of Banks may comment on the confidential submissions in any public statement in connection with any decision regarding the application without prior notice to the applicant.

History

Authority G.S. 53C-2-7; 54C-33; 54C-53
Eff. January 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0201 Definitions {#sec-04-ncac-16g-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0201}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0202 Other Terms {#sec-04-ncac-16g-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0202}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0301 General Requirements {#sec-04-ncac-16g-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0301}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; February 1, 1983; October 1, 1982; July 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0302 Required Provisions in Plan of Conversion {#sec-04-ncac-16g-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0302}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; February 1, 1983; October 1, 1982; July 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0303 Optional Provisions in Plan of Conversion {#sec-04-ncac-16g-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0303}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; February 1, 1983; October 1, 1982; July 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0304 Amount of Deposit: Predecessor and Successor Accounts {#sec-04-ncac-16g-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0304}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; February 1, 1983; October 1, 1982; July 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0305 Liquidation Account {#sec-04-ncac-16g-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0305}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; February 1, 1983; October 1, 1982; July 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0306 Restrictions: Repurchase of Stock: Payment of Dividends {#sec-04-ncac-16g-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0306}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; February 1, 1983; October 1, 1982; July 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0307 Manipulative and Deceptive Devices {#sec-04-ncac-16g-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0307}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; February 1, 1983; October 1, 1982; July 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0308 Acquisition of Converted Association {#sec-04-ncac-16g-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0308}

History

Status: repealed
Authority G.S. 54-24; 54-24.1; 54-33.2; 54A-13; 150A-12
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Repealed Eff. October 1, 1982.

04 NCAC 16G .0309 Merger of Converted Associations {#sec-04-ncac-16g-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0309}

History

Status: repealed
Authority G.S. 54B-33
Eff. December 15, 1980
Amended Eff. January 14, 1981
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0310 Acquisition/Securities: Converting/Converted Association {#sec-04-ncac-16g-.0310 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0310}

History

Status: repealed
Authority G.S. 54B-33
Eff. October 1, 1982
Repealed Eff. September 1, 1983.

04 NCAC 16G .0311 Required Provisions in Plan of Conversion {#sec-04-ncac-16g-.0311 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0311}

The plan of conversion shall:

(1) Provide that the converting savings institution shall issue and sell its capital stock at a total price equal to the estimated pro forma market value of the stock in the converted savings institution, based on an independent valuation, as provided in Rule .0717 of this Subchapter.

(2) Provide that each eligible account holder shall receive, without payment, nontransferable subscription rights to purchase capital stock. Subscription rights shall be allocated among the eligible account holders on an equitable basis in an amount not greater than the maximum purchase limitation established for the public offering or the direct community offering. The plan of conversion shall provide a comprehensive description of this allocation including a detailed description of the allocation in the event of an oversubscription of the capital stock. In the event of an oversubscription, shares shall be allocated on an equitable basis that is related to the amount of the subscriber's qualifying deposits.

(3) Provide that nontransferable subscription rights to purchase capital stock received by executive officers and directors of the applicant and their associates, based on their increased deposits in the applicant savings institution in the one-year period preceding the eligibility record date, shall be subordinated to all other subscriptions involving the exercise of nontransferable subscription rights to purchase shares pursuant to Item (2) of this Rule.

(4) In plans involving an eligibility record date that is more than 15 months prior to the date of the latest amendment to the application for conversion filed prior to the Commissioner of Banks' approval, provide that a supplemental eligibility record date shall be determined whereby each supplemental eligible account holder of the applicant shall receive, without payment, nontransferable subscription rights to purchase capital stock in an amount related to his or her respective qualifying deposits.

(a) Subscription rights received pursuant to Item (4) of this Rule shall be subordinated to all rights received by eligible account holders to purchase shares pursuant to Items (2) and (3) of this Rule.

(b) Any nontransferable subscription rights to purchase shares received by an eligible account holder in accordance with Item (2) of this Rule shall be applied in partial satisfaction of the subscription rights to be distributed pursuant to this Item.

(c) In the event of an oversubscription for supplemental shares pursuant to this Item, shares shall be allocated among the subscribing supplemental eligible account holders on an equitable basis, related to the amounts of their respective qualifying deposits, as may be provided in the plan of conversion.

(5) Provide that voting members who are not either eligible account holders or supplemental eligible account holders shall receive, without payment, nontransferable subscription rights to purchase capital stock on an equitable basis defined in the plan of conversion. Subscription rights received pursuant to this Item shall be subordinated to all rights received by eligible account holders and supplemental eligible account holders to purchase shares pursuant to Items (2), (3), and (4) of this Rule. In the event of an oversubscription of capital stock pursuant to this Item, shares shall be allocated among the subscribing voting members on such equitable basis as may be provided in detail in the plan of conversion.

(6) Provide that any shares of the applicant not sold to persons with subscription rights shall either be sold in a public offering through an underwriter or directly by the applicant in a direct community offering, subject to the applicant demonstrating to the Commissioner of Banks the feasibility of the method of sale and of conditions as may be provided in the plan of conversion. Conditions may include the following:

(a) limiting purchases in the public offering or the direct community offering by any person together with any associate or group of persons acting in concert to a percentage of the total offering of shares not exceeding five percent; except that:

(i) any one or more tax-qualified employee stock benefit plans of the applicant may purchase in the aggregate not more than ten percent of the total offering of shares and shall be entitled to purchase that amount regardless of the number of shares to be purchased by other parties; and

(ii) that shares held by one or more tax-qualified employee stock benefit plans and attributed to a person shall not be aggregated with other shares purchased directly by or otherwise attributable to that person.

(b) requiring that orders for stock in any public offering or direct community offering shall first be filled up to a maximum of two percent of the conversion stock per order and thereafter remaining shares shall be allocated on an equal number of shares basis per order until all orders have been filled;

(c) requiring that stock to be offered and sold in the public offering or the direct community offering shall be offered and sold in a manner requiring that will achieve the widest distribution of the stock; or

(d) any direct community offering by the applicant shall give a preference to a person residing in the counties in which the applicant has an office.

(7) Provide that the number of shares that any person together with any associate or group of persons acting in concert may subscribe or purchase in the conversion shall not exceed five percent of the total offering of shares, except that any one or more tax-qualified employee stock benefit plans of the applicant may purchase in the aggregate not more than 10 percent of the total offering of shares. Shares held by one or more tax-qualified or non-tax-qualified employee stock benefit plans and attributed to a person shall not be aggregated with shares purchased directly by or otherwise attributable to that person. For purpose of this Item the members of the converting savings institution's board of directors shall not be deemed to be associates or a group of persons acting in concert solely as a result of their board membership.

(8) Provide that for a period of three years following the conversion no executive officer or director or any associate of an executive officer or director shall purchase without the prior written approval of the Commissioner of Banks the capital stock of the converted savings institution except from a broker or dealer registered with the Secretary of State of North Carolina or the Securities and Exchange Commission. This provision shall not apply to negotiated transactions involving more than one percent of the outstanding capital stock of the converted savings institution or to purchases of stock made by and held by any one or more tax qualified or non-tax-qualified employee stock benefit plans of the applicant that may be attributable to executive officers or directors.

(9) Provide that the sales price of the shares of capital stock to be sold in the conversion shall be a uniform price and specify the underwriting and other marketing arrangements to be made to assure the sale of any shares not sold in the subscription offering.

(10) Provide that each deposit account holder of the converting savings institution shall receive, without payment, a deposit account or accounts in the converted savings institution equal in amount to the value of the account holder's deposit account or accounts in the converting savings institution.

(11) Provide for the establishment and maintenance of a liquidation account for the benefit of eligible account holders and supplemental eligible account holders in the event of a subsequent complete liquidation of the converted savings institution.

(12) Provide for an eligibility record date that shall be not less than 90 days prior to the date of adoption of the plan by the converting savings institution's board of directors.

(13) Provide that the holders of the capital stock of the converted savings institution shall have exclusive voting rights.

(14) Provide that the plan of conversion adopted by the applicant's board of directors may be amended by the board of directors prior to the solicitation of proxies from members to vote on the plan and at any time thereafter with the concurrence of the Commissioner of Banks, and that the conversion may be terminated by the board of directors at any time prior to the meeting of members called to consider the plan of conversion and at any time thereafter with the concurrence of the Commissioner of Banks.

(15) Establish a time period within which the conversion shall be completed prior to termination. This time period shall not be more than 12 months from the date the members approve the plan of conversion. This time period may be extended an additional 12 months by a plan amendment.

(16) Provide that all shares of capital stock purchased by directors and executive officers on original issue in the conversion either directly from the applicant (by subscription or otherwise) or from an underwriter of shares, shall be subject to the restriction that such shares shall not be sold for a period of not less than one year following the date of purchase, except in the event of death of the director or executive officer. The Commissioner of Banks may grant permission for the transfer of restricted stock upon a determination that the restriction imposes a substantial personal financial hardship on the individual due to changed unforeseeable circumstances outside the control of the individual.

(17) Provide that, in connection with shares of capital stock subject to restriction on sale under Item (16) of this Rule:

(a) Each certificate for such stock shall bear a legend giving appropriate notice of the applicable restrictions;

(b) Instructions shall be issued to the transfer agent for the converted savings institution's capital stock with respect to applicable restrictions on transfer of any restricted stock; and

(c) Any shares issued as a stock dividend, stock split, or otherwise with respect to any restricted stock shall be subject to the same restrictions as may apply to the restricted stock.

(18) Provide that the converting savings institution shall:

(a) encourage a market maker to establish and maintain a market for the securities issued in connection with the conversion; and

(b) list those shares issued in connection with the conversion on a national or regional securities exchange, or on the NASDAQ system.

(19) Provide that the expenses incurred in the conversion shall be reasonable.

(20) Contain no provision that the Commissioner of Banks finds to be inequitable or detrimental to the applicant, its account holders or other savings banks or to be contrary to the public interest.

(21) Contain no provision that the Commissioner of Banks finds will harm the community and public served by the savings institution.

(22) Provide that the converting savings bank shall not loan funds or otherwise extend credit on an unsecured basis or upon the security of the savings institution's capital stock to any person to purchase the capital stock of the converting savings institution.

(23) Provide that the savings institution may make scheduled discretionary contributions to a tax-qualified employee stock benefit plan provided the contributions do not cause the savings institution to fail to meet its net worth requirements.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017; May 3, 1993
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0312 Optional Provisions in Plan of Conversion {#sec-04-ncac-16g-.0312 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0312}

The plan of conversion may provide any of the following:

(1) The applicant may commence the direct community offering or the public offering, or both, concurrently with or at any time during the subscription offering. The subscription offering may be commenced concurrently with or at any time after the mailing to members of the proxy statement authorized for use by the Commissioner of Banks. The subscription offering may be closed before the meeting of the members held to vote on the plan of conversion, provided that the offer and sale of capital stock shall be conditioned upon the approval of the plan of conversion by the members.

(2) Directors, executive officers, and employees of the converting savings institution shall receive, without payment, nontransferable subscription rights to purchase shares of capital stock, to the extent that shares are available after satisfying the subscriptions of eligible account holders, supplemental eligible account holders, and voting members provided for under Items (2), (4) and (5) of Rule .0311 of this Section. The shares shall be allocated among directors, officers, and employees on an equitable basis such as by giving weight to length of service, compensation, and position, subject to the limitation in Item (7) of Rule .0311 of this Section on the amount of shares that may be purchased by any person, associate, or group of affiliated persons or group of persons otherwise acting in concert.

(3) Any account holder receiving rights to purchase stock in the subscription offering shall also receive, without payment, nontransferable subscription rights to purchase up to one percent of the total offering of shares of capital stock, to the extent that the shares are available after satisfying the subscriptions provided for under Items (2), (4), and (5) of Rule .0311 of this Section, subject to conditions as may be provided in the plan of conversion. In the event of an oversubscription for the additional shares, the shares available shall be allocated among the subscribing eligible account holders, supplemental eligible account holders, and voting members on an equitable basis related to the amounts of their respective subscriptions, as may be provided in the plan of conversion.

(4) The applicant may require members to return by a date certain a postage-paid written communication provided by the applicant, requesting receipt of a subscription offering cicular or a preliminary or final offering circular in an offering pursuant to Item (10) of this Rule, in order to be entitled to receive an offering circular from the applicant; provided, that the subscription offering or the offering pursuant to Item (10) of this Rule shall not be closed until 30 days after the mailing by the applicant to members of the postage-paid written communication. If the subscription offering or the offering pursuant to Item (10) of this Rule is not commenced within 45 days after the meeting of members, any converting savings institution adopting this optional provision shall transmit, not more than 30 days prior to the commencement of the subscription offering or the offering pursuant to Item (10) of this Rule to each member who had been furnished with proxy solicitation materials, written notice of the commencement of the offering that shall state that the converting savings institution is not required to furnish an offering circular to a member unless the member returns by a date certain the postage-paid written communication provided by the converting savings institution requesting receipt of an offering circular.

(5) The applicant may require eligible account holders and supplemental eligible account holders who are not voting members to return by a date certain a postage-paid written communication in accordance with the procedure established in Item (4) of this Rule.

(6) Any residue of shares of the converting savings institution not sold in the subscription offering, in a public offering, or direct community offering may be sold as provided in the plan of conversion with the written consent of the Commissioner of Banks.

(7) The number of shares that any person or group of persons affiliated with each other or otherwise acting in concert may subscribe for in the subscription offering may be made subject to a limit of not less than one percent of the total offering of the shares.

(8) Any person exercising subscription rights to purchase capital stock shall be required to purchase a minimum number of shares, but the aggregate price for any minimum share purchase shall not exceed five hundred dollars ($500.00).

(9) The converted savings institution shall issue and sell, in lieu of shares of its capital stock, units of securities consisting of capital stock and long-term warrants or other equity securities, in which event any reference in the provisions of this Subchapter to capital stock shall apply to units of equity securities unless the context otherwise requires.

(10) Instead of a separate subscription offering, all subscription rights issued in connection with the conversion shall be exercisable by delivery of completed and executed order forms to the underwriters or selling group for the public offering or pursuant to any other procedure, subject to the applicant demonstrating to the Commissioner of Banks the feasibility of the method of exercising such right and to such conditions as shall be provided in the plan of conversion.

(11) The Commissioner of Banks may approve other equitable provisions as necessary to avert injury to the converting savings institution.

(12) The proxy statement authorized by G.S. 54B-33 or G.S. 54C-33 may be in summary form, provided the proxy meets the requirements.

The date on which the summary proxy statement is mailed to members shall be deemed the date on which notice is given. Without the prior written consent of the Commissioner of Banks, the meeting of members shall not be held less than 20 days after the date on which the supplemental information statement is mailed to requesting members.

(13) In the event that the converting institution is establishing a tax-qualified employee stock ownership plan (ESOP) for the benefit of its employees, then notwithstanding the priorities established under Items (2), (4), and (5) of Rule .0311 of this Section, the plan of conversion may provide that the ESOP may purchase up to 10 percent of the aggregate shares offered in the conversion prior to offering shares to eligible account holders, supplemental eligible account holders, or other voting members.

(14) Eligible account holders shall be divided into two subcategories for purposes of determining the aggregate number of shares of conversion stock allocated to be purchased by account holders in each subcategory: those whose permanent residence is within the market area of the converting institution and those whose permanent residence is outside the market area of the converting institution. A plan of conversion that divides account holders into subcategories shall provide:

(a) That each eligible accountholder who resides within the applicant's market area shall receive nontransferable subscription rights to purchase a number of shares based on the accountholder's qualifying deposit balance up to the maximum purchase limitation established pursuant to Rule .0311(7) of this Section, provided that the aggregate number of shares of conversion stock to be allocated for purchase by eligible account holders within the converting institution's market area shall equal that number of shares (rounded to the nearest whole number) determined by multiplying the total number of shares of stock to be sold in the offering times a fraction the numerator of which is the sum of qualifying deposits held by eligible account holders residing inside the market area and the denominator of which is the sum of all qualifying deposits.

(b) That each eligible account holder who resides outside the applicant's market area shall receive nontransferable subscription rights to purchase a number of shares based on the account holder's qualifying deposit balance up to the maximum purchase limitations established pursuant to Rule .0311(7) of this Section, provided that the aggregate number of shares of conversion stock to be allocated for purchase by eligible account holders outside the converting institution's market area shall equal that number of shares (rounded to the nearest whole number) determined by multiplying the total number of shares of stock to be sold in the offering times a fraction the numerator of which is the sum of qualifying deposits held by eligible account holders residing outside the converting institution's market area and the denominator of which is the sum of all qualifying deposits.

(c) Within each subcategory, a formula to be used in the event of an oversubscription for the equitable allocation of shares of stock within the subcategory that relates to an eligible account holder's qualifying deposit balance.

(d) For the purposes of this Item, a converting institution shall define its "market area" to include each county in which it has an office and may include additional counties contiguous to those counties in which it maintains an office, regardless of whether such counties are in the State of North Carolina.

History

Authority G.S. 54B-33; 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017; September 1, 1993; April 15, 1993
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0313 Record Dates for Qualifying Deposits {#sec-04-ncac-16g-.0313 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0313}

The amount of the qualifying deposit of an eligible account holder or supplemental eligible account holder shall be the total of the deposit balances in the eligible account holder's or supplemental eligible account holder's deposit accounts in the converting savings institution as of the close of business on the eligibility record date or supplemental eligibility record date. The plan of conversion may provide that any deposit accounts with total deposit balances of less than fifty dollars ($50.00) shall not constitute a qualifying deposit.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0314 Liquidation Account {#sec-04-ncac-16g-.0314 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0314}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0315 Manipulative and Deceptive Devices {#sec-04-ncac-16g-.0315 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0315}

In the offer, sale, or purchase of securities issued incident to its conversion, no savings institution, director, executive officer, attorney, agent, or employee shall:

(1) employ any device, scheme, or artifice to defraud;

(2) obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances that they were made, not misleading; or

(3) engage in any act, transaction, practice, or course of business that operates or would operate as a fraud or deceit upon a purchaser or seller.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0316 Merger of Converted Savings Banks {#sec-04-ncac-16g-.0316 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0316}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0401 Information Prior to Approval of Plan of Conversion {#sec-04-ncac-16g-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0401}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0402 Notice of Filing {#sec-04-ncac-16g-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0402}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0403 Confidential Information {#sec-04-ncac-16g-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0403}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0404 Information Prior to Approval of Plan of Conversion {#sec-04-ncac-16g-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0404}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0405 Notice of Filing {#sec-04-ncac-16g-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0405}

(a) Upon determination that an application for conversion is complete, the Commissioner of Banks shall advise the applicant to publish a notice of the filing of the application. The applicant shall publish the notice in a newspaper having general circulation in the community that the home office of the applicant is located, and the notice shall state the following:

Notice is hereby given that, pursuant to General Statute 54C-33,

(fill in name of applicant)

has filed an application with the Office of the Commissioner of Banks for approval to convert to the stock form of organization. Copies of the application have been delivered to the North Carolina Office of the Commissioner of Banks, 316 W. Edenton Street, Raleigh, North Carolina 27603.

Written comments, including objections to the plan of conversion and materials supporting the objections, from any member of the applicant or aggrieved person shall be considered by the Commissioner of Banks if filed within 14 business days after the date of this notice. Comments or objections shall be sent to the Commissioner of Banks at the address noted above. A copy of the plan may be obtained from the applicant.

(b) After publication of the notice prescribed in Paragraph (a) of this Rule, the applicant shall file a copy of the notice with the Commissioner of Banks. The applicant shall also file a copy of an affidavit of publication from each newspaper publisher.

History

Authority G.S. 54B-33; 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0501 Solicitations to Which Rules Apply {#sec-04-ncac-16g-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0501}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From With Change 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0502 Use of Proxy Soliciting Material to Be Authorized {#sec-04-ncac-16g-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0502}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From With Change 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0503 Information to Be Furnished Association Members {#sec-04-ncac-16g-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0503}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From With Change 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0504 Requirements as to Proxy {#sec-04-ncac-16g-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0504}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From With Change 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0505 Material Required to Be Filed {#sec-04-ncac-16g-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0505}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From With Change 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0506 Mailing Communications for Associations Members {#sec-04-ncac-16g-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0506}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From With Change 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0507 False or Misleading Statements {#sec-04-ncac-16g-.0507 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0507}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From With Change 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0508 Prohibition of Certain Solicitations {#sec-04-ncac-16g-.0508 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0508}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From With Change 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0509 Solicitations to Which Rules Apply {#sec-04-ncac-16g-.0509 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0509}

This Section applies to every solicitation of a proxy from a member of a savings institution for the meeting that a plan of conversion will be voted upon, except the following:

(1) any solicitation made otherwise than on behalf of the management of the savings institution where the total number of persons solicited is not more than 50; or

(2) any solicitation through the medium of a newspaper advertisement that informs members, following approval of the plan of conversion, of a source from which they may obtain copies of a proxy statement, form of proxy, or any other solicitation material and shall contain no more than:

(a) name the savings institution;

(b) state the reason for the advertisement;

(d) urge members to vote at the meeting.

History

Authority G.S. 54B-33; 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0510 Use of Proxy Soliciting Material to Be Authorized {#sec-04-ncac-16g-.0510 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0510}

Proxy solicitation material shall not be furnished to members or distributed until the material has been authorized, in writing by the Commissioner of Banks. Proxy solicitation material authorized for use by the Commissioner of Banks shall be mailed to the members within 10 days of authorization or within 10 days of the date that the material is declared effective by the Securities and Exchange Commission, if applicable, whichever is later. The Commissioner of Banks may approve in writing to extend the date upon a showing that adherence to the 10-day rule would cause a hardship upon the savings institution and that the delay would not be disadvantageous to any interested party.

History

Authority G.S. 54B-33; 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017; April 15, 1993
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0511 INFORMATION TO BE FURNISHED to MEMBERS {#sec-04-ncac-16g-.0511 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0511}

No solicitation shall be made unless each person solicited is furnished, or has previously been furnished, a written proxy statement that has been authorized by the Commissioner of Banks.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0512 Requirements as to Proxy {#sec-04-ncac-16g-.0512 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0512}

(a) The form of proxy shall:

(1) indicate in bold face type whether the proxy is solicited on behalf of management;

(2) provide blank spaces for dating and signing the proxy;

(3) identify each matter or group of related matters intended to be acted upon;

(4) be labeled "Revocable Proxy" in bold face type;

(5) describe any charter or state law restricting or conditioning voting by proxy;

(6) contain an acknowledgement by the person giving the proxy that the person has received a proxy statement prior to signing the form of proxy;

(7) contain the date, time, and place of meeting, if practicable;

(8) provide, by a box or otherwise, a means whereby the person solicited is afforded an opportunity to specify by ballot a choice between approval or disapproval of each matter intended to be acted upon; and

(9) indicate in bold face type how the proxy shall be voted on each matter if no choice is specified.

(b) No proxy obtained pursuant to the conversion shall confer authority to vote at any meeting other than the meeting, or any adjournment thereof, to vote on the plan of conversion. A proxy may be deemed to confer authority to vote with respect to matters incident to the conduct of the meeting. If the plan of conversion is considered at an annual meeting, existing proxies may be voted with respect to matters not related to the plan of conversion.

(c) The proxy statement or form of proxy shall provide that the votes represented by the proxy will be voted. Where the person solicited specifies by means of a ballot provided pursuant to Subparagraph (a)(8) of this Rule a choice with respect to any matter to be acted upon, the votes shall be voted in accordance with the specifications. If no choice is specified, the votes shall be cast as indicated in bold face type on the form of proxy.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0513 Material Required to Be Filed {#sec-04-ncac-16g-.0513 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0513}

(a) An applicant shall file a preliminary copy of the proxy materials to be used by the applicant as a part of the application for conversion filed with the Commissioner of Banks.

(b) A copy of the proxy statement, a copy of the form of proxy, and all other solicitation material in the form that the material is furnished to members shall be filed with or mailed for filing to the Commissioner of Banks not later than the date the material is first sent or given to members. All materials filed pursuant to this Paragraph shall be accompanied by a statement of the date that copies of the materials are to be released to members.

(c) All preliminary copies of material filed pursuant to Paragraph (a) of this Rule shall be marked on the cover page "Preliminary Copy." Preliminary copies shall be for the information of the Commissioner of Banks only.

(d) Unless requested by the Commissioner of Banks, copies of replies to inquiries from members and copies of communications that do no more than request that forms of proxy solicited be signed and returned shall not be filed pursuant to this Rule.

(e) Where any proxy statement, form of proxy, or other material filed pursuant to this Rule is amended or revised, a copy of the amended or revised material filed with the Commissioner of Banks shall be marked to indicate all changes effected subsequent to the previous filing, prior to use of the amended or revised material.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017; April 15, 1993
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0514 Mailing Communications for Members {#sec-04-ncac-16g-.0514 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0514}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0515 False or Misleading Statements {#sec-04-ncac-16g-.0515 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0515}

(a) Any solicitation of a proxy for the meeting to vote on the plan of conversion by the applicant, its management, or any other person shall not contain written or oral statements, including misleading statements by intentional omission or by misstatement, that when made is false or misleading with respect to any material fact of the conversion.

(b) The fact that a proxy statement, form of proxy, or other solicitation material has been filed with or examined by the Commissioner of Banks and authorized for use shall not be a finding by the Commissioner of Banks that the material is accurate or complete, not false or misleading, or that the Commissioner of Banks has passed upon the merits of or approved any proposal contained therein. No representation to the contrary shall be made by any person.

(c) If a solicitation by management or the applicant violates any provision of this Rule, the Commissioner of Banks may require remedial measures, including:

(1) correction of any such violation by means of a retraction and new solicitation;

(2) rescheduling of the meeting for a vote on the plan of conversion; or

(3) any other actions that are appropriate under the circumstances in order to ensure a fair vote.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0516 Prohibition of Certain Solicitations {#sec-04-ncac-16g-.0516 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0516}

No person soliciting a proxy from a member for the meeting to vote on the plan of conversion shall solicit:

(1) any undated or post-dated proxy;

(2) any proxy that provides that it shall be deemed to be dated as of any date subsequent to the date that it is signed by the member;

(3) any proxy that is not revocable at will by the member giving it; or

(4) any proxy that is part of any other document or instrument, such as an account card.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0601 Vote at Special Meeting {#sec-04-ncac-16g-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0601}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0602 Determining Members Eligible to Vote {#sec-04-ncac-16g-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0602}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0603 Notice to Members {#sec-04-ncac-16g-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0603}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0604 Required Vote {#sec-04-ncac-16g-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0604}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0605 Notice to Eligible and Supplemental Account Holders {#sec-04-ncac-16g-.0605 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0605}

History

Status: repealed
Authority G.S. 54B-33
Eff. October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0606 Vote at Members Meeting {#sec-04-ncac-16g-.0606 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0606}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0607 Notice to Members {#sec-04-ncac-16g-.0607 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0607}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0608 elective notice to non-voting account holders {#sec-04-ncac-16g-.0608 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0608}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0701 General {#sec-04-ncac-16g-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0701}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0702 Distribution of Offering Materials {#sec-04-ncac-16g-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0702}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0703 Estimated Price Information: Proxy Statements {#sec-04-ncac-16g-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0703}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0704 Prohibited Representations {#sec-04-ncac-16g-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0704}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0705 Underwriting Expenses {#sec-04-ncac-16g-.0705 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0705}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0706 Pricing Materials {#sec-04-ncac-16g-.0706 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0706}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0707 Order Forms for Purchase of Capital Stock {#sec-04-ncac-16g-.0707 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0707}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0708 Withdrawal from Certificate Accounts {#sec-04-ncac-16g-.0708 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0708}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0709 Period for Completion of Sale {#sec-04-ncac-16g-.0709 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0709}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred With Change From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0710 Interest/Subscription/Community Purchase Orders {#sec-04-ncac-16g-.0710 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0710}

History

Status: repealed
Authority G.S. 54B-33
Eff. October 1, 1982
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0711 Extensions of Time to Complete Offerings {#sec-04-ncac-16g-.0711 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0711}

History

Status: repealed
Authority G.S. 54B-33
Eff. October 1, 1982
Amended Eff. September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0712 General {#sec-04-ncac-16g-.0712 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0712}

No offer to sell securities of an applicant pursuant to a plan of conversion may be made until the Commissioner of Banks has approved the plan of conversion and authorized the use of the proxy statement. No sale of securities may be made except by means of a final offering circular that meets the requirements of this Section and that has been approved by the Commissioner of Banks. This Rule shall not apply to preliminary negotiations or agreements between an applicant and any underwriter or among underwriters who are to be in privity of contract with the applicant.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0713 Distribution of Offering Materials {#sec-04-ncac-16g-.0713 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0713}

Any preliminary offering circular that has been filed with the Commissioner of Banks may be distributed in connection with the offering at the same time as or after the proxy statement is mailed to members. No final offering circular shall be distributed until it has been approved by the Commissioner of Banks. The approval of the final offering circular by the Commissioner of Banks shall not extend beyond the maximum time period specified for the completion of the sale of all the capital stock, pursuant to Rule .0720 of this Section, or beyond the period of time the Commissioner of Banks shall establish upon a subsequent declaration of effectiveness in the event of the granting of an extension of time pursuant to Rule .0722 of this Section.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0714 Estimated Price Information: Proxy Statements {#sec-04-ncac-16g-.0714 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0714}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0715 Prohibited Representations {#sec-04-ncac-16g-.0715 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0715}

No representations shall be made in any manner that the price information has been approved by the Commissioner of Banks, that the shares of capital stock sold pursuant to the plan of conversion have been approved or disapproved by the Commissioner of Banks, or that the Commissioner of Banks has opined on the accuracy or adequacy of any offering circular covering the shares.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0716 Underwriting Expenses {#sec-04-ncac-16g-.0716 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0716}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0717 Pricing Materials {#sec-04-ncac-16g-.0717 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0717}

(a) In considering the pricing information, the Commissioner of Banks shall apply the following guidelines:

(1) the materials shall be prepared by persons independent of the applicant who are experienced and expert in the area of corporate appraisal;

(2) the materials shall contain a brief summary of data that is sufficient to support the conclusions reached; and

(3) to the extent that the appraisal is based on the capitalization of the pro forma income of the converted savings bank, the materials shall indicate the basis for determination of the income to be derived from the proceeds of the sale of stock and demonstrate the appropriateness of the earnings multiple used, including assumptions made as to future earnings growth. To the extent that the appraisal is based on a comparison of the capital stock of the applicant with the outstanding capital stock of existing stock savings banks, the existing stock savings banks shall be comparable to the applicant in terms of such factors as size, market area, competitive conditions, profit history, and expected future earnings.

(b) In addition to the information required in Paragraph (a) of this Rule, the applicant shall submit information demonstrating to the Commissioner of Banks the independence and expertise of any person preparing materials under this Rule. A person shall not be considered as lacking independence for the reason that the person will participate in effecting a sale of capital stock under the plan of conversion or will receive a fee from the applicant for services rendered in connection with the appraisal.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0718 Order Forms for Purchase of Capital Stock {#sec-04-ncac-16g-.0718 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0718}

(a) After the Commissioner of Banks has authorized the offering circular for the subscription offering, the applicant shall distribute order forms for the purchase of shares of capital stock in the offering to all eligible account holders, supplemental eligible account holders (if applicable), voting members, and other persons who may subscribe for shares of capital stock under the plan of conversion. If the applicant has adopted in its plan of conversion the optional provisions set forth in Items (4), (5) or (10) of Rule .0312 of this Subchapter, the applicant shall deliver order forms to the eligible account holders, supplemental eligible account holders, and voting members who requested receipt of the offering circular.

(b) Each order form shall be accompanied or preceded by the final offering circular for the subscription offering or the public offering and a set of detailed instructions explaining how to complete the order forms. The offering circular and order form instructions may be included in the same document.

(c) The maximum subscription price stated on each order form shall be the amount to be paid when the order form is returned. The maximum subscription price and the actual subscription price shall be within the subscription price range stated in the offering circular approved by the Commissioner of Banks. If either the maximum subscription price or the actual subscription price is not within the approved subscription price range, the applicant shall obtain the written consent of the Commissioner of Banks for the change in price. Based on the magnitude of the difference the Commissioner of Banks may condition the amended approval by requiring a resolicitation of proxies, order forms, or both. If the actual public offering price is less than the maximum subscription price stated on the order form, the actual subscription price shall be correspondingly reduced and the difference shall be refunded to those who have paid the maximum subscription price unless the subscribers affirmatively elect to have the difference applied to the purchase of additional shares of capital stock.

(d) Each order form shall be prepared so as to indicate to the person receiving it, in as simple, clear, and intelligible a manner as possible, the actions that are required or available to him or her with respect to the form and the capital stock offered for purchase thereby. Each order form shall:

(1) indicate the maximum number of shares that may be purchased pursuant to the subscription offering;

(2) indicate the period of time that the subscription rights must be exercised, which shall not be less than 20 days and no more than 45 days following the date of the mailing of the subscription offering order form;

(3) state the maximum subscription price per share of capital stock;

(4) indicate any requirements as to the minimum number of shares of capital stock that must be purchased;

(5) provide a designated blank space or spaces for indicating the number of shares of capital stock that the eligible account holder or other person wishes to purchase;

(6) indicate the manner of required payment and, if the payment may be made by withdrawal from a certificate of deposit, indicate that the withdrawal may be made without penalty. If payment is to be made by a withdrawal from a deposit account or certificate of deposit, a box to check shall be provided;

(7) provide designated blank spaces for dating and signing the order form;

(8) contain an acknowledgement by the account holder or other person signing the order form that the person has received the final offering circular for the subscription offering prior to signing the order form; and

(9) indicate the consequences of failing to complete and return the order form, including a statement to which the subscription rights are nontransferable and shall become void at the end of the subscription period. The order form may, and the set of instructions shall, indicate the place or places that the order forms are to be returned and when the order forms shall be deemed to be received.

(e) The order form may provide that it shall not be modified without the applicant's consent after the order form has been returned to the applicant. If payment is to be made by withdrawal from a deposit account or certificate of deposit, the applicant may cause the withdrawal to be made upon receipt of the order form. If the withdrawal is made at any time prior to the closing date of the public offering, the applicant shall pay interest to the account holder on the amount withdrawn as if the amount had remained in the account from which it was withdrawn until the closing date.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0719 Withdrawal from Certificate Accounts {#sec-04-ncac-16g-.0719 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0719}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0720 Period for Completion of Sale {#sec-04-ncac-16g-.0720 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0720}

The applicant shall complete all sales of stock within 45 days after the last day of the subscription period, unless the time period is extended as provided in Rule .0722 of this Section.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0721 Interest: Subscription/Community Purchase Orders {#sec-04-ncac-16g-.0721 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0721}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. April 15, 1993.

04 NCAC 16G .0722 Extensions of Time to Complete Offerings {#sec-04-ncac-16g-.0722 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0722}

(a) The applicant may request and the Commissioner of Banks may grant one or more extensions of time required to complete the sale of all shares of capital stock, pursuant to Rule .0720 of this Section, provided that no single extension of time shall exceed 90 days. No extension shall be granted unless the savings institution shows that the circumstances leading to the request for an extension were beyond the control of the savings institution and that the investors who purchased stock during the initial subscription period will not be disadvantaged by the extension.

(b) Upon granting an extension of time pursuant to Paragraph (a) of this Rule, the applicant shall distribute to each subscriber in the offering and, if applicable, to each person who has ordered stock in the direct community offering a post-effective amendment to the offering circular filed under an amendment to the application for conversion and approved by the Commissioner of Banks pursuant to Paragraph (d) of this Rule. The applicant shall notify each subscriber and each ordering person of the extension of time and of the right of each subscriber and each ordering person to increase, decrease, or rescind their subscription at any time prior to 20 days before the end of the extension period or at any time prior to the date of the commencement of the public offering or the direct community offering, provided that the public offering or the direct community offering is not completed within 20 days after its commencement. All instructions from subscribers and ordering persons to increase, decrease, or rescind their subscriptions or orders received during the 20-day offering period shall be honored by the applicant.

(c) For the purpose of this Rule, the public offering shall be deemed to commence upon the filing with the Commissioner of Banks of the preliminary offering circular for the public offering. The direct community offering shall be deemed to commence upon approval by the Commissioner of Banks of the final offering circular.

(d) After the expiration of the subscription rights, the converting savings institution shall file with and have approved by the Commissioner of Banks a post-effective amendment to the offering circular upon the occurrence of any event, circumstance, or change of circumstance that would be material to the investment decision of a subscriber or, if applicable, a person who has ordered capital stock in the direct community offering.

(e) Any post-effective amendment to an offering circular shall be distributed by the converting savings institution within two business days after approval. It shall be distributed to each subscriber, and, if applicable, each person who has ordered stock in the direct community offering. The converting savings institution shall grant to each subscriber and ordering person the right to increase, decrease, or rescind their subscription or order for a period which shall be the greater of 10 days from the date of the mailing of the post-effective amendment or the period remaining in an extension of time granted by the Commissioner of Banks pursuant to the provisions of Paragraph (b) of this Rule.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0801 Filing an Application for Conversion {#sec-04-ncac-16g-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0801}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0802 Improperly Executed or Materially Incomplete Filings {#sec-04-ncac-16g-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0802}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0803 Additional Filing Requirements {#sec-04-ncac-16g-.0803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0803}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0804 Number of Copies: Place of Filing: Binding: Signatures {#sec-04-ncac-16g-.0804 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0804}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0805 Requirements as to Paper and Printing {#sec-04-ncac-16g-.0805 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0805}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0806 Method of Preparation {#sec-04-ncac-16g-.0806 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0806}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0807 Interpretation of Requirements {#sec-04-ncac-16g-.0807 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0807}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0808 Additional Information {#sec-04-ncac-16g-.0808 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0808}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0809 Information Unknown or Not Reasonably Available {#sec-04-ncac-16g-.0809 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0809}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0810 Incorporation of Certain Information by Reference {#sec-04-ncac-16g-.0810 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0810}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0811 Summaries or Outlines of Documents {#sec-04-ncac-16g-.0811 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0811}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0812 Legibility of Materials {#sec-04-ncac-16g-.0812 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0812}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0813 Presentation of Information {#sec-04-ncac-16g-.0813 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0813}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0814 Application of Amendments to Regulations and Forms {#sec-04-ncac-16g-.0814 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0814}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0815 Consents of Experts {#sec-04-ncac-16g-.0815 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0815}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0816 Consents of Persons About to Become Directors {#sec-04-ncac-16g-.0816 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0816}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0817 Date of Filing {#sec-04-ncac-16g-.0817 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0817}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0818 Amendments {#sec-04-ncac-16g-.0818 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0818}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0819 Pre-Filing Conferences with Applicants {#sec-04-ncac-16g-.0819 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0819}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0820 Review of the Commission Action {#sec-04-ncac-16g-.0820 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0820}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0821 Post-Conversion Reports {#sec-04-ncac-16g-.0821 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0821}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. September 1, 1983; October 1, 1982
Repealed Eff. January 1, 1986.

04 NCAC 16G .0822 Improperly Executed or Materially Incomplete Filings {#sec-04-ncac-16g-.0822 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0822}

History

Status: repealed
Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0823 Additional Filing Requirements {#sec-04-ncac-16g-.0823 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0823}

An applicant whose plan of conversion has been approved by the Commissioner of Banks shall fulfill the following requirements:

(1) After the meeting of members called to consider the plan of conversion, the applicant shall file with the Commissioner of Banks a certified copy of each resolution adopted at the meeting relating to the plan of conversion, together with the following information:

(a) the total number of votes eligible to be cast;

(b) the total number of votes represented in person or by proxy at the meeting;

(d) the percentage of votes necessary to approve each matter.

The compilation of the votes cast at the meeting may be prepared by an independent public accountant or by an independent transfer agent.

(2) After the meeting of members called to consider the plan of conversion, the applicant shall file with the Commissioner of Banks an opinion of counsel to the effect that:

(a) the meeting of members was duly held in accordance with all requirements of applicable State and federal law and regulation;

(b) all requirements of State and federal law applicable to the conversion have been complied with; and

(c) if the savings bank has used proxies executed prior to the proxy solicitation required by Rule .0511 of this Subchapter, the authority conferred by such proxies includes authority to vote on this plan of conversion.

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16G .0824 Application Signatures {#sec-04-ncac-16g-.0824 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0824}

04 NCAC 16G .0825 REQUIREMENTS AS TO PAPER AND PRINTING

04 NCAC 16G .0826 Method of Preparation {#sec-04-ncac-16g-.0826 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0826}

04 NCAC 16G .0827 INFORMATION UNKNOWN OR NOT REASONABLY AVAILABLE

04 NCAC 16G .0828 INCORPORATION OF CERTAIN INFORMATION BY REFERENCE

04 NCAC 16G .0829 PRESENTATION OF INFORMATION

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0831 CONSENT OF PERSONS ABOUT TO BECOME DIRECTORS

04 NCAC 16G .0832 AMENDMENTS

04 NCAC 16G .0833 POST-CONVERSION REPORTS

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .0901 Definitions {#sec-04-ncac-16g-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0901}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. December 1, 1984; May 1, 1984; September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0902 Prohibited Transfers {#sec-04-ncac-16g-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0902}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. December 1, 1984; May 1, 1984; September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0903 Prohibition of Offers and Certain Acquisitions {#sec-04-ncac-16g-.0903 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0903}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. December 1, 1984; May 1, 1984; September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0904 Prohibition of Offers to Acquire and Acquisitions of Stock {#sec-04-ncac-16g-.0904 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0904}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. December 1, 1984; May 1, 1984; September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0905 Exceptions {#sec-04-ncac-16g-.0905 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0905}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Amended Eff. December 1, 1984; May 1, 1984; September 1, 1983
Repealed Eff. January 1, 1986.

04 NCAC 16G .0906 Criteria for Denial {#sec-04-ncac-16g-.0906 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0906}

History

Status: repealed
Authority G.S. 54B-33
Eff. September 1, 1983
Amended Eff. December 1, 1984; May 1, 1984
Repealed Eff. January 1, 1986.

04 NCAC 16G .0907 Optional Charter Provision {#sec-04-ncac-16g-.0907 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0907}

History

Status: repealed
Authority G.S. 54B-33
Eff. September 1, 1983
Amended Eff. December 1, 1984; May 1, 1984
Repealed Eff. January 1, 1986.

04 NCAC 16G .0908 Definitions {#sec-04-ncac-16g-.0908 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .0908}

04 NCAC 16G .0909 PROHIBITED TRANSFERS

04 NCAC 16G .0910 PROHIBITION OF OFFERS AND CERTAIN ACQUISITIONS

04 NCAC 16G .0911 EXCEPTIONS

04 NCAC 16G .0912 CRITERIA FOR DENIAL

History

Authority G.S. 54C-33; 54C-53
Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16G .1001 Facing Sheet {#sec-04-ncac-16g-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1001}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Repealed Eff. September 1, 1983.

04 NCAC 16G .1002 Form Ac: Application Form {#sec-04-ncac-16g-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1002}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Repealed Eff. September 1, 1983.

04 NCAC 16G .1003 Form Ps: Proxy Statement {#sec-04-ncac-16g-.1003 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1003}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Repealed Eff. September 1, 1983.

04 NCAC 16G .1004 Form Oc: Offering Circular Form {#sec-04-ncac-16g-.1004 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1004}

History

Status: repealed
Authority G.S. 54B-33
Eff. January 1, 1980
Transferred From 4 NCAC 9I Eff. August 31, 1981
Repealed Eff. September 1, 1983.

04 NCAC 16G .1101 Definitions {#sec-04-ncac-16g-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1101}

History

Status: repealed
Authority G.S. 54B-33
Eff. September 1, 1983
Repealed Eff. April 1, 1984.

04 NCAC 16G .1102 Sale-of-Control Conversion of an Association {#sec-04-ncac-16g-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1102}

History

Status: repealed
Authority G.S. 54B-33
Eff. September 1, 1983
Repealed Eff. April 1, 1984.

04 NCAC 16G .1103 Additional Requirements for Sale-of-Control Conversion {#sec-04-ncac-16g-.1103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1103}

History

Status: repealed
Authority G.S. 54B-33
Eff. September 1, 1983
Repealed Eff. April 1, 1984.

04 NCAC 16G .1104 Additional Notice Requirements {#sec-04-ncac-16g-.1104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1104}

History

Status: repealed
Authority G.S. 54B-33
Eff. September 1, 1983
Repealed Eff. April 1, 1984.

04 NCAC 16G .1105 Record Date/Notice Requirements {#sec-04-ncac-16g-.1105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1105}

History

Status: repealed
Authority G.S. 54B-33
Eff. September 1, 1983
Repealed Eff. April 1, 1984.

04 NCAC 16G .1106 Competing Sale-of-Control Offers {#sec-04-ncac-16g-.1106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1106}

History

Status: repealed
Authority G.S. 54B-33
Eff. September 1, 1983
Repealed Eff. April 1, 1984.

04 NCAC 16G .1107 Management's Proxy/Mailing Communications for Proponents {#sec-04-ncac-16g-.1107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1107}

History

Status: repealed
Authority G.S. 54B-33
Eff. September 1, 1983
Repealed Eff. April 1, 1984.

04 NCAC 16G .1108 Additional Disclosure Requirements {#sec-04-ncac-16g-.1108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1108}

History

Status: repealed
Authority G.S. 54B-33
Eff. September 1, 1983
Repealed Eff. April 1, 1984.

04 NCAC 16G .1201 Conversion in Connection with Acquisition or Merger {#sec-04-ncac-16g-.1201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1201}

History

Status: repealed
Authority G.S. 54B-33; 54B-55
Eff. February 1, 1984
Repealed Eff. January 1, 1986.

04 NCAC 16G .1202 Rights of Members {#sec-04-ncac-16g-.1202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1202}

History

Status: repealed
Authority G.S. 54B-33; 54B-55
Eff. February 1, 1984
Repealed Eff. January 1, 1986.

04 NCAC 16G .1203 Conversion in Connection with Acquisition {#sec-04-ncac-16g-.1203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16G .1203}

04 NCAC 16G .1204 CONVERSION IN CONNECTION WITH MERGER

History

Authority G.S. 54C-33; 54C-53; 54C-195
Eff. February 15, 1992
Amended Eff. April 15, 1993
Repealed Eff. November 1, 2017.

Subchapter H

04 NCAC 16H .0101 Definitions {#sec-04-ncac-16h-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16H .0101}

As used in this Subchapter, the words and phrases defined by G.S. 54C-4 and the following definitions apply:

(1) "Savings institution" shall mean all savings institutions converting, merging, or consolidating pursuant to G.S. 54B-44 or G.S. 54C-45 and this Subchapter.

(2) "Consolidation" shall mean a supervisory acquisition pursuant to G.S. 54B-44 or G.S. 54C-45 and this Subchapter.

(3) "Merger" shall mean a supervisory merger pursuant to G.S. 54B-44 or G.S. 54C-45 and this Subchapter.

(4) "Plan of merger" or "plan of consolidation" shall mean a detailed outline of the terms, conditions, and procedure of combining one savings institution, by merger or consolidation, with another savings institution.

(5) "Short form conversion" shall mean a supervisory conversion of a savings institution from mutual to stock form of ownership, pursuant to G.S. 54B-44 or G.S. 54C-45 and this Subchapter.

(6) "Combination merger and conversion" shall mean a supervisory conversion of a savings institution from mutual to stock form of ownership combined with a supervisory merger, pursuant to G.S. 54B-44 or G.S. 54C-45 and this Subchapter.

(7) "Plan of combination merger and conversion" shall mean a detailed outline of the terms, conditions, and procedures of the short form conversion of a savings institution from mutual to stock form of ownership and combining the savings institution, by merger, with another savings institution.

History

Authority G.S. 54B-44; 54C-45
Eff. December 1, 1981
Amended Eff. July 1, 1990; October 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16H .0102 Grounds {#sec-04-ncac-16h-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16H .0102}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on
March 31, 1992
Statutory Authority G.S. 54B-44; 54C-45
Eff. December 1, 1981
Amended Eff. November 1, 1985; October 1, 1982
Repealed Eff. February 15, 1992.

04 NCAC 16H .0103 Notice to Savings Institution {#sec-04-ncac-16h-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16H .0103}

The Commissioner of Banks shall give written notice to the Board of Directors of a savings institution when a finding is made pursuant to G.S. 54B-44 or G.S. 54C-45. The notice shall set forth the basis for the finding and shall authorize or require the board of directors to adopt a plan of conversion, a plan of merger or consolidation, a plan of combination merger and conversion, or based upon the interest of the depositors, the institution, and the general public, any other action specified by the Commissioner of Banks. The Commissioner of Banks may specify provisions that shall be included in the plan.

History

Authority G.S. 54B-44; 54C-45
Eff. December 1, 1981
Amended Eff. November 1, 1985; October 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16H .0104 Adoption of Plan {#sec-04-ncac-16h-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16H .0104}

The board of directors shall adopt a plan of conversion, merger, consolidation, combination merger and conversion, or any other action as authorized or required by the Commissioner of Banks. A plan of conversion, merger, consolidation, combination merger and conversion, or any other action adopted pursuant to this Rule shall be submitted to the Commissioner of Banks for approval.

History

Authority G.S. 54B-44; 54C-45
Eff. December 1, 1981
Amended Eff. November 1, 2017; November 1, 1985; October 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16H .0105 Approval by Commissioner of Banks {#sec-04-ncac-16h-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16H .0105}

The savings institution shall submit to the Commissioner of Banks for review an executed copy of the savings institution's proposed articles of incorporation, articles of merger or consolidation, or evidence of other action. Upon finding that all requirements of the short form conversion, merger, consolidation, combination merger and conversion, or other action have been satisfied, the Commissioner of Banks shall certify to the Secretary of State that the certificate of incorporation, articles of merger or consolidation, or evidence of other action has been approved for filing in the Office of the Secretary of State.

History

Authority G.S. 54B-44; 54C-45
Eff. December 1, 1981
Amended Eff. November 1, 1985; October 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16H .0106 Short Form Mutual to Stock Conversion {#sec-04-ncac-16h-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16H .0106}

History

Status: repealed
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-44; 54C-45
Eff. December 1, 1981
Amended Eff. February 15, 1992; July 1, 1990; November 1, 1985
Repealed Eff. November 1, 2017.

04 NCAC 16H .0107 Liquidation Account {#sec-04-ncac-16h-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16H .0107}

History

Status: repealed
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-44; 54C-45
Eff. December 1, 1981
Amended Eff. February 15, 1992; July 1, 1990; November 1, 1985
Repealed Eff. November 1, 2017.

04 NCAC 16H .0108 Waiver {#sec-04-ncac-16h-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16H .0108}

The Commissioner of Banks may waive or alter any requirements set forth in this Subchapter to promote the best interests of the public or the savings institution by assuring the safe and sound operation of the savings institution or when the application of any rule would have an unintended negative impact upon the public or a savings institution.

History

Authority G.S. 54B-44; 54C-45
Eff. December 1, 1981
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

Subchapter I

04 NCAC 16I .0101 General {#sec-04-ncac-16i-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0101}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. February 1, 1983
Repealed Eff. July 1, 1983.

04 NCAC 16I .0102 Definitions and Other Terms {#sec-04-ncac-16i-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0102}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. February 1, 1983
Repealed Eff. July 1, 1983.

04 NCAC 16I .0201 Prior Written Approval Required for Acquisitions {#sec-04-ncac-16i-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0201}

History

Status: repealed
Authority G.S. 54B-55; 54B-63; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. October 1, 1982; July 1, 1982
Repealed Eff. July 1, 1983.

04 NCAC 16I .0202 Application Fees {#sec-04-ncac-16i-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0202}

History

Status: repealed
Authority G.S. 54B-55; 54B-63; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. October 1, 1982; July 1, 1982
Repealed Eff. July 1, 1983.

04 NCAC 16I .0203 Required Acquisition Applications and Amendments {#sec-04-ncac-16i-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0203}

History

Status: repealed
Authority G.S. 54B-55; 54B-63; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. October 1, 1982; July 1, 1982
Repealed Eff. July 1, 1983.

04 NCAC 16I .0204 Standards for Approval of Acquisition {#sec-04-ncac-16i-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0204}

History

Status: repealed
Authority G.S. 54B-55; 54B-63; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. October 1, 1982; July 1, 1982
Repealed Eff. July 1, 1983.

04 NCAC 16I .0205 Limitations on Approval of Acquisitions {#sec-04-ncac-16i-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0205}

History

Status: repealed
Authority G.S. 54B-55; 54B-63; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. October 1, 1982; July 1, 1982
Repealed Eff. July 1, 1983.

04 NCAC 16I .0206 Limitations on Ownership of Capital Stock {#sec-04-ncac-16i-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0206}

History

Status: repealed
Authority G.S. 54B-55; 54B-63; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. October 1, 1982; July 1, 1982
Repealed Eff. July 1, 1983.

04 NCAC 16I .0207 Confidential Information {#sec-04-ncac-16i-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0207}

History

Status: repealed
Authority G.S. 54B-55; 54B-63; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. October 1, 1982; July 1, 1982
Repealed Eff. July 1, 1983.

04 NCAC 16I .0301 Notice of Filing: Hearings {#sec-04-ncac-16i-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0301}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. October 1, 1983
Repealed Eff. July 1, 1983.

04 NCAC 16I .0302 Review by Commission {#sec-04-ncac-16i-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0302}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. October 1, 1983
Repealed Eff. July 1, 1983.

04 NCAC 16I .0303 Judicial Review {#sec-04-ncac-16i-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0303}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. October 1, 1983
Repealed Eff. July 1, 1983.

04 NCAC 16I .0401 Supervision: Examination and Regulation by Administrator {#sec-04-ncac-16i-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0401}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. July 1, 1982
Repealed Eff. July 1, 1983.

04 NCAC 16I .0402 Activities and Investments of Holding Companies {#sec-04-ncac-16i-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0402}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Amended Eff. July 1, 1982
Repealed Eff. July 1, 1983.

04 NCAC 16I .0501 Registration {#sec-04-ncac-16i-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0501}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Repealed Eff. July 1, 1983.

04 NCAC 16I .0502 Annual Reports {#sec-04-ncac-16i-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0502}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Repealed Eff. July 1, 1983.

04 NCAC 16I .0503 Filing and Approval: Amendments to Articles and Bylaws {#sec-04-ncac-16i-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0503}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Repealed Eff. July 1, 1983.

04 NCAC 16I .0504 Reports {#sec-04-ncac-16i-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0504}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Repealed Eff. July 1, 1983.

04 NCAC 16I .0505 Books and Records {#sec-04-ncac-16i-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0505}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Repealed Eff. July 1, 1983.

04 NCAC 16I .0506 Appointment of Agent {#sec-04-ncac-16i-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0506}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Repealed Eff. July 1, 1983.

04 NCAC 16I .0507 Place of Filing: Receipt {#sec-04-ncac-16i-.0507 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0507}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Repealed Eff. July 1, 1983.

04 NCAC 16I .0601 Registration Statement and Applications {#sec-04-ncac-16i-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0601}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Repealed Eff. July 1, 1983.

04 NCAC 16I .0602 Other Filings {#sec-04-ncac-16i-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0602}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. December 1, 1981
Repealed Eff. July 1, 1983.

04 NCAC 16I .0701 General {#sec-04-ncac-16i-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0701}

History

Status: repealed
Authority G.S. 54B-55; 54B-261; 54B-262
Eff. July 1, 1983
Amended Eff. November 1, 1985
Repealed Eff. July 1, 1990.

04 NCAC 16I .0702 Definitions and Other Terms {#sec-04-ncac-16i-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0702}

As used in this Subchapter, the words and phrases defined by G.S. 54C-4 and the following definitions apply:

(1) "Acquisition" shall mean a transaction in which a person or holding company acquires control of a stock savings institution by means of an exchange of its capital stock for the capital stock of the stock savings institution or by means of a purchase of the capital stock of the stock savings institution.

(2) "Applicant" shall mean a person or holding company that has filed with the Commissioner of Banks an application pursuant to this Subchapter.

(3) "Holding Company" means any company that directly or indirectly controls a savings institution or controls any other company that is a holding company of a savings institution.

(4) "Person" shall mean an individual or group acting in concert, a corporation, a partnership, an association, a joint stock company, a trust, an unincorporated organization similar company, or a syndicate.

(5) "Plan of Reorganization" shall mean a plan duly adopted in accordance with the requirements of G.S. 54B-261 or 54C-195 and this Subchapter that sets out all relevant terms and conditions pertaining to a stock savings institution's reorganization of its ownership to provide for a holding company.

(6) "Registrant" shall mean any holding company that has filed a registration statement with the Commissioner of Banks pursuant to this Subchapter.

(7) "Tax Free Exchange" shall mean an exchange of stock that would result in no tax consequences to the holding company, the stock savings institution, and its stockholders under State or federal law.

History

Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990; November 1, 1985
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .0703 Standards for Approval of Acquisition: Duties and Conduct {#sec-04-ncac-16i-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0703}

A savings institution may be controlled by a person or a holding company. In evaluating an application for control, the Commissioner of Banks shall consider:

(1) whether the person or holding company is qualified by character, experience, and financial responsibility to control the savings institution in a legal and responsible manner;

(2) the applicant's financial and managerial resources;

(3) the organizational structure and future prospects and plans of both the applicant and the savings institution; and

(4) whether the business and activities of the applicant, or its officers and directors, or any other person controlling, controlled by, or associated with the applicant by having a common controller, would create a material deterioration of confidence in the safety, soundness, and financial integrity of the institution to be controlled.

History

Authority G.S. 53-227.1; 54B-43; 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990; November 1, 1985
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .0704 Investment Activities of Holding Companies {#sec-04-ncac-16i-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0704}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on
March 31, 1992
Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1990
Amended Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16I .0801 Prior Written Approval Required {#sec-04-ncac-16i-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0801}

A person or holding company shall not acquire control of any savings institution without having filed with the Commissioner of Banks an application and without the written approval of the Commissioner of Banks after consideration of the application and any amendments. The application shall contain identifying information for the applicant and the information set forth in the Interagency Notice of Change in Bank Control. The Interagency Notice of Change in Bank Control is hereby incorporated by reference, including subsequent amendments or editions, and may be found free of charge as follows: https://www.fdic.gov/formsdocuments/interag2.pdf.

History

Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .0802 Application Fees: Filings {#sec-04-ncac-16i-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0802}

An application may be obtained from the Office of the Commissioner of Banks at its mailing address specified in 04 NCAC 03A .0101. Applications shall be accompanied by an application fee in the amount prescribed by the fee schedule specified in 04 NCAC 03C .1601(a)(4). The fee shall be non-refundable.

History

Authority G.S. 54B-55; 54B-57; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. November 1, 2017; July 1, 1990; August 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .0803 Confidential Information {#sec-04-ncac-16i-.0803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0803}

An applicant that submits information may request that the information be confidential regarding the answer to any item or a part of an exhibit included in any application for filing pursuant to this Subchapter, by separately binding and labeling the information as "confidential" and a statement shall be submitted setting forth the grounds on which the information should be treated confidential pursuant to G.S. 54B-63, G.S. 54B-63.1. or G.S. 54C-60. Filings pursuant to this Subchapter shall be made available for inspection by the public, except for portions that are bound and labeled "confidential" and that the Commissioner of Banks determines to be confidential pursuant to the provisions of G.S. 54B-63, G.S. 54B-63.1, or G.S. 54C-60.

History

Authority G.S. 54B-55; 54B-63; 54B-63.1; 54B-261; 54B-262; 54C-53; 54C-60; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .0901 Required Application {#sec-04-ncac-16i-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0901}

A stock savings institution may be controlled by a holding company by means of a plan of reorganization. An applicant shall file one executed copy of an application with the Commissioner of Banks. For the purposes of filing the application, the applicant shall be considered a holding company, even though it may not yet control a stock savings institution.

History

Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .0902 Acquisition Procedure {#sec-04-ncac-16i-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0902}

(a) Upon determining that an application is executed and is not incomplete, the Commissioner of Banks shall process the application. The application shall include a Plan of Reorganization. If the Plan of Reorganization is not approved, the Commissioner of Banks shall notify the applicant and state the reasons for its disapproval.

(b) If the Commissioner of Banks approves the Plan of Reorganization, the Commissioner shall notify the applicant. A regular or special meeting of the stockholders of the savings institution shall be called to approve reorganization of ownership of the savings institution to provide for ownership by a holding company after advance written notice to the stockholders of not less than 20 days specifying the time, place, and purpose for the meeting. Notice shall be published in at least one newspaper of general circulation in each county where the savings institution has an office. After publication of the notice, the applicant shall file a copy of the notice with the Commissioner of Banks. The applicant shall file the publisher's affidavits with the Commissioner of Banks to confirm the publication of notice.

(c) The results of the stockholder's meeting shall be confirmed to the Commissioner of Banks by filing attested minutes of the meeting. If the stockholders approve reorganization of ownership of the savings institution to provide for ownership by a holding company, the Commissioner of Banks shall enter a final order approving the reorganization.

(d) The Commissioner of Banks may waive or alter any requirements set forth in this Rule upon a finding that compliance would work an undue financial hardship on the applicant, would adversely affect the operation of the applicant, or would have an unintended negative impact upon the public or the applicant.

History

Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .0903 Investment Activities {#sec-04-ncac-16i-.0903 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0903}

History

Status: repealed
Authority G.S. 54B-54; 54B-55; 54B-261; 54B-262
Eff. July 1, 1983
Amended Eff. June 1, 1988; November 1, 1985; September 1, 1983
Repealed Eff. July 1, 1990.

04 NCAC 16I .0904 Notice of Filing: Hearings {#sec-04-ncac-16i-.0904 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .0904}

History

Status: repealed
Authority G.S. 54B-54; 54B-55; 54B-261; 54B-262
Eff. July 1, 1983
Amended Eff. June 1, 1988; November 1, 1985; September 1, 1983
Repealed Eff. July 1, 1990.

04 NCAC 16I .1001 Required Application {#sec-04-ncac-16i-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1001}

A person seeking to acquire control of any stock savings institution shall file with the Commissioner of Banks one executed copy of an application.

History

Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .1002 Foreign Applicants {#sec-04-ncac-16i-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1002}

If the applicant is a corporation for profit or having capital stock, but not created under any general or special act of the State of North Carolina, then that corporation shall procure a Certificate of Authority from the Secretary of State under the provisions of Article 15 of Chapter 55 of the North Carolina General Statutes before it shall be approved by the Commissioner of Banks to obtain control of a stock savings institution. The applicant shall file a copy of the Certificate of Authority from the Secretary of State as evidence of compliance.

History

Authority G.S. 54B-55; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. September 1, 1983
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .1003 Acquisition Procedure {#sec-04-ncac-16i-.1003 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1003}

(a) Upon determining that an application is executed and complete, the Commissioner of Banks shall process the application. If the application is not approved, the Commissioner of Banks shall notify the applicant and state the reasons for its disapproval.

(b) If the Commissioner of Banks approves the application, the applicant shall be notified. The notice shall include any requirements or stipulations the Commissioner of Banks may require prior to the applicant's execution of the acquisition.

History

Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990; June 1, 1988
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .1101 Registration {#sec-04-ncac-16i-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1101}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55: 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. February 15, 1992; July 1, 1990; November 1, 1985
Repealed Eff. November 1, 2017.

04 NCAC 16I .1102 Supervision {#sec-04-ncac-16i-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1102}

(a) Officers, directors, and employees of holding companies have the same duties and responsibilities, express or implied, as officers, directors, and employees of savings institutions.

(b) Each holding company shall be subject to examination by the Office of the Commissioner of Banks. The cost of examination shall be paid by the holding company.

History

Authority G.S. 54B-55; 54B-57; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990; November 1, 1985
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .1103 Annual Reports {#sec-04-ncac-16i-.1103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1103}

Each registrant shall file an annual report with the Commissioner of Banks.

History

Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .1104 Filing and Approval: Amendments to Articles and Bylaws {#sec-04-ncac-16i-.1104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1104}

(a) Prior to any filing with the Secretary of State of the State of North Carolina, a holding company shall file with the Commissioner of Banks copies of any proposed amendment to its articles of incorporation. The Commissioner of Banks must give his or her approval to the content and form of the proposed amendments.

(b) Before any amendments to the bylaws of a holding company shall become effective, a copy of the amendments shall be filed with and approved by the Commissioner of Banks.

History

Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .1105 Reports {#sec-04-ncac-16i-.1105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1105}

Each registrant shall file simultaneously with the Commissioner of Banks copies of any filings, documents, statements, or reports required to be filed with the federal regulatory authority.

History

Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .1106 Books and Records {#sec-04-ncac-16i-.1106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1106}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1983
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16I .1201 Required Acquisition Application {#sec-04-ncac-16i-.1201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1201}

04 NCAC 16I .1202 CONVERSION PROCEDURE

04 NCAC 16I .1203 Plan of Conversion Requirements {#sec-04-ncac-16i-.1203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1203}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-261; 54B-262; 54C-53; 54C-195; 54C-196
Eff. July 1, 1990
Amended Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16I .1301 Required Application {#sec-04-ncac-16i-.1301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1301}

A person seeking to acquire control of any holding company shall file with the Commissioner of Banks one executed copy of an application.

History

Authority G.S. 54B-55; 54B-262; 54C-53; 54C-195
Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16I .1302 Acquisition Procedure {#sec-04-ncac-16i-.1302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16I .1302}

(c) The Commissioner of Banks may waive or alter any requirements set forth in this Rule upon a finding that compliance would work as undue financial hardship on the applicant, would adversely affect the safe and sound operation of the applicant, or would have an unintended negative impact upon the public or the applicant.

History

Authority G.S. 54B-55; 54B-262; 54C-53; 54C-195
Eff. July 1, 1990
Amended Eff. November 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

Subchapter J

04 NCAC 16J .0101 Merger of a State Institution Into a Federal Institution {#sec-04-ncac-16j-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16J .0101}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Filed as a Temporary Rule Eff. July 30, 1982, for a period of 120 days to expire on
November 26, 1982
Authority G.S. 54B-39; 54C-39; 54C-53
Eff. October 1, 1982
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16J .0102 Merger of a Federal Institution Into a State Institution {#sec-04-ncac-16j-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16J .0102}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Filed as a Temporary Rule Eff. July 30, 1982, for a period of 120 days to expire on
November 26, 1982
Authority G.S. 54B-39; 54C-39; 54C-53
Eff. October 1, 1982
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

04 NCAC 16J .0103 Waiver {#sec-04-ncac-16j-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16J .0103}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Filed as a Temporary Rule Eff. July 30, 1982, for a period of 120 days to expire on
November 26, 1982
Authority G.S. 54B-39; 54C-39; 54C-53
Eff. October 1, 1982
Amended Eff. February 15, 1992; July 1, 1990
Repealed Eff. November 1, 2017.

Subchapter K

04 NCAC 16K .0101 Definitions {#sec-04-ncac-16k-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0101}

For purposes of this Section:

(1) "Account" shall mean the trust, estate, or other fiduciary relationship that has been established with a savings institution.

(2) "Custodian Under the Uniform Transfers to Minors Act" shall mean an account established pursuant to the North Carolina Uniform Transfers to Minors Act codified in Chapter 33A of the North Carolina General Statutes.

(3) "Fiduciary" shall mean a savings institution undertaking to act alone or jointly with others for the benefit of another in all matters connected with its undertaking and includes acting as trustee, executor, administrator, guardian, receiver, managing agent, registrar of stocks and bonds, escrow, transfer or paying agent, trustee of employee pension, welfare and profit sharing trusts, and any other similar capacity.

(4) "Fiduciary Records" shall mean all matters that are written, transcribed, recorded, received, or otherwise coming into the possession of a savings institution and are necessary to preserve information concerning the actions and events relevant to the fiduciary activities of the savings institution.

(5) "Guardian" shall mean the conservator or committee of the estate of an infant, an incompetent individual, or a competent individual over whose estate a court has taken jurisdiction other than under bankruptcy or insolvency laws.

(6) "Investment Authority" shall mean the responsibility conferred by action of law or a provision of an appropriate governing instrument to make, select, or change investments, review investment decisions made by others, or to provide investment advice or counsel to others.

(7) "Managing Agent" shall mean the fiduciary relationship assumed by a savings institution upon the creation of an account that names the savings institution as agent and confers investment discretion upon the savings institution.

(8) "Trust Department" shall mean that group or groups of officers and employees of a savings institution who perform fiduciary services by the savings institution.

(9) "Trust Powers" shall mean the power to act in any fiduciary capacity authorized under this Section.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0102 Applications {#sec-04-ncac-16k-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0102}

(a) A savings institution desiring to exercise fiduciary powers shall submit to the Commissioner of Banks a letter indicating which trust services it wishes to offer, together with the information required under Paragraph (b) of this Rule.

(b) The Commissioner of Banks, in determining whether to authorize the exercise of trust powers, shall consider the following:

(1) the financial condition of the savings institution, provided that in no event shall trust powers be granted to a savings institution if its financial condition is such that the savings institution does not meet the requirements of the federal regulatory authority;

(2) the general character and ability of the management of the savings institution;

(3) the nature of the supervision to be given to the fiduciary activities, including the qualifications, experience, and character of the proposed officer or officers of the trust department; and

(4) whether the savings institution has available legal counsel to advise and review fiduciary matters when necessary.

(c) Approval by the Commissioner of Banks of an application under this Section authorizes the applicant to exercise only those trust powers specified in the approval.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0103 Consolidation or Merger of Two or More Savings Institutions {#sec-04-ncac-16k-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0103}

When two or more savings institutions consolidate or merge, and any one of the savings institutions prior to the consolidation or merger, has a valid approval from the Commissioner of Banks to exercise trust powers, the rights existing under the approval shall pass to the resulting savings institution.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0104 Administration of Trust Powers {#sec-04-ncac-16k-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0104}

(a) The board of directors shall be responsible for the exercise of fiduciary powers by the savings institution. All matters pertinent including the determination of policies, the investment and disposition of property held in a fiduciary capacity, and the direction and review of the actions of all officers, employees, and committees utilized by the savings institution in the exercise of its fiduciary powers, shall be the responsibility of the board of directors. In discharging this responsibility, the board of directors may assign, by action duly entered in the minutes, the administration of the savings institution's trust powers to directors, officers, employees, or committees.

(b) No fiduciary account shall be accepted without the prior approval of the board of directors, officers, or committees to whom the board of directors may have assigned the performance of that responsibility. A written record shall be made of the acceptances and of the relinquishment or closing out of all fiduciary accounts. Upon the acceptance of an account for which the savings institution has investment responsibilities, a review of the assets shall be made. The board of directors shall also ensure that at least once during every calendar year and within 15 months of the last review, all the assets in each fiduciary account over which the savings institution has investment responsibilities shall be reviewed to determine the advisability of retaining or disposing of such assets. The board of directors shall act to ensure that all investments have been made in accordance with the terms and purposes of the governing instrument.

(c) The trust department may use personnel and facilities of other departments of the savings institution, and other departments of the savings institution may use personnel and facilities of the trust department only to the extent not prohibited by North Carolina law.

(d) Every savings institution exercising trust powers shall adopt written policies and procedures to ensure that the federal securities laws are complied with in connection with any decision or recommendation to purchase or sell any security. The policies and procedures, shall ensure that the savings institution's trust department shall not use material inside information in connection with any decision or recommendation to purchase or sell any security.

(e) Every savings institution exercising fiduciary powers shall designate, employ, or retain legal counsel who shall be available to review fiduciary matters and to advise the savings institution and its trust department.

(f) The directors, officers, and employees of a savings institution engaged in the operation of a trust department shall acquire additional bond coverage as the Commissioner of Banks may require.

(g) The savings institution shall comply with rules applicable to State Trust Entities in 04 NCAC 03D and the FDIC Statement of Principles on Trust Department Management, which is hereby incorporated by reference and shall include any later amendments and editions of the referenced material available free of charge, at the time of publication, at: https://www.fdic.gov/news/news/inactivefinancial/1998/fil98100b.html.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0105 Books and Accounts {#sec-04-ncac-16k-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0105}

(a) Every savings institution exercising trust powers shall keep its fiduciary records separate and distinct from other records of the savings institution. The fiduciary records shall contain full information relative to each account. The record retention schedule set forth in 04 NCAC 03D .0303 shall apply to the fiduciary records of a savings institution exercising trust powers.

(b) Every savings institution shall keep a record of all pending litigation to which it is a party in connection with its exercise of trust powers.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0106 Audit of Trust Department {#sec-04-ncac-16k-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0106}

At least once during each calendar year, the savings institution's trust department shall be audited by independent auditors. A copy of the report of the audit shall be filed with the Commissioner of Banks.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Amended Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0107 Funds Awaiting Investment or Distribution {#sec-04-ncac-16k-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0107}

(a) Unless prohibited by the instrument creating the trust, funds held in trust by a savings institution, including managing agency accounts, awaiting investment or distribution may be deposited in other departments of the savings institution. The savings institution shall first set aside under control of the trust department collateral security of a kind and in an amount as specified in G.S. 53-163.1(b) for funds held in trust by a bank, except that no collateral shall be required to the extent that the funds are insured by an agency of the United States government.

(b) Any funds held by a savings institution as fiduciary awaiting investment or distribution and deposited in other departments of the savings institution shall be placed in an interest-bearing account.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Amended Eff. July 1, 1990
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0108 Investment of Funds Held as Fiduciary {#sec-04-ncac-16k-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0108}

(a) Funds held by a savings institution in a fiduciary capacity shall be invested in accordance with the instrument establishing the fiduciary relationship. When the instrument does not specify the character or class of investments to be made and does not vest investment discretion in the matter in the savings institution, its directors, or its officers, funds held pursuant to the instrument shall be invested in accordance with Article 7 of Chapter 32 of the North Carolina General Statutes.

(b) A savings institution appointed as a fiduciary by a court may invest funds of the account in any investment permitted to be made by fiduciaries by Article 7 of Chapter 32 of the North Carolina General Statutes unless the appointing court limits the investment authority of the fiduciary. If the investment authority of the fiduciary is limited by the court, the savings institution shall make all investments of funds in these accounts consistent with the terms of the order of that court. The orders in either case shall be preserved with the fiduciary records of the savings institution.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0109 Self-Dealing {#sec-04-ncac-16k-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0109}

(a) Unless authorized by the instrument creating the relationship or by court order, property held by a savings institution as fiduciary shall not be sold or transferred, by loan or otherwise, to the savings institution or its affiliates; or the directors, executive officers, or employees of either of them; or to individuals with whom there exists a connection or organizations in which there exists an interest as might affect the exercise of the best judgment of the savings institution in selling or transferring the property, except:

(1) in cases in which the savings institution has been advised by its counsel in writing that it has incurred as fiduciary a contingent or potential liability, and it desires to relieve itself from the liability, a sale or transfer may be made with the approval of the board of directors and the Commissioner of Banks, provided that, in all such cases, the savings institution, upon the consummation of the sale or transfer, shall make reimbursement in cash at no loss to the account;

(2) as provided G.S. 53-163.5, et seq. governing collective investment; or

(3) when required by the Commissioner of Banks.

(b) If the purchase or retention of stock or obligations of the savings institution is authorized by the instrument creating the relationship or by court order, it may exercise rights to purchase its own stock, or securities convertible into its own stock, when offered pro rata to stockholders. When the exercise of rights or receipt of a stock dividend results in fractional share holdings, additional fractional shares may be purchased to complement the fractional shares so acquired. In elections of directors, a savings institution's share held by the savings institution as sole trustee, whether in its own name as trustee or in the name of its nominee, shall not be voted by the registered owner unless, under the terms of the trust, the manner in which such shares shall be voted may be determined by a donor or beneficiary of the trust and the donor or beneficiary directs how the shares will be voted.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0110 Custody of Investments {#sec-04-ncac-16k-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0110}

(a) The investments of each fiduciary account shall be kept separate from the assets of the savings institution and shall be placed in the joint custody or control of not fewer than two of the officers or employees of the savings institution designated for that purpose either by the board of directors of the savings institution or by one or more officers designated by the board of directors of the savings institution. All officers and employees designated as custodians of trust investments shall be bonded. To the extent permitted by G.S. 53-159.1, a savings institution may permit the investments of a fiduciary account to be deposited elsewhere.

(b) The investment of each fiduciary account shall be either:

(1) kept separate from those of all other accounts, except as provided in Rule .0112 of this Section; or

(2) identified as the property of the relevant account.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0111 Compensation of Savings Institution {#sec-04-ncac-16k-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0111}

(a) If the amount of the compensation for acting in a fiduciary capacity is not provided for in the instrument creating the fiduciary relationship, set forth in Chapter 32 of the General Statutes, or otherwise agreed to by the parties, a savings institution acting in such capacity may charge or deduct a reasonable compensation for its services. When the savings institution is acting in a fiduciary capacity under appointment by a court, it shall receive compensation as may be allowed or approved by the court.

(b) No savings institution shall, permit any of its officers or employees, while serving as such, to act as co-fiduciary with the savings institution in the administration of any account undertaken by it.

(c) No savings institution shall permit an officer or employee engaged in the operation of its trust department to accept a bequest or gift of trust assets unless the bequest or gift is directed or made by a relative of the officer or employee or is approved by the Board of Directors of the savings institution.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0112 Collective Investment {#sec-04-ncac-16k-.0112 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0112}

(a) Funds held as fiduciary may be held in:

(1) a common trust fund maintained by the savings institution for the collective investment and reinvestment of moneys contributed thereto by the savings institution in its capacity as trustee, executor, administrator, guardian, or custodian under the North Carolina Uniform Transfers to Minors Act; or

(2) a fund consisting solely of assets of retirement, pension, profit sharing, stock bonus, or other trusts that are exempt from Federal income taxation pursuant to the Internal Revenue Code.

(b) Collective investments of funds or other property by a savings institution under Paragraph (a) of this Rule shall be administered in accordance with Comptroller of the Currency Regulation 9.18, 12 C.F.R. 9.18, which is hereby incorporated by reference and shall include any later amendments and editions of the referenced material. This information is available at the U.S. Printing Office website at http://www.ecfr.gov/cgi-bin/text-idx?SID=10db9d6d7ecd62689d768e1b0c9a2199&node=se12.1.9_118&rgn=div8. Any documents filed with the Comptroller of the Currency pursuant to 12 C.F.R 9.18 shall also be filed with the Commissioner of Banks.

History

Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16K .0113 Surrender of Trust Powers {#sec-04-ncac-16k-.0113 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0113}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Amended Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16K .0114 Eff. of Appt.: Conservator/Receiver: Voluntary Dissolution {#sec-04-ncac-16k-.0114 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0114}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Amended Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16K .0115 Revocation of Trust Powers {#sec-04-ncac-16k-.0115 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0115}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Amended Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16K .0116 Applicability of General Laws Regarding Trust Operations {#sec-04-ncac-16k-.0116 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0116}

History

Status: repealed
Filed as a Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Authority G.S. 54B-55; 54B-77; 54C-53; 54C-146
Eff. November 1, 1982
Amended Eff. February 15, 1992
Repealed Eff. November 1, 2017.

04 NCAC 16K .0117 Reports and Fees {#sec-04-ncac-16k-.0117 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16K .0117}

Savings institutions engaging in trust operations shall make reports regarding those operations as the Commissioner of Banks requires to evaluate the integrity of the operations. In addition to any other fees, savings institutions acting as fiduciaries shall pay an examination fee for examination of its fiduciary activities, in an amount to be determined by the Commissioner of Banks in accordance with G.S. 54B-57 or 54C-55.

History

Authority G.S. 54B-55; 54B-57; 54B-77; 54C-53; 54C-55; 54C-146
Eff. November 1, 1982
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

Subchapter L

04 NCAC 16L .0101 Plan of Liquidation {#sec-04-ncac-16l-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16L .0101}

History

Status: repealed
Authority G.S. 54B-42; 54B-55; 54C-42; 54C-53
Eff. October 1, 1987
Repealed Eff. November 1, 2017.

04 NCAC 16L .0102 Disposition of Assets {#sec-04-ncac-16l-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16L .0102}

(a) After approval of the plan of liquidation by the Commissioner of Banks, the savings institution shall, except in case of dissolution under G.S. 54B-40 or G.S. 54C-41, mail a notice of the dissolution to each known creditor of the savings institution and to the Secretary of Revenue, and the notice shall be published once a week for four successive weeks in a newspaper published in the county where the savings institution has its principal office, however, if there be no newspaper published in the county, then in some newspaper of general circulation in that county. After publication of the notice, the applicant shall file a copy of the notice with the Commissioner of Banks.

(b) After approval of the plan of liquidation by the Commissioner of Banks, the savings institution shall:

(1) collect its assets;

(2) convey and dispose of its properties that are not to be distributed in kind to its members or shareholders;

(3) pay, satisfy, and discharge its liabilities and obligations; and

(4) do all other acts required to liquidate its business and affairs, including the collection of unpaid subscriptions necessary to equalize the agreed payments by subscribers of its shares.

(c) After paying or providing for the payment of all its obligations, the savings institution shall distribute the remainder of its assets, either in cash or in kind, among its members or shareholders according to their respective rights and interests.

History

Authority G.S. 54B-42; 54B-55; 54C-42; 54C-53
Eff. October 1, 1987
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16L .0103 Rescission AND CANCELLATION OF DISSOLUTION {#sec-04-ncac-16l-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16L .0103}

(a) At any time after the filing of the plan of liquidation and prior to the filing of a certificate of dissolution, a voluntary dissolution may be rescinded by filing a statement of revocation of dissolution. The contents of the statement and the proceedings taken to revoke a dissolution shall conform with the adaptations as are appropriate to revocation pursuant to either G.S. 54B-41 or G.S. 54C-42.

(b) Upon the filing of the statement of rescission of dissolution, the rescission of the voluntary dissolution proceedings shall become effective and the savings institution shall be authorized to carry on business.

History

Authority G.S. 54B-42; 54B-55; 54C-42; 54C-53
Eff. October 1, 1987
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

04 NCAC 16L .0104 Waiver {#sec-04-ncac-16l-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 16L .0104}

The Commissioner of Banks may waive or alter any requirements set forth in this Section to promote the best interests of the public or the savings institution by assuring the safe and sound operation of the savings institution, or when the application of any rule would have an unintended negative impact upon the public or a savings institution.

History

Authority G.S. 54B-42; 54B-55; 54C-42; 54C-53
Eff. October 1, 1987
Temporary Amendment Eff. October 2, 1991 for a period of 180 days to expire on March 31, 1992
Amended Eff. November 1, 2017; February 15, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. November 22, 2018.

Chapter 17 Seafood Industrial Park Authority

04 NCAC 17 .0101 Identifying Information {#sec-04-ncac-17-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 17 .0101}

History

Status: expired
Authority G.S. 113-315.28; 113-315.29; 113-315.29(8)
Eff. March 1, 1988
Rules expired on September 18, 2014 for failure to report pursuant to G.S. 150B-21.3A(b).

04 NCAC 17 .0102 Functions and Powers {#sec-04-ncac-17-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 17 .0102}

History

Status: expired
Authority G.S. 113-315.28; 113-315.29; 113-315.29(8)
Eff. March 1, 1988
Rules expired on September 18, 2014 for failure to report pursuant to G.S. 150B-21.3A(b).

04 NCAC 17 .0201 Definitions {#sec-04-ncac-17-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 17 .0201}

History

Status: repealed
Authority G.S. 113-315.29(10)
ARRC Objection January 21, 1988
Eff. July 1, 1988
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 17 .0202 Rates: Fees and Penalties {#sec-04-ncac-17-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 17 .0202}

History

Status: repealed
Authority G.S. 113-315.29(8),(9),(10); 113-315.34
ARRC Objection January 21, 1988
Eff. July 1, 1988
Repealed Eff. July 16, 1988 in accordance with G.S. 150B-59(c).

04 NCAC 17 .0203 General Regulations for Use of Dock Facilities {#sec-04-ncac-17-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 17 .0203}

History

Status: expired
Authority G.S. 113-315.29; 113-315.34; 113-315.37
Eff. March 1, 1988
Amended Eff. March 1, 1990
Rule expired on September 18, 2014 for failure to report pursuant to G.S. 150B-21.3A(b).

04 NCAC 17 .0204 Definitions {#sec-04-ncac-17-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 17 .0204}

History

Status: expired
Authority G.S. 113-315.29(8),(9),(10); 113-315.29(10); 113-315.34
ARRC Objection Lodged January 19, 1989
Eff. July 1, 1989
Rules expired on September 18, 2014 for failure to report pursuant to G.S. 150B-21.3A(b).

04 NCAC 17 .0205 Rates: Fees and Penalties {#sec-04-ncac-17-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 17 .0205}

History

Status: expired
Authority G.S. 113-315.29(8),(9),(10); 113-315.29(10); 113-315.34
ARRC Objection Lodged January 19, 1989
Eff. July 1, 1989
Rules expired on September 18, 2014 for failure to report pursuant to G.S. 150B-21.3A(b).

Chapter 18 Hazardous Waste Management Commission

04 NCAC 18 .0101 Purpose {#sec-04-ncac-18-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0101}

History

Status: repealed
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-4; 130B-7(a)(24); 150B-13
Eff. March 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0102 Definitions {#sec-04-ncac-18-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0102}

History

Status: repealed
Filed as a Temporary Amendment Eff. November 1, 1989 for a period of 145 days to expire
on March 25, 1990
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-2; 130B-7(a)(24); 150B-13
ARRC Objection Lodged October 19, 1989
ARRC Objection Removed November 16, 1989
Eff. March 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0103 Mailing List {#sec-04-ncac-18-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0103}

History

Status: repealed
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on March 25, 1990
Authority G.S. 12-3.1; 130B-6; 130B-7(a)(24); 143-318.12; 150B-13
Eff. March 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0104 Written Material Depositories {#sec-04-ncac-18-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0104}

History

Status: repealed
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on March 25, 1990
Authority G.S. 12-3.1; 130B-6; 130B-7(a)(24); 143-318.12; 150B-13
Eff. March 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0201 Introduction {#sec-04-ncac-18-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0201}

History

Status: repealed
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-7(a)(5); 150B-13
Eff. March 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0202 Site Location Exclusions {#sec-04-ncac-18-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0202}

History

Status: repealed
Filed as a Temporary Amendment Eff. November 1, 1989 for a period of 145 days to expire
on March 25, 1990
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-7(a)(5); 130B-7(a)(24); 150B-13
ARRC Objection Lodged October 19, 1989
ARRC Objection Removed November 16, 1989
Eff. March 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0203 Site Location Factors and Criteria {#sec-04-ncac-18-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0203}

History

Status: repealed
Filed as a Temporary Amendment Eff. January 25, 1990, for a period of 180 days to expire on July 24, 1990
Filed as a Temporary Rule Eff. November 7, 1989, for a period of 180 days to expire on May 6, 1990
Authority G.S. 130B-7(a)(5),(24); 130B-11(b); 150B-13
Eff. April 1, 1990
Amended Eff. July 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0204 Land Disposal Unit Site Criteria {#sec-04-ncac-18-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0204}

History

Status: repealed
Filed as a Temporary Rule Eff. January 25, 1990, for a period of 180 days to expire on
July 24, 1990
Statutory Authority G.S. 130B-7(a)(5),(24); 130B-11(b); 150B-13
Eff. July 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0301 General {#sec-04-ncac-18-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0301}

History

Status: repealed
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-7(a)(5); 150B-13
Eff. March 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0302 Communities Interested in Hosting Facilities {#sec-04-ncac-18-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0302}

History

Status: repealed
Filed as a Temporary Amendment Eff. November 1, 1989 for a period of 145 days to expire
on March 25, 1990
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-7(a)(24); 130B-11(a); 130B-11(c1); 130B-23(a); 150B-13
ARRC Objection Lodged October 19, 1989
ARRC Objection Removed November 16, 1989
Eff. March 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0303 Statewide Screening for Suitable Sites {#sec-04-ncac-18-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0303}

History

Status: repealed
Filed as a Temporary Amendment Eff. February 28, 1990, for a period of 167 days to expire
on July 24, 1990
Filed as a Temporary Amendment Eff. January 25, 1990, for a period of 180 days to expire
on July 24, 1990
Filed as a Temporary Amendment Eff. November 7, 1989, for a period of 180 days to expire
on May 6, 1990
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-7(a)(5),(24); 130B-11(b); 150B-13
Eff. March 1, 1990
Amended Eff. July 1, 1990; April 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0304 Selection of Suitable Sites {#sec-04-ncac-18-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0304}

History

Status: repealed
Filed as a Temporary Amendment Eff. August 8, 1990 for a period of 180 days to expire on
February 3, 1991
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-7(a)(24); 130B-11(a); 130B-11(b); 150B-13
Eff. March 1, 1990
Amended Eff. March 1, 1991
Repealed Eff. November 29, 2001.

04 NCAC 18 .0305 Site Designation Review Committees {#sec-04-ncac-18-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0305}

History

Status: repealed
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-7(a)(24); 130B-19; 150B-13
Eff. March 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0306 Preferred Site {#sec-04-ncac-18-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0306}

History

Status: repealed
Filed as a Temporary Amendment Eff. August 3, 1990 for a period of 180 days to expire on
February 1, 1991
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-7(a)(24); 130B-11; 130B-20; 150B-13
Eff. March 1, 1990
Amended Eff. March 1, 1991
Repealed Eff. November 29, 2001.

04 NCAC 18 .0307 Preferred Site Local Advisory Committee {#sec-04-ncac-18-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0307}

History

Status: repealed
Filed as a Temporary Rule Eff. September 25, 1989 for a period of 180 days to expire on
March 25, 1990
Statutory Authority G.S. 130B-7(a)(24); 130B-11; 150B-13
Eff. March 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0308 Evaluation Procedures {#sec-04-ncac-18-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0308}

History

Status: repealed
Filed as a Temporary Rule Eff. January 25, 1990, for a period of 180 days to expire on
July 24, 1990
Statutory Authority G.S. 130B-7(a)(5),(24); 130B-11(b); 150B-13
Eff. July 1, 1990
Repealed Eff. November 29, 2001.

04 NCAC 18 .0309 Final Site {#sec-04-ncac-18-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 18 .0309}

History

Status: repealed
Filed as a Temporary Adoption Eff. December 4, 1990 for a period of 180 days to expire on
June 2, 1991
Statutory Authority G.S. 130B-7(a)(5); 130B-7(a)(24); 130B-11(b); 150B-13
ARRC Objection Lodged January 18, 1991
Eff. July 1, 1991
Repealed Eff. November 29, 2001.

Chapter 19 Rural Economic Development

Subchapter A

04 NCAC 19A .0101 Purpose {#sec-04-ncac-19a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19A .0101}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. February 1, 1976
Amended Eff. March 1, 1983; April 1, 1979
Repealed Eff. October 1, 1984.

04 NCAC 19A .0102 Organization {#sec-04-ncac-19a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19A .0102}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. February 1, 1976
Amended Eff. March 1, 1983; April 1, 1979
Repealed Eff. October 1, 1984.

Subchapter B

04 NCAC 19B .0101 Purpose {#sec-04-ncac-19b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0101}

History

Status: repealed
Authority G.S. 150-13; 143B-276; 113-3(2)
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0102 Initial Contact {#sec-04-ncac-19b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0102}

History

Status: repealed
Authority G.S. 150-13; 143B-276; 113-3(2)
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0103 Staff Presentation {#sec-04-ncac-19b-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0103}

History

Status: repealed
Authority G.S. 150-13; 143B-276; 113-3(2)
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0104 Entry Form {#sec-04-ncac-19b-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0104}

History

Status: repealed
Authority G.S. 150-13; 143B-276; 113-3(2)
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0105 Status Report {#sec-04-ncac-19b-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0105}

History

Status: repealed
Authority G.S. 150-13; 143B-276; 113-3(2)
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0106 Inspection {#sec-04-ncac-19b-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0106}

History

Status: repealed
Authority G.S. 150-13; 143B-276; 113-3(2)
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0107 Agency Decision {#sec-04-ncac-19b-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0107}

History

Status: repealed
Authority G.S. 150-13; 143B-276; 113-3(2)
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0108 Governor's Award Plaque {#sec-04-ncac-19b-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0108}

History

Status: repealed
Authority G.S. 150-13; 143B-276; 113-3(2)
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0201 Maximum Size of Community {#sec-04-ncac-19b-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0201}

History

Status: repealed
Authority G.S. 113-3(2); 143B-276; 150-13
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0202 Sponsoring Organization {#sec-04-ncac-19b-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0202}

History

Status: repealed
Authority G.S. 113-3(2); 143B-276; 150-13
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0203 Community Audit {#sec-04-ncac-19b-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0203}

History

Status: repealed
Authority G.S. 113-3(2); 143B-276; 150-13
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0204 Industrial Sites {#sec-04-ncac-19b-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0204}

History

Status: repealed
Authority G.S. 113-3(2); 143B-276; 150-13
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0205 Brochure {#sec-04-ncac-19b-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0205}

History

Status: repealed
Authority G.S. 113-3(2); 143B-276; 150-13
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0206 Existing Industry Committee {#sec-04-ncac-19b-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0206}

History

Status: repealed
Authority G.S. 113-3(2); 143B-276; 150-13
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0207 Planning Requirement {#sec-04-ncac-19b-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0207}

History

Status: repealed
Authority G.S. 113-3(2); 143B-276; 150-13
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0208 Cleanup: Fixup {#sec-04-ncac-19b-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0208}

History

Status: repealed
Authority G.S. 113-3(2); 143B-276; 150-13
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19B .0209 Recreation {#sec-04-ncac-19b-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19B .0209}

History

Status: repealed
Authority G.S. 113-3(2); 143B-276; 150-13
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

Subchapter C

04 NCAC 19C .0101 Purpose {#sec-04-ncac-19c-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0101}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0102 Organization {#sec-04-ncac-19c-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0102}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

4 NCAC 19C .0201 Transmittal of Information {#sec-4-ncac-19c-.0201 omnilex-key=us-nc-regs-official--title-04--4 NCAC 19C .0201}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277; 143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0202 Regional Information Meetings {#sec-04-ncac-19c-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0202}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-277
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19C .0203 Grant Application Procedures {#sec-04-ncac-19c-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0203}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277
143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0204 Initial Review {#sec-04-ncac-19c-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0204}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277
143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0205 Final Department Decision {#sec-04-ncac-19c-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0205}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277
143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0206 Transmission of Grant Contracts {#sec-04-ncac-19c-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0206}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277
143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0207 Return of Executed Grant Contracts {#sec-04-ncac-19c-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0207}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277
143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0301 Eligibility for Funding {#sec-04-ncac-19c-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0301}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277
143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0302 Funding Limitations {#sec-04-ncac-19c-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0302}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277
143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0303 Determination of Applications to Be Funded {#sec-04-ncac-19c-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0303}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277
143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0304 Capability to Implement {#sec-04-ncac-19c-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0304}

History

Status: repealed
Authority G.S. 143B-10; 113-3; 143B-277
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19C .0305 Elements of Work Program {#sec-04-ncac-19c-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0305}

History

Status: repealed
Authority G.S. 143B-10; 113-3; 143B-277
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19C .0306 Performance of Work Funded by This Program {#sec-04-ncac-19c-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0306}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277
143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19C .0307 Availability of Funds {#sec-04-ncac-19c-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19C .0307}

History

Status: repealed
Authority G.S. 113-3; 143B-10; 143B-275 through 143B-277
143-320 through 143-323
Eff. February 1, 1976
Amended Eff. April 1, 1979
Repealed Eff. March 1, 1983.

Subchapter D

04 NCAC 19D .0101 Purpose {#sec-04-ncac-19d-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0101}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0102 Authority {#sec-04-ncac-19d-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0102}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0201 Apportionment {#sec-04-ncac-19d-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0201}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0202 Matching Requirement {#sec-04-ncac-19d-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0202}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0301 Application: Address {#sec-04-ncac-19d-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0301}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0302 Application: Cutoff Dates {#sec-04-ncac-19d-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0302}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0303 Application: Form {#sec-04-ncac-19d-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0303}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0304 Evaluation of State Agency Applications {#sec-04-ncac-19d-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0304}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0305 Evaluation of Completed Local Agency Applications {#sec-04-ncac-19d-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0305}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0306 Review by the Lwcf Review Committee {#sec-04-ncac-19d-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0306}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0307 Final Agency Decision {#sec-04-ncac-19d-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0307}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Amended Eff. October 17, 1978
Repealed Eff. March 1, 1979.

04 NCAC 19D .0401 The Priority Rating System {#sec-04-ncac-19d-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0401}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. March 1, 1979.

04 NCAC 19D .0402 Additional Criteria to Be Applied by Staff Committee {#sec-04-ncac-19d-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0402}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. March 1, 1979.

04 NCAC 19D .0403 Annual Report and Review of Selection Criteria {#sec-04-ncac-19d-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19D .0403}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. March 1, 1979.

Subchapter E

04 NCAC 19E .0101 Purpose {#sec-04-ncac-19e-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19E .0101}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19E .0102 Organization {#sec-04-ncac-19e-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19E .0102}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19E .0103 Policy {#sec-04-ncac-19e-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19E .0103}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19E .0201 Limitations {#sec-04-ncac-19e-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19E .0201}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19E .0202 Eligible Applicants {#sec-04-ncac-19e-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19E .0202}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19E .0203 Application: Date {#sec-04-ncac-19e-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19E .0203}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19E .0204 Application: Form {#sec-04-ncac-19e-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19E .0204}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19E .0205 Department Decision {#sec-04-ncac-19e-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19E .0205}

History

Status: repealed
Authority G.S. 143B-10; 113-8
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19E .0301 Selection Criteria {#sec-04-ncac-19e-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19E .0301}

History

Status: repealed
Authority G.S. 143B-10; 143B-331; 113-8
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

04 NCAC 19E .0302 Priorities {#sec-04-ncac-19e-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19E .0302}

History

Status: repealed
Authority G.S. 143B-10; 143B-331; 113-8
Eff. February 1, 1976
Repealed Eff. April 1, 1979.

Subchapter F

04 NCAC 19F .0101 Purpose {#sec-04-ncac-19f-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19F .0101}

History

Status: repealed
Authority G.S. 143B-10; 143B-331
Eff. February 1, 1976
Repealed Eff. July 13, 1979.

04 NCAC 19F .0102 Policy {#sec-04-ncac-19f-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19F .0102}

History

Status: repealed
Authority G.S. 143B-10; 143B-331
Eff. February 1, 1976
Repealed Eff. July 13, 1979.

04 NCAC 19F .0103 Organization {#sec-04-ncac-19f-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19F .0103}

History

Status: repealed
Authority G.S. 143B-10; 143B-331
Eff. February 1, 1976
Repealed Eff. July 13, 1979.

04 NCAC 19F .0201 Eligible Applicants {#sec-04-ncac-19f-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19F .0201}

History

Status: repealed
Authority G.S. 143B-10; 143B-331
Eff. February 1, 1976
Repealed Eff. July 13, 1979.

04 NCAC 19F .0202 Nature and Request for Proposals {#sec-04-ncac-19f-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19F .0202}

History

Status: repealed
Authority G.S. 143B-10; 143B-331
Eff. February 1, 1976
Repealed Eff. July 13, 1979.

04 NCAC 19F .0203 Submission of Proposals {#sec-04-ncac-19f-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19F .0203}

History

Status: repealed
Authority G.S. 143B-10; 143B-331
Eff. February 1, 1976
Repealed Eff. July 13, 1979.

04 NCAC 19F .0301 Evaluation Criteria {#sec-04-ncac-19f-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19F .0301}

History

Status: repealed
Authority G.S. 143B-10; 143B-331
Eff. February 1, 1976
Repealed Eff. July 13, 1979.

04 NCAC 19F .0302 Notice of Decision {#sec-04-ncac-19f-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19F .0302}

History

Status: repealed
Authority G.S. 143B-10; 143B-331
Eff. February 1, 1976
Repealed Eff. July 13, 1979.

Subchapter H

04 NCAC 19H .0101 Purpose {#sec-04-ncac-19h-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19H .0101}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19H .0102 Organization {#sec-04-ncac-19h-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19H .0102}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19H .0103 Notification of Program {#sec-04-ncac-19h-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19H .0103}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19H .0201 Eligible Local Governments {#sec-04-ncac-19h-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19H .0201}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19H .0202 Process for Receiving Assistance {#sec-04-ncac-19h-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19H .0202}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19H .0203 Timing and Provision of Services {#sec-04-ncac-19h-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19H .0203}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19H .0204 Cost to Local Governments {#sec-04-ncac-19h-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19H .0204}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19H .0301 Definition {#sec-04-ncac-19h-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19H .0301}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19H .0302 Project Review Committee {#sec-04-ncac-19h-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19H .0302}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19H .0303 Memorandum of Agreement {#sec-04-ncac-19h-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19H .0303}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

Subchapter I

04 NCAC 19I .0101 Purpose {#sec-04-ncac-19i-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19I .0101}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19I .0102 Organization {#sec-04-ncac-19i-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19I .0102}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Amended Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19I .0201 Examples of Programs {#sec-04-ncac-19i-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19I .0201}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Repealed Eff. October 1, 1984.

04 NCAC 19I .0202 Application Process {#sec-04-ncac-19i-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19I .0202}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Repealed Eff. October 1, 1984.

Subchapter J

04 NCAC 19J .0101 Purpose {#sec-04-ncac-19j-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19J .0101}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19J .0102 Organization {#sec-04-ncac-19j-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19J .0102}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19J .0201 Eligibility {#sec-04-ncac-19j-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19J .0201}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3; 143B-10
Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19J .0202 Funding Priorities {#sec-04-ncac-19j-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19J .0202}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3; 143B-10
Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19J .0203 Grant Amounts and Local Match Requirement {#sec-04-ncac-19j-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19J .0203}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3; 143B-10
Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19J .0301 Notification {#sec-04-ncac-19j-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19J .0301}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Repealed Eff. March 1, 1983.

04 NCAC 19J .0302 Judging of Applications {#sec-04-ncac-19j-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19J .0302}

History

Status: repealed
Authority G.S. 143B-275 through 143B-277; 143-320 through 143-323; 113-3
143B-10
Eff. April 1, 1979
Repealed Eff. March 1, 1983.

Subchapter K

04 NCAC 19K .0101 Authority {#sec-04-ncac-19k-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0101}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. July 1, 1988.

04 NCAC 19K .0102 Purpose {#sec-04-ncac-19k-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0102}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. July 1, 1988.

04 NCAC 19K .0201 Transmittal of Information {#sec-04-ncac-19k-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0201}

History

Status: repealed
Authority G.S. 113A-1 through 113A-10; 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. October 1, 1984.

04 NCAC 19K .0202 Pre-Applications {#sec-04-ncac-19k-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0202}

History

Status: repealed
Authority G.S. 113A-1 through 113A-10; 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. October 1, 1984.

04 NCAC 19K .0203 Grant Application {#sec-04-ncac-19k-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0203}

History

Status: repealed
Authority G.S. 113A-1 through 113A-10; 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. October 1, 1984.

04 NCAC 19K .0204 Initial Review {#sec-04-ncac-19k-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0204}

History

Status: repealed
Authority G.S. 113A-1 through 113A-10; 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. October 1, 1984.

04 NCAC 19K .0205 Department Decision {#sec-04-ncac-19k-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0205}

History

Status: repealed
Authority G.S. 113A-1 through 113A-10; 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. October 1, 1984.

04 NCAC 19K .0301 Eligible Applicants {#sec-04-ncac-19k-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0301}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. October 1, 1984.

04 NCAC 19K .0302 Funding Limits {#sec-04-ncac-19k-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0302}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. October 1, 1984.

04 NCAC 19K .0303 Project Duration {#sec-04-ncac-19k-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0303}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. July 1, 1988.

04 NCAC 19K .0304 Grant Criteria {#sec-04-ncac-19k-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0304}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. October 1, 1984.

04 NCAC 19K .0401 Contract Agreement {#sec-04-ncac-19k-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0401}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. July 1, 1988.

04 NCAC 19K .0402 Accountability {#sec-04-ncac-19k-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0402}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. July 1, 1988.

04 NCAC 19K .0403 Payment {#sec-04-ncac-19k-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0403}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. July 1, 1988.

04 NCAC 19K .0404 Progress Reports and Grant Monitoring {#sec-04-ncac-19k-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0404}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. July 1, 1988.

04 NCAC 19K .0405 Grant Audit {#sec-04-ncac-19k-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19K .0405}

History

Status: repealed
Authority G.S. 143-323(e)(5)
Eff. December 5, 1979
Repealed Eff. July 1, 1988.

Subchapter L

04 NCAC 19L .0101 Program Purpose and Objective {#sec-04-ncac-19l-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0101}

The purpose of the North Carolina Community Development Block Grant Program is to develop viable communities by providing decent housing and a suitable living environment and by expanding economic opportunities, principally for persons of low and moderate income. Consistent with this primary objective, Community Development Block Grant funds will be directed towards the specific objectives found in the amended Housing and Community Development Act of 1974, Section 101(c).

The assistance provided under this program is intended to help local governments meet needs that are not currently being addressed in their communities. These funds shall not be used to replace local financing of ongoing community development activities.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C. 5301; 42 U.S.C. 5306(d); 24 C.F.R. 570.489
Eff. July, 1, 1982
Amended Eff. March 1, 1986; October 1, 1984; March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0102 Authority {#sec-04-ncac-19l-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0102}

History

Status: repealed
Authority G.S. 143-323; 143B-276; 42 U.S.C.A. 5306(d)
Eff. July 1, 1982
Amended Eff. March 1, 1984
Repealed Eff. October 1, 1984.

04 NCAC 19L .0103 Definitions {#sec-04-ncac-19l-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0103}

(a) "Act" means Title I of the Housing and Community Development Act of 1974, P.L. 93-383, as amended.

(b) "Applicant" means a local government which makes application pursuant to the provisions of this Subchapter.

(d) "Chief Elected Official" of a local government means either the elected mayor of a city or the chairman of a county board of commissioners.

(e) "Community Development Program" means the annual program of projects and activities to be carried out by the applicant with funds provided under this Subchapter and other resources.

(f) "Department" means the North Carolina Department of Commerce.

(g) "Division" means the Department of Commerce's Division of Community Assistance.

(h) "HUD" means the U.S. Department of Housing and Urban Development.

(i) "Local Government" means any unit of general city or county government in the State.

(j) Low-income families are those with a family income of 50 percent or less of median-family income. Moderate-income families are those with a family income greater than 50 percent and less than or equal to 80 percent of median-family income. For purposes of such terms, the area involved and median income shall be determined in the same manner as provided for under the Act.

(k) "Low- and Moderate-Income Persons" means members of families whose incomes are within the income limits of low- and moderate-income families as defined in Paragraph (j) of this Rule.

(l) "Metropolitan Area" means a standard metropolitan statistical area, as established by the U.S. Office of Management and Budget.

(m) "Metropolitan City" means a city as defined by Section 102(a)(4) of the Act.

(n) "Project" means one or more activities addressing either:

(1) community revitalization needs; or

(2) economic development needs; or

(3) development of housing for persons of low- and moderate-income; or

(4) urgent needs of the applicant; or

(5) infrastructure needs; or

(6) scattered site housing.

(o) "Recipient" means a local government that has been awarded a Community Development Block Grant and executed a Grant Agreement with the Department.

(p) "Scattered site" means acquisition, clearance, relocation, historic preservation and building rehabilitation activities which benefit low or moderate income persons or eliminate specific conditions of blight or decay on a spot basis not located in a slum or blighted area.

(q) "Secretary" means the Secretary of Department of Commerce or his designee.

(r) "State" means the State of North Carolina.

(s) "Urban County" means a county as defined by Section 102(a)(6) of the Act.

(t) The definitions in this Rule apply to terms used in this Subchapter.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.481 - 570.483
Eff. July 1, 1982
Amended Eff. March 1, 1995; June 1, 1993; May 1, 1992; September 1, 1990
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0104 Waivers {#sec-04-ncac-19l-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0104}

The Secretary may issue a written waiver of any requirements of this Subchapter not required by law whenever he determines that undue hardship to recipients or beneficiaries will result from applying the requirement and where application of the requirement would adversely affect the purposes of the Act.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.480
Eff. July 1, 1982
Amended Eff. June 1, 1994
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0105 Eligible Applicants {#sec-04-ncac-19l-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0105}

Eligible applicants are all local governments excluding those designated as metropolitan cities or urban counties by Section 102(a)(4) and (6) of the Act. When two or more local governments submit a single application, one of them must be identified in the application as the lead entity.

History

Authority 143B-10; 143B-431; 42 U.S.C.A. 5306(d)
Eff. October 1, 1984
Amended Eff. March 1, 1995; March 1, 1986
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0106 Amendments Adopted by Reference {#sec-04-ncac-19l-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0106}

All referenced federal documents in this Subchapter are hereby adopted by reference to include any later amendments pursuant to G.S. 150B-14(c).

History

Authority 143B-10; 143B-431; 150B-14
Eff. April 1, 1989
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0201 General {#sec-04-ncac-19l-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0201}

History

Status: repealed
Authority 42 U.S.C.A. 5306(d)
Eff. July 1, 1982
Amended Eff. March 1, 1984; April 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19L .0202 Application in Behalf of Others {#sec-04-ncac-19l-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0202}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5306(d); 24 C.F.R. 570.489
Eff. July 1, 1982
Repealed Eff. April 1, 1983.

04 NCAC 19L .0203 Joint Applications {#sec-04-ncac-19l-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0203}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5306(d); 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. April 1, 1983
Repealed Eff. March 1, 1984.

04 NCAC 19L .0204 Limitations {#sec-04-ncac-19l-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0204}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5306(d); 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. April 1, 1983
Repealed Eff. March 1, 1984.

04 NCAC 19L .0301 Eligible Activities {#sec-04-ncac-19l-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0301}

This Subchapter incorporates by reference as eligible activities those activities described in the Housing and Community Development Act of 1974 as amended, including subsequent amendments and editions, under Section 105 (a), "Eligible Activities," and in 24 CFR 570.482. Additional general guidance is found in 24 CFR 570.201-206. Copies of these sections of federal law and regulation are available for public inspection from the Division of Community Assistance. Single copies are available from this Division in Raleigh, North Carolina, for one dollar ($1.00) each.

History

Authority 143B-10; 143B-431; 42 U.S.C. 5305
Eff. July 1, 1982
Amended Eff. June 1, 1993; September 1, 1990; March 1, 1986; March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0302 Ineligible Activities {#sec-04-ncac-19l-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0302}

All activities not defined as eligible in Rule .0301 shall be considered ineligible for assistance under this Subchapter. A general guide regarding ineligible activities is found in 24 CFR 570.207. Copies of this federal regulation are available for public inspection and may be obtained from the Division of Community Assistance.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. September 1, 1990; March 1, 1986
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0401 General {#sec-04-ncac-19l-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0401}

(a) The Division shall designate specific due dates or open periods of time for submission of grant applications under each category, based on the amount of funds available and coordination with other federal program funding cycles. Urgent Needs applications may be submitted at any time.

(b) In cases where the Division makes a procedural error in the application selection process that, when corrected, would result in awarding a score sufficient to warrant a grant award, the Division may compensate that applicant at the earliest time sufficient funds become available or with a grant in the next funding cycle.

(c) Applicants may apply for funding under the grant categories of Community Revitalization, Housing Development, Scattered Site Housing, Infrastructure, Demonstration Projects, Urgent Needs, and Economic Development. Applicants shall not apply for Contingency funding. Contingency awards may be made to eligible applicants in any category.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.483
Eff. July 1, 1982
Amended Eff. August 1, 1998; March 1, 1986; October 1, 1984; March 1, 1984
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0402 Types of Grants {#sec-04-ncac-19l-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0402}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5304(b)(3); 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. March 1, 1984
Repealed Eff. October 1, 1984.

04 NCAC 19L .0403 Size and Use of Grants Made to Recipients {#sec-04-ncac-19l-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0403}

(a) There is no minimum grant amount which applicants may request or be awarded. Grant awards made to any one recipient shall not exceed the following amount in each grant category: Community Revitalization: Concentrated Needs subcategory - seven hundred thousand dollars ($700,000), Infrastructure category - eight hundred fifty thousand dollars ($850,000), and Scattered Site Housing category - four hundred thousand dollars ($400,000) Housing Development - two hundred fifty thousand dollars ($250,000); Urgent Needs - six hundred thousand dollars ($600,000); Contingency - six hundred thousand dollars ($600,000). Applicants shall not have a project or combination of projects under active consideration for funding which exceeds one million two hundred fifty thousand dollars ($1,250,000), except for Urgent Needs projects, Demonstration projects, Capacity Building, and Scattered Site Housing. Applicants in the Community Revitalization category shall choose to apply for either a Concentrated Needs award, or a Revitalization Strategy award.

(b) No local government may receive more than a total of one million two hundred fifty thousand dollars ($1,250,000) in CDBG funds in the period that the state distributes its annual HUD allocation of CDBG funds; except that local governments may also receive up to six hundred thousand dollars ($600,000) for a project that addresses Urgent Needs and funds for one demonstration project in addition to other grants awarded during the same time period.

(c) Concentrated Needs subcategory applicants may spend a portion of their total grant amount to finance local option activities. Up to 15 percent may be spent on eligible activities which do not need to be directly related to proposed projects. Job creation activities are not eligible local option activities. Local option activities shall not be competitively rated by the Division, but may be limited to specific eligible activities. Each local option project must show that:

(1) At least fifty-one percent of the CDBG funds proposed for each activity will benefit low- and moderate-income persons, except that CDBG funds may be used for acquisition, disposition, or clearance of vacant units to address the national objective of prevention or elimination of slums or blight; and

(2) CDBG funds proposed for each activity will address the national objective of benefiting low- and moderate-income persons, or aid in the prevention or elimination of slums or blight.

(d) The Division may review grant requests to determine the reasonableness and appropriateness of all proposed administrative and planning costs. Notwithstanding Rule .0910 of this Subchapter, grantees may not increase their approved planning and administrative budgets without prior Division approval. In no case, may applicants budget and expend more than 18 percent of the sum of funds requested and program income for administrative and planning activities for each project, except that demonstration funds may be awarded for projects limited to planning activities only in which case all funds will be spent for planning and administration.

(e) Applicants may spend CDBG funds in those areas in which the applicant has the legal authority to undertake project activities.

(f) Grants to specific recipients shall be provided in amounts commensurate with the size of the applicant's program. In determining appropriate grant amounts for each applicant, the Division may consider an applicant's need, proposed activities, all proposed administrative and planning costs, and ability to carry out the proposed activities.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.483; 42 U.S.C. 5301
Eff. July 1, 1982
Amended Eff. August 1, 1998; February 1, 1996; March 1, 1995; June 1, 1994; June 1, 1993
June 1, 1992
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0404 Grant Category Allocation {#sec-04-ncac-19l-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0404}

Each program year, funds shall be reserved for each grant category. When authorized by the General Assembly the Division may set aside up to two percent for demonstration grants. The remaining funds shall be distributed by the Division to Community Revitalization grant applications unless otherwise specified in the General Assembly.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C. 5304; 24 C.F.R. 570.482; 24 C.F.R. 570.483
Eff. July 1, 1982
Amended Eff. August 1, 1998; June 1, 1994; June 1, 1993; May 1, 1992; April 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0405 Multi-Year Grant Commitments {#sec-04-ncac-19l-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0405}

History

Status: repealed
Authority G.S. 143-323; 24 C.F.R. 570.489; 24 C.F.R. 570.491
Eff. July 1, 1982
Repealed Eff. March 1, 1984.

04 NCAC 19L .0406 Individual Grant Amounts {#sec-04-ncac-19l-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0406}

History

Status: repealed
Authority G.S. 143-323; 24 C.F.R. 570.489
Eff. July 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 19L .0407 General Application Requirements {#sec-04-ncac-19l-.0407 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0407}

(a) Local governments shall submit applications as prescribed by this Rule in order to be considered for funding. Selection of applications for funding shall be based primarily on information contained in the application; thus applications must contain sufficient information for the Division to rate them against the selection criteria. In addition, the following may be considered: information from any source which regards the eligibility of the applicant or application; the legality or feasibility of proposed activities; the applicant's compliance with application procedures specified in this Subchapter or the accuracy of the information presented in the application; evaluation of proposed projects by on-site review; and category-specific information described in Sections .0500, .0700, .0800, .1200, .1300, and .1700 of this Subchapter. All applicants shall address their projects to one of the following grant categories: Community Revitalization (either Concentrated Needs, or Revitalization Strategies), Housing Development, Urgent Needs, Demonstration, Scattered Site Housing, Infrastructure, and Economic Development. Applicants may apply in more than one grant category, providing the total grant application and award does not exceed the maximum limits described in Paragraphs (a) and (b) of Rule .0403 of this Section. Applicants shall submit an application that describes each project in sufficient detail to be rated.

(b) Applications must be received by the Division's administrative offices in Raleigh before 5:00 p.m. on the submission date or sent by mail and postmarked on the submission date.

(c) Applicants must provide citizens with adequate opportunity for meaningful involvement in the development of Community Development Block Grant applications. Specific citizen participation guidelines are described further in Rule .1002 of this Subchapter. If the Division is aware of an applicant's failure to meet these citizen participation requirements, the Division may not rate the application.

(d) The Division may submit all CDBG applications and environmental review records as may be required by the National Environmental Policy Act and the State Environmental Policy Act to the State Clearinghouse of the Department of Administration for review and comments. The Division may require each applicant to submit a written description of how the applicant proposes to address each comment received from the State Clearinghouse.

(e) The applicant shall certify to the Division that it will comply with all applicable federal and state laws, regulations, rules and Executive Orders. Copies of these federal and state requirements are available for public inspection from the Division.

(f) Applicants must comply with the Housing and Community Development Act of 1974 as amended, all applicable federal and state laws, regulations, rules, and Executive Orders.

(g) Application requirements described in this Rule .0407 do not apply to demonstration grants and Urgent Needs grants, except for Paragraphs (a), (d), and (f).

(h) For multi-family rental housing activities, the applicant must state in the application the standards it has adopted for determining affordable rents for such activities.

(i) Applicants that receive CDBG funding for projects may charge the cost of application preparation to prior CDBG programs or to the current program provided that procurement procedures consistent with 24 CFR 85.36 are followed. No more than three thousand five hundred dollars ($3,500) may be charged to the CDBG program for application preparation,

(j) Applicants may apply for a Capacity Building grant in any category except in the Urgent Needs and Demonstration Projects categories.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(a); 24 C.F.R. 570.483
Eff. July 1, 1982
Amended Eff. August 1, 1998; March 1, 1995; June 1, 1994; June 1, 1993; June 1, 1992
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0408 Special Allocations from Hud {#sec-04-ncac-19l-.0408 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0408}

Periodically the Department may receive from HUD special allocations of CDBG funds that are separate from its annual funding allocation to meet specific community development needs and priorities. The Division will consult with local officials and hold at least one public hearing prior to the distribution of any special CDBG allocation. The provisions of 4 NCAC 19L shall apply to the administration of any special allocation, except where otherwise required by a federal statute or regulation applicable to the special allocation.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C. 5301
Eff. August 1, 1983
Amended Eff. June 1, 1993; September 1, 1990; March 1, 1986
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0501 Description {#sec-04-ncac-19l-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0501}

(a) The Community Revitalization category includes activities in which a majority of funds is directed towards improving, preserving or developing residential areas. All eligible CDBG activities may be undertaken for the purpose of community revitalization. Applications for funding may involve single or multiple activities, addressing one or more needs in the area. All Community Revitalization activities, must be carried out within defined project areas. Community Revitalization funds shall be distributed to eligible units of local government on a competitive basis. Community Revitalization projects shall be evaluated against other Community Revitalization project proposals.

(b) The Community Revitalization category includes a subcategory for Revitalization Strategies activities which provides funds to selected governments to address multiple need in high poverty areas. This new subcategory shall provide funding to help carry out a long term revitalization strategy. Up to three hundred fifty thousand dollars ($350,000) per year, shall be awarded to eligible local government to carry out a strategy over three to five years. Revitalization Strategies funds may be used for any of the following components as part of strategies to address high poverty arrears in Tier 1/Tier 2 counties and non-entitlement municipalities with State Development Zones: housing, public services, economic development, public facilities, infrastructure. Activities must be targeted toward a defined geographical area that has at least 25% poverty and must involve collaboration with community/economic development organizations and partners.

(c) The Community Revitalization category includes a subcategory for concentrated needs activities which provides funds for improving, preserving, or developing residential neighborhoods. Concentrated Needs may not include more than one project. A project may have two sub-areas. Projects may have single or multiple activities except a project may not have only water and sewer activities. The maximum award amount for a Concentrated Needs application is seven hundred thousand dollars ($700,000). The highest priority is given to housing needs, substandard housing, lack of water/sewer, and the second priority is given to neighborhood needs (streets and drainage). Concentrated needs funds can be used for rehabilitation, acquisition, clearance, relocation, disposition, water and wastewater, and streets and drainage.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5301; 24 C.F.R. 570.483
Eff. July 1, 1982
Amended Eff. August 1, 1998; March 1, 1995; June 1, 1994; June 1, 1993; October 1, 1990
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0502 Eligibility Requirements {#sec-04-ncac-19l-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0502}

(a) Applications for concentrated needs subcategory funds must show that:

(1) At least 51 percent of the CDBG funds proposed for each project shall benefit low- and moderate-income persons, except that CDBG funds proposed for local option activities may be used for acquisition, disposition, or clearance of vacant units to address the national objective of prevention or elimination of slums or blight; and

(2) CDBG funds proposed for each activity shall meet a national objective as specified in HUD regulations previously incorporated by reference, except that funds shall not be used to meet the national objective of urgent need which is covered by Rule .0801 of this Subchapter.

Applications that do not meet these eligibility requirements shall not be rated or funded. In designing projects which meet these requirements, applicants must ensure that activities do not benefit moderate-income persons to the exclusion of low-income persons.

(b) Applicants for Revitalization Strategies subcategory funds must show that:

(1) the defined area has at least 25% poverty as determined in the most recent decennial census and defined in HUD CPD NOTICE 97-01 paragraph D section 2 third bullet as all of census tracts/block numbering areas in the area have at least a 20% poverty rate, and at least 90% of them have at least a 25% poverty rate; and the area is primarily residential.

(2) CDBG funds proposed for acquisition, clearance, and disposition of vacant units shall address a national objective of preventing or eliminating slums or blight.

(c) Applicants shall have the capacity to administer a CDBG program. The Division may examine the following areas to determine capacity:

(1) audit and monitoring findings on previously funded Community Development Block Grant programs, and the applicant's fiscal accountability as demonstrated in other state or federal programs or local government financial reports; and

(2) the rate of expenditure of funds and accomplishments in previously funded CDBG programs. Applicants that show a lack of capacity shall not be rated or funded.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5301; 24 C.F.R. 570.483
Eff. July 1, 1982
Amended Eff. August 1, 1998; March 1, 1995; June 1, 1994; June 1, 1993; September 1, 1990
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0503 Application Contents {#sec-04-ncac-19l-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0503}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5304(a)(1); 42 U.S.C.A. 5306; 24 C.F.R. 570.489
24 C.F.R. 570.490
Eff. July 1, 1982
Amended Eff. March 1, 1984; April 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19L .0504 Funding Cycle {#sec-04-ncac-19l-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0504}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5304(a)(1); 42 U.S.C.A. 5306; 24 C.F.R. 570.489
24 C.F.R. 570.490
Eff. July 1, 1982
Amended Eff. March 1, 1984; April 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19L .0505 Selection Criteria {#sec-04-ncac-19l-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0505}

Projects shall be evaluated and rated in accordance with the following rating factors:

(1) benefit to low and moderate income persons,

(2) project severity of need,

(3) project treatment of need,

(4) appropriateness and feasibility of proposed project activities, and

(5) local commitment of funds and community efforts.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(a)(1); 24 C.F.R. 570.483
Eff. July 1, 1982
Amended Eff. August 1, 1998; March 1, 1995; June 1, 1993; March 1, 1986; March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0506 Targeting {#sec-04-ncac-19l-.0506 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0506}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5301; 24 C.F.R. 570.489
Eff. July 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 19L .0601 Definition {#sec-04-ncac-19l-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0601}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5301; 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. March 1, 1984; April 1, 1983
Repealed Eff. March 1, 1986.

04 NCAC 19L .0602 Eligibility Requirements {#sec-04-ncac-19l-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0602}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5301; 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. March 1, 1984; April 1, 1983
Repealed Eff. March 1, 1986.

04 NCAC 19L .0603 Application Contents {#sec-04-ncac-19l-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0603}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5304(a)(1); 42 U.S.C.A. 5306; 24 C.F.R. 570.489
24 C.F.R. 570.490
Eff. July 1, 1982
Amended Eff. March 1, 1984; April 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19L .0604 Funding Cycle {#sec-04-ncac-19l-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0604}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5304(a)(1); 42 U.S.C.A. 5306; 24 C.F.R. 570.489
24 C.F.R. 570.490
Eff. July 1, 1982
Amended Eff. March 1, 1984; April 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19L .0605 Selection Criteria {#sec-04-ncac-19l-.0605 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0605}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5304(a)(1); 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. March 1, 1984; April 1, 1983
Repealed Eff. March 1, 1986.

04 NCAC 19L .0606 Targeting {#sec-04-ncac-19l-.0606 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0606}

History

Status: repealed
Authority G.S. 143-323; 24 C.F.R. 570.489
Eff. July 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 19L .0607 Preliminary Awards {#sec-04-ncac-19l-.0607 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0607}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5301
Eff. March 1, 1984
Repealed Eff. March 1, 1986.

04 NCAC 19L .0701 Definition {#sec-04-ncac-19l-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0701}

History

Status: repealed
Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5301; 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. September 1, 1990; May 1, 1988; March 1, 1986; February 1, 1985
Repealed Eff. May 1, 1992.

04 NCAC 19L .0702 Eligibility Requirements {#sec-04-ncac-19l-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0702}

History

Status: repealed
Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5301; 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. September 1, 1990; May 1, 1988; March 1, 1986; February 1, 1985
Repealed Eff. May 1, 1992.

04 NCAC 19L .0703 Application Contents {#sec-04-ncac-19l-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0703}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5304(a)(1); 42 U.S.C.A. 5306; 24 C.F.R. 570.489
24 C.F.R. 570.490
Eff. July 1, 1982
Amended Eff. March 1, 1984; April 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19L .0704 Funding Cycle {#sec-04-ncac-19l-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0704}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5304(a)(1); 42 U.S.C.A. 5306; 24 C.F.R. 570.489
24 C.F.R. 570.490
Eff. July 1, 1982
Amended Eff. March 1, 1984; April 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19L .0705 Selection Criteria {#sec-04-ncac-19l-.0705 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0705}

History

Status: repealed
Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5304(a)(1); 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. March 1, 1986; March 1, 1984; April 1, 1983
Repealed Eff. May 1, 1992.

04 NCAC 19L .0706 Definition {#sec-04-ncac-19l-.0706 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0706}

Demonstration grants are provided to assist local governments to develop innovative strategies for addressing specific community development needs and priorities.

History

Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5301; 24 C.F.R. 570.489
Eff. August 1, 1998
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0707 Eligibility Requirements {#sec-04-ncac-19l-.0707 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0707}

(a) Applications for Demonstration Projects must show that:

(1) the proposed project meets a national objective in accordance with 24 CFR 570.483; and

(2) the proposed project meets the specific purpose and priorities adopted by the General Assembly.

Applicants that do not meet these eligibility requirements shall not be considered for funding.

(b) Applicants shall have the capacity to administer a CDBG program. The Division may examine the following areas to determine capacity:

(1) audit and monitoring findings on previously funded Community Development Block Grant programs, and the applicant's fiscal accountability as demonstrated in other state and federal programs or local government financial reports; and

(2) the rate of expenditure of funds and accomplishments in previously funded CDBG programs.

Applicants that show a lack of capacity shall not be considered for funding.

History

Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5301; 24 C.F.R. 570.489
Eff. August 1, 1998
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0708 Selection Criteria {#sec-04-ncac-19l-.0708 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0708}

Selection criteria for demonstration grants shall be:

(1) Benefit to low and moderate income people.

(2) Eligibility of activities.

(3) Project feasibility.

History

Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5301; 24 C.F.R. 570.489
Eff. August 1, 1998
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0801 Description {#sec-04-ncac-19l-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0801}

Urgent Needs grants are provided to localities to meet certain community development needs that have a particular urgency because conditions pose a serious and immediate threat to the health and welfare of the community.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(b)(3); 24 C.F.R. 570.483
Eff. July 1, 1982
Amended Eff. March 1, 1986
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0802 Eligibility Requirements {#sec-04-ncac-19l-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0802}

Urgent Needs grant applicants must meet all four of the following eligibility requirements:

(1) the need addressed by the application must have arisen during the preceding 18-month period and represent an imminent threat to public health or safety;

(2) the activity is designed to alleviate existing conditions which pose a serious and immediate threat to the health or welfare of the community which are of recent origin or which recently became urgent;

(3) the applicant does not have sufficient local resources; and

(4) other financial resources are not available to alleviate the urgent need.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(b)(3); 24 C.F.R. 570.483
Eff. July 1, 1982
Amended Eff. August 1, 1998; March 1, 1995; June 1, 1993; March 1, 1986; March 1, 1984
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0803 Application Contents {#sec-04-ncac-19l-.0803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0803}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5304(b)(3); 42 U.S.C.A. 5306; 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. March 1, 1984
Repealed Eff. October 1, 1984.

04 NCAC 19L .0804 Funding Cycle {#sec-04-ncac-19l-.0804 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0804}

History

Status: repealed
Authority G.S. 143-323; 42 U.S.C.A. 5304(b)(3); 42 U.S.C.A. 5306; 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. March 1, 1984
Repealed Eff. October 1, 1984.

04 NCAC 19L .0805 Selection Criteria {#sec-04-ncac-19l-.0805 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0805}

Selection of Urgent Needs grant recipients will be based upon availability of funds and eligibility requirements as presented in Rule .0802 of this Subchapter.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(a)(1); 24 C.F.R. 570.483
Eff. July 1, 1982
Amended Eff. June 1, 1993; March 1, 1986; October 1, 1984; April 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0901 Grant Agreement {#sec-04-ncac-19l-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0901}

(a) Upon approval of the application by the Division, a written grant agreement shall be executed between the recipient and the Division. These Rules, the approved application, and any subsequent amendments to the approved application shall become a part of the grant agreement.

(b) The grant agreement in its original form and all modifications thereto shall be kept on file in the office of the recipient in accordance with Rule .0911 of this Section.

(c) The Division may condition the grant agreement until the recipient demonstrates compliance with all applicable laws and regulations. In the case of Housing Development and Revitalization Strategies projects the grant agreement may be conditioned until legally binding commitments have been obtained from all participating entities.

(d) Neither CDBG nor non-CDBG funds involved in a project may be obligated, nor may any conditioned project activities begin until the Division releases in writing any and all applicable conditions on the project. Recipients may incur costs prior to release of conditions with prior Division approval in accordance with Rule .0908 of this Section.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.483
Eff. July 1, 1982
Amended Eff. August 1, 1998; June 1, 1994; June 1, 1983; September 1, 1990; May 1, 1998
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0902 Method of Administration {#sec-04-ncac-19l-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0902}

(a) Recipients may delegate to statutorily authorized subrecipients the responsibility of undertaking or carrying out any specified community development activities. All entities so designated under this Paragraph by recipients to undertake or carry out community development activities pursuant to this Subchapter shall be considered subrecipients.

(b) Recipients may contract with any person, association, or corporation in undertaking specified community development activities. All contracts, shall be made in conformance with the procurement standards set forth in Rule .0908 of this Section. Rule .0908 does not apply to recipients in the selection of subrecipients.

(c) Subrecipients undertaking or carrying out community development activities shall do so in conformance with Rule .0903, METHOD OF PAYMENT; Rule .0906, FINANCIAL MANAGEMENT SYSTEMS; Rule .0907, PROGRAM INCOME; Rule .0908, PROCUREMENT STANDARDS; Rule .0909, PROPERTY MANAGEMENT STANDARDS; and Rule .0911, RECORDKEEPING.

History

Authority G.S. 143B-10; 143B-431; 153A-376(b); 160A-456(b); 24 C.F.R. 570.488; 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. March 1, 1995; June 1, 1993; March 1, 1986; April 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0903 Method of Payment {#sec-04-ncac-19l-.0903 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0903}

(a) Advance payments will be made by the Department to recipients when the following conditions are met:

(1) The recipient has demonstrated to the Secretary, initially through certification in a form prescribed by the Department and subsequently through performance, that procedures have been established to insure a maximum of three banking days time elapsing between the receipt of funds to it and its disbursement of such funds.

(2) The recipient's financial management system meets the standards for fund control and accountability prescribed in Rule .0906 FINANCIAL MANAGEMENT SYSTEMS of this Subchapter.

(3) No payment to the recipient from the Department shall be for an amount less than one hundred dollars ($100.00).

(4) All requests for advance payments are required to meet immediate disbursing needs.

(b) Recipients who do not meet or adhere to the conditions in Paragraph (a) of this Rule will not receive advance payments. Those recipients will receive grant payments on a reimbursement basis.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.489; 42 U.S.C.A. 5304(g)
Eff. July 1, 1982
Amended Eff. March 1, 1995; June 1, 1993; September 1, 1990; April 1, 1989
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0904 Escrow Accounts {#sec-04-ncac-19l-.0904 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0904}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 159-7 through 159-38; 24 C.F.R. 570.494
24 C.F.R. 570.496; 42 U.S.C.A. 5304(b),(d),(e)
Eff. July 1, 1982
Amended Eff. May 1, 1992; March 1, 1984; April 1, 1983
Repealed Eff. March 1, 1995.

04 NCAC 19L .0905 Lump Sum Drawdown for Property Rehabilitation {#sec-04-ncac-19l-.0905 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0905}

History

Status: repealed
Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5304(g); 24 C.F.R. 570.489
24 C.F.R. 570.494
Eff. July 1, 1982
Amended Eff. September 1, 1990; May 1, 1988; March 1, 1984; April 1, 1983
Repealed Eff. June 1, 1993.

04 NCAC 19L .0906 Financial Management Systems {#sec-04-ncac-19l-.0906 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0906}

Recipient financial management systems shall provide for accurate, current and complete disclosure of the financial results of each grant program in accordance with fiscal control and reporting requirements set forth in G.S. 159, Article III, the Local Government Budget and Fiscal Control Act. Recipients shall meet the following requirements:

(1) All grant funds shall be expended in accordance with a budget ordinance or project ordinance adopted under G.S. 159-8 and G.S. 159-13.2 respectively;

(2) A recipient may deposit or invest all or part of the cash balance of any grant fund; however, all interest earned shall be returned to the Department in accordance with Rule .0907(c) of this Section;

(3) Investment deposits shall be secured as provided in G.S. 159-31(b);

(4) The recipient shall designate as its official depositories one or more banks or trust companies in the State in accordance with G.S. 159-31(a);

(5) All budgetary accounting for appropriations of grant funds shall be in accordance with the procedures for incurring obligations and disbursements as set forth in G.S. 159-28;

(6) Each recipient shall establish an accounting system in accordance with G.S. 159-26;

(7) The recipient's finance officer, and each officer, employee, or agent who handles or has in his custody more than one hundred dollars ($100.00) of grant funds at any time, or who handles or has access to the recipient's inventories, shall be bonded in accordance with G.S. 159-29;

(8) Each recipient shall maintain records that identify adequately the source and application of funds for grant-supported activities. These records shall contain information pertaining to federal awards and authorizations, obligations, unobligated balances, assets, liabilities, outlays, and income;

(9) A system for procedures for procurement and property management shall be provided in accordance with Rule .0908 and Rule .0909 of this Section;

(10) All cash receipts must be deposited with, or to the credit of, the finance officer. This includes program revenues, reimbursements of travel, vendor payments or other items previously recorded as expenditures, and all other grant monies from the Department;

(11) Recipients must develop a systematic method to assure timely and appropriate resolution of audit findings and recommendations;

(12) Recipients shall require subgrantees to adopt the standards set forth in this Rule;

(13) Recipients shall comply with the Office of Management and Budget Circular A-87, entitled Cost Principles for State and Local government, which is incorporated in these Rules by reference including subsequent amendments and editions. A copy of this circular is available from the Division of Community Assistance, Raleigh, North Carolina. In applying OMB A-87 the term "federal agency" shall mean the Department;

(14) Recipients shall record the receipt and expenditure of project revenues from taxes, special assessments, evies, fines, etc., in accordance with generally accepted accounting principles;

(15) Subrecipients shall comply with the Office of Management and Budget Circular A-110, entitled Uniform Administrative Requirements for Grants and other Agreements with Institutions of Higher Education, Hospitals, and other Nonprofit Organizations which is incorporated in these Rules by reference including subsequent amendments and editions. A copy of this circular is available from the Division of Community Assistance, Raleigh, North Carolina.

History

Authority G.S. 14-234; 143B-10; 143B-431; 24 C.F.R. 570.489; 24 C.F.R. 570.496; 42 U.S.C.A. 5304(b),(d),(e)
Eff. July 1, 1982
Amended Eff. August 1, 1998; June 1, 1994; June 1, 1993; September 1, 1991; September 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0907 Program Income {#sec-04-ncac-19l-.0907 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0907}

(a) Definition. Program Income is defined as gross income earned by the recipient from grant supported activities. Such earnings may include, but not be limited to, sale of property, interest received from a loan program, and the return of sales taxes on purchases made during the program. Receipts derived from the operation of a public work or facility, the construction of which was assisted by this program, do not constitute program income. Income generated under the Development Loan Fund program, including loan repayments, fees, lease payments does not constitute program income.

(b) Unless the grant agreement provides otherwise, recipients shall have no obligation to the Department with respect to royalties received as a result of copyrights or patents produced under the grant or other agreement. Recipients must however, follow the procedures set forth in Rule .0909 PROPERTY MANAGEMENT STANDARDS.

(c) All interest earned on grant funds prior to distribution shall be returned to the Department, except recipients may keep one hundred dollars ($100.00) per year for administrative expenses in accordance with 24 CFR 570.489(c)(2).

(d) Recipients shall record the receipt and expenditure of revenues (such as taxes, special assessments, levies, fines, etc.) as a part of grant project transactions when such revenues are specifically earmarked for a grant project in accordance with the grant agreement.

(e) Unless otherwise required, program income generated by a pre-1986 grant may be retained by the recipient. Program income is identified by the grant year in which the activities which generated the program income were funded. Pre-1986 program income shall be added to funds committed to a current project and used for activities approved in the project's application. Pre-1986 program income shall be expended prior to requesting additional funds from the Department or shall be used in future CDBG projects.

(f) Program Income generated by grants made in 1986 or afterwards shall be returned to the Department except when:

(1) the recipient shall propose at the time of application or at the time the program income is anticipated, a use or uses for the projected program income, and

(2) the Department determines that, at the time of the proposal, the use of the projected program income meets federal requirements prohibiting the state from recapturing the program income; or

(3) the recipient, designated at the time of the preliminary grant award as a "severely distressed county" pursuant to G.S. 105-130.40(c), or a city in such a county, wishes to retain the program income to establish a local economic development revolving loan fund. Any activities that are eligible under Title I of the federal Housing and Community Development Act of 1974, as amended, and that meet at least one of the three national objectives of the Housing and Community Development Act may be undertaken. If the designation, pursuant to G.S. 105-130.40(c), as a "severely distressed county" is removed from a county, projects having received at least a preliminary grant award prior to the removal of the designation may continue to retain program income resulting from that grant as provided in this subsection. Provisions of 4 NCAC 19L .0913 apply at the time of closeout; or

(4) the program income is generated from an Entrepreneurial Empowerment project, and the Department has approved the plan for re-use of program income.

(g) Income after closeout and not subject to Rule .0907(e) and (f) of this Subchapter.

(1) Except as may be otherwise provided under the terms of the grant agreement or any closeout agreement, program income of twenty-five thousand dollars ($25,000) or more received annually subsequent to the CDBG Program closeout shall be used for any eligible activity pursuant to Rule .0301 of this Subchapter. Recipients must receive Division approval in writing prior to obligation of program income under this Paragraph to determine if the proposed use is plainly appropriate to meeting the recipient's needs and objectives. When income received is less than twenty-five thousand dollars ($25,000) annually, the recipient may spend the funds at the end of the 12 month period according to its own needs; and

(2) Accurate records shall be kept on all program income and reported annually to the Division when the annual amount exceeds twenty-five thousand dollars ($25,000) and to determine when the twenty-five thousand dollars ($25,000) threshold is exceeded subsequent to grant closeout.

(h) Program income generated under the Development Loan Fund program, including loan repayments, fees, lease payments shall meet all the requirements outlined in 24 CFR 570.489(e) and the contract between the unit of local government and the Department of Housing and Urban Development.

History

Authority G.S. 143B-431; 153A-376; 160A-456; 24 C.F.R. 570.489(e)
Eff. July 1, 1982
Temporary Amendment Eff. August 19, 1988 for a period of 180 days to expire on February 15, 1989
Amended Eff. August 1, 1998; March 1, 1995; June 1, 1993; September 1, 1991; September 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0908 Procurement Standards {#sec-04-ncac-19l-.0908 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0908}

(a) Local governments shall follow the procurement standards established in the Administrative Requirements for Grants and Cooperative Agreements to State, Local and Federally Recognized Indian Tribal Governments (24 C.F.R., Part 85) and HUD implementing regulations contained in 24 CFR 570.489(g), which explicitly prohibit cost plus a percentage of cost and percentage of construction cost methods of contracting. This Subchapter incorporates by reference the federal law and regulations described in 24 CFR, Part 85, 24 CFR 570.489(g), and 24 CFR 570.489(h), including subsequent amendments and editions. Copies of these sections of federal law and regulation are available for public inspection from the Division of Community Assistance. Single copies are available from this Division in Raleigh, North Carolina, for one dollar ($1.00) each.

(b) Recipients may incur costs with written approval of the Division for the procurement of supplies, equipment, construction and services before the Grant Agreement between the recipient and the Division has been executed. In the case of program amendments, recipients may not incur costs for the procurement of supplies, equipment, construction and services that are the subject of the program amendment until the program amendment has been approved in writing by the Division. Recipients that incur costs prior to execution of the grant agreement must ensure that the activities are eligible and meet requirements of 24 CFR Part 58, Environmental Review.

(c) Recipients must also comply with the North Carolina General Statutes applicable to the procurement of supplies, equipment, construction and services. Relevant state laws include:

(1) Conflict of Interest, G.S. 14-234 (cities and counties);

(2) Public Building Contracts, G.S. 143-128 through 135 (cities and counties); and

(3) Model payment and performance bond, G.S. 44A-25 through 33 (cities and Counties).

(d) Additional rules governing property acquisition are found in this Subchapter under Rule .1003 ACQUISITION AND RELOCATION; Rule .0907 PROPERTY MANAGEMENT STANDARDS; Rule .1001 EQUAL OPPORTUNITY; and Rule .1006 LABOR STANDARDS.

(e) The requirements of the Office of Management and Budget Circular No. A-87, Cost Principles for State and Local Governments, shall apply to the procurement of materials and services funded in whole or in part with CDBG funds.

History

Authority G.S. 14-234; 143-128 through 143-135; 143B-431; 153A-158; 153A-163 through 153A-165; 159-15; 42 U.S.C.A. 5304(b)(4); 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. June 1, 1993; September 1, 1990; April 1, 1989; March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0909 Property Management Standards {#sec-04-ncac-19l-.0909 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0909}

This Rule prescribes uniform standards governing the use and disposition of property acquired in whole or in part with Community Development Block Grant funds.

(1) Definitions.

(a) "Real property" means land, including land improvements, structures and appurtenances thereto, excluding movable machinery and equipment.

(b) "Personal property" means any kind of property except real property. It may be tangible - having physical existence, or intangible - having no physical existence, such as patents, inventions, and copyrights.

(c) "Nonexpendable personal property" means tangible personal property having a useful life of more than one year and an acquisition cost of one thousand dollars ($1,000.00) or more per unit.

(d) "Expendable personal property" refers to all tangible personal property other than nonexpendable property.

(e) "Acquisition cost of purchased nonexpendable personal property" means the net invoice unit price of the property including the cost of modifications, attachments, accessories, or auxiliary apparatus necessary to make the property useable for the purpose for which it was acquired. Other charges such as the cost of installation, transportation, taxes, duty, or protective in-transit insurance, shall be included or excluded from the unit acquisition cost in accordance with the regular accounting practices.

(2) Real Property.

(a) Title to real property shall vest in the recipient subject to the condition that the recipient shall use the real property for the authorized purpose of the original grant as long as needed.

(b) The recipient shall obtain prior approval by the Division for the use of the real property in other projects when the recipient determines that the property is no longer needed for the original grant purposes. Use in other projects will be limited to those under other federal and state grant programs, or programs that have purposes consistent with those authorized for support by the Department.

(c) When the real property is no longer needed as provided in (a) and (b) of this Paragraph, the recipient shall request disposition instructions from the Division, according to the following rules:

(i) The recipient may be permitted to retain title after it compensates the program budget in an amount computed by applying the CDBG percentage of participation in the cost of the original project to the current fair market value of the property.

(ii) The recipient may be directed to sell the property under guidelines provided by the Division.

(3) Nonexpendable Personal Property. Title to nonexpendable personal property whose acquisition cost is borne in whole or part by Community Development Block Grant funds shall be vested in the recipient subject to the following restrictions:

(a) Use. The recipient shall use the property as long as there is a need for such property to accomplish the objectives of the Housing and Community Development Act of 1974, as amended, whether or not the recipient is supported by funds appropriated under this Act.

(b) Disposition. When the recipient no longer needs the property as provided in this Rule, the property may be used in accordance with the following standards:

(i) Nonexpendable personal property with a unit acquisition cost of less than one thousand dollars ($1,000) may be retained by the recipient for other programs or sold by the recipients without reimbursement to the program budget.

(ii) Nonexpendable personal property with a unit acquisition cost of one thousand dollars ($1,000) or more may be retained by the recipient for other uses provided that compensation is made as program income in accordance with Rule .0907. The amount of compensation shall be computed by applying the percentage of CDBG participation in the cost of the original project or program to the current fair market value of the property. If the recipient has no need for the property then it shall dispose of the property in accordance with State law and proceeds shall be considered as program income.

(i) a description of the property;

(ii) manufacturer's serial number, model number, federal stock number, national stock number, or other identification number;

(iii) source of the property including grant or other agreement number;

(iv) acquisition date;

(v) percentage of CDBG participation in the cost of the project for which the property was acquired;

(vi) location, use, and condition of the property and the date the information was reported;

(vii) unit acquisition cost; and

(viii) ultimate disposition data, including date of disposal and sales price or the method used to determine current fair market value where a recipient compensates the Department for its share.

(d) A physical inventory of property shall be taken annually to verify the existence, current utilization and continued need for the property. The results shall be reconciled with the property records at least once every two years. Any differences between the quantities determined by the physical inspections and those shown in the accounting records shall be investigated to determine the causes of the differences.

(e) Adequate maintenance procedures shall be implemented to keep the property in good condition.

(f) A control system shall be in effect to insure adequate safeguards to prevent loss, damage, or theft of the property. Any loss, damage, or theft of nonexpendable property shall be investigated and fully documented.

(g) Where the recipient is authorized or required to sell the property, proper sales procedures shall be established which would provide for competition to the extent practicable and result in the highest possible return.

(4) Expendable Personal Property. Title to expendable personal property shall vest in the recipient upon acquisition. If there is a residual inventory of such property exceeding one thousand dollars ($1,000) in total aggregate fair market value, upon termination or completion of the grant and if the property is not needed for any other federally sponsored project or program, the recipient shall retain the property for use on nonfederally sponsored activities, or sell it, but must in either case, compensate the program for its share. The amount of compensation will be computed in the same manner as nonexpendable personal property.

(5) Intangible Property.

(a) Inventions and patents. If any program produces patentable items, patent rights, processes, or inventions, in the course of work sponsored by the Department, such fact shall be promptly and fully reported to the Department. Unless there is a prior agreement between the recipient and the Department on disposition of such items, the Department shall determine whether protection on the invention or discovery shall be sought. The Department will also determine how the rights in the invention or discovery, including rights under any patent issued thereon, shall be allocated and administrated in order to protect the public interest consistent with "Government Patent Policy" (President's memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889); and

(b) Copyrights. Except as otherwise provided in the terms and conditions of the agreement, the author or the recipient is free to copyright any books, publications, or other copyrightable materials developed in the course of or under a Departmental agreement, but the Department shall reserve a royalty-free nonexclusive and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use, the work for government purposes.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(b)(4),(d)(2),(e); 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. June 1, 1993; September 1, 1990; May 1, 1988; April 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0910 Program Amendments {#sec-04-ncac-19l-.0910 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0910}

(a) Community development program amendments. Recipients shall request prior Division approval for all program amendments when:

(1) The recipient proposes to change the approved project budget amount for any activity by more than 10 percent of the total project amount;

(2) The recipient proposes to add or delete any activity or activities, change project locations, or change the scope of the program or class of beneficiaries of previously approved activities; and

(3) The cumulative effect of a number of smaller changes involving the approved activities exceeds 10 percent of the total project amount. In such instances, the recipient shall include in its request for an amendment documentation describing the smaller changes previously made, as well as those being proposed. After the amendment is approved by the Division, the accrual of smaller changes begins again.

(b) Citizen Participation. Recipients proposing amendments and other changes to the approved application which require prior Division approval pursuant to Paragraph (a) of this Rule shall hold one public hearing in accordance with Paragraph (f) of Rule .1002, CITIZEN PARTICIPATION.

(c) Citizen objections to the amendment. Persons wishing to object to the approval of an amendment by the Division shall make such objection in writing to the Division in accordance with Paragraph (f) of Rule .1002 CITIZEN PARTICIPATION.

(d) Budget ordinance amendment. Any amendment to the grant program that involves a financial transaction shall comply with the provisions set forth in G.S. 159-15, Amendments to the Budget Ordinance.

(e) All requests for program amendments that require prior Division approval shall be submitted to the Division and include the following:

(1) copy of the current budget and proposed changes;

(2) detailed narrative description of the proposed changes and their effect upon the approved project;

(3) maps showing any change in location;

(4) signature of approval by the recipient's chief elected official on a form prescribed by the Division; and

(5) other information appropriate for evaluating the proposed amendment.

(f) All requests for program amendments that require prior Division approval may be submitted by the Division to the appropriate agency or agencies for clearinghouse review. Procedures for this review shall be in accordance with Rule .1012 of this Subchapter.

(g) All records of program amendments shall be kept on file in accordance with Rule .0911 of this Section.

(h) Division Review of Amendments. In approving or denying proposed amendments pursuant to Paragraph (a) of this Rule .0910, the Division may consider the following factors:

(1) amendments which include new or significantly altered activities may be rated in accordance with the selection criteria applicable at the time the original application was rated;

(2) whether the proposed amendment activities can be completed within the scheduled duration of the project;

(3) feasibility of the proposed amendment; and

(4) appropriateness of the proposed amendment.

History

Authority G.S. 143B-10; 143B-431; 159-15; 159-34; 42 U.S.C.A. 5304(a)(2),(d)(2); 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. June 1, 1993; September 1, 1990; April 1, 1989; March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0911 Recordkeeping {#sec-04-ncac-19l-.0911 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0911}

(a) The Secretary of the Department of Commerce, the Secretary of the Department of Housing and Urban Development, or any of their duly authorized representatives shall have access to all books, accounts, records, reports, files, and other papers or property of recipients or their subgrantees and contractors pertaining to funds provided under this Subchapter for the purpose of making surveys, audits, examinations, excerpts and transcripts.

(b) All Community Development Program records that are public under G.S. 132 shall be made accessible to interested individuals and groups during normal working hours, and shall be maintained at all times at the recipient's local government office.

(c) Financial records, supporting documents and all other reports and records required under this Subchapter, and all other records pertinent to the Community Development Program shall be retained by the recipient for a period of five years from the date of the closeout of the program, except as follows:

(1) Records that are the subject of audit findings shall be retained for five years or until such audit findings have been resolved, whichever is later;

(2) Records for nonexpendable property which was acquired with Federal grant funds shall be retained for five years after its final disposition;

(3) Records for any displaced person shall be retained for five years after he/she has received final payment;

(4) Records pertaining to each real property acquisition shall be retained for five years after settlement of the acquisition, or until disposition of the applicable relocation records in accordance with Subparagraph (3) of this Section, whichever is later; and

(5) If a litigation, claim or audit is started before the expiration of the five-year period, the records shall be retained until all litigations, claims, or audit findings involving the records have been resolved.

(d) All records shall be sufficient to determine compliance with the requirements and primary objectives of the Community Development Block Grant Program and all other applicable laws and regulations. All accounting records shall be supported by source documentation and shall be in compliance with Rule .0906 of this Section.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(d)(2),(e); 24 C.F.R. 570.490
Eff. July 1, 1982
Amended Eff. August 1, 1998; June 1, 1993; September 1, 1990; May 1, 1988; April 1, 1983
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0912 Audit {#sec-04-ncac-19l-.0912 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0912}

(a) The recipient's financial management systems shall provide for audits to be made by the recipient or at the recipient's direction, in accordance with the following:

(1) The recipient shall provide for an audit of its CDBG program on an annual basis for any fiscal year in which twenty-five thousand ($25,000) or more in CDBG funds are received in accordance with the annual independent audit procedures set forth in G.S. 159-34;

(2) The CDBG program audit shall be performed in conjunction with the regular annual independent audit of the recipient and shall contain an examination of all financial aspects of the CDBG program as well as a review of the procedures and documentation supporting the recipient's compliance with applicable statutes and regulations;

(3) CDBG program funds may only be used to pay for the CDBG portion of the audit costs if more than three hundred thousand dollars ($300,000) in all Federal Programs are used;

(4) The recipient shall submit the Annual Audit Report to the Division, including the information identified in Paragraph (b) of this Rule, along with an Annual Performance Report as required by Rule .1101 of this Subchapter; and

(5) The Division may require separate closeout audits to be prepared by the recipient in accordance with Paragraph .0913(e) of this Section.

(b) Audits shall comply with the requirements set forth in this Paragraph:

(1) Audits shall include, at a minimum, an examination of the systems of internal control, systems established to insure compliance with laws and regulations affecting the expenditure of grant funds, financial transactions and accounts, and financial statements and reports of recipient organizations;

(2) Financial statements shall include footnotes, comments which identify the statements examined, the period covered, identification of the various programs under which the recipient received CDBG funds, and the amount of the awards received;

(3) Audits shall be made in accordance with the GENERAL ACCOUNTING OFFICE STANDARDS FOR AUDIT OF GOVERNMENTAL ORGANIZATIONS, PROGRAMS, ACTIVITIES AND FUNCTIONS, THE GUIDELINES FOR FINANCIAL AND COMPLIANCE AUDITS OF FEDERALLY ASSISTED PROGRAMS, any compliance supplements approved by the Federal Office of Management and Budget (OMB), and generally accepted auditing standards established by the American Institute of Certified Public Accountants;

(4) The audit shall include the auditor's opinion as to whether the financial statements are fairly presented in accordance with generally accepted accounting principles. If an unqualified opinion cannot be expressed, the auditor shall state the nature of the qualification;

(5) The auditors' comments on compliance and internal control shall:

(A) Include comments on weaknesses in and noncompliance with the systems of internal control, separately identifying material weaknesses;

(B) Identify the nature and impact of any noted instances of noncompliance with the terms of agreements and those provisions of State or Federal laws and regulations that could have a material effect on the financial statements and reports;

(C) Contain an expression of positive assurance with respect to compliance with requirements for tested items and negative assurance for untested items;

(D) Comment on the accuracy and completeness of financial reports and claims for advances or reimbursement to Federal agencies;

(E) Comment on corrective action taken or planned by the recipient;

(6) Work papers and reports shall be retained for a minimum of five years from the date of the audit report unless the auditor is notified in writing by the Division of the need to extend the retention period based on changes in Federal regulations. The audit work papers shall be made available upon request to the Division and the General Accounting Office or its designees;

(7) If during the course of the audit, the auditor becomes aware of irregularities in the recipient organization the auditor shall promptly notify the Division and recipient management officials about the level of involvement. Irregularities include such matters as conflicts of interest, falsification of records or reports, and misappropriation of funds or other assets;

(8) Selection of an independent auditor shall be in accordance with Rule .0908 of this Section.

(c) A "single audit," in which the regular independent auditor will perform an audit of all compliance aspects for all federal grants along with the regular financial audit of the recipient, is permissible. Where feasible, the recipient shall use the same auditor so that the audit will include the financial and compliance work under a single plan in the most economical manner.

(d) Small audit firms and audit firms owned and controlled by socially and economically disadvantaged individuals shall have the maximum practicable opportunity to participate in the performance of contracts awarded with CDBG funds. Recipients shall take the following affirmative action to further this goal:

(1) Assure that small audit firms and audit firms owned and controlled by socially and economically disadvantaged individuals as defined in P.L. 95-507 are used to the fullest extent practicable;

(2) Make information on forthcoming opportunities available, and arrange time frames for the audit so as to encourage and facilitate participation by small or disadvantaged firms;

(3) Consider in the contract process whether firms competing for larger audits intend to subcontract with small or disadvantaged firms;

(4) Encourage contracting with small or disadvantaged audit firms which have traditionally audited government programs, and in such cases where this is not possible, assure that these firms are given consideration for audit subcontracting opportunities;

(5) Encourage contracting with consortiums of small or disadvantaged audit firms when a contract is too large for an individual small or disadvantaged audit firm; and

(6) Use the services and assistance, as appropriate, of the Small Business Administration, and the Minority Business Development Agency of the U.S. Department of Commerce in the solicitation and utilization of small or disadvantaged audit firms.

(e) All records, data, audit reports and files shall be maintained in accordance with Rule .0909 of this Section, unless otherwise stated in this Rule.

(f) The provisions of this Rule do not limit the authority of the Department to make audits of recipients' organizations.

History

Authority G.S. 143B-10; 143B-431; 159-34; 42 U.S.C.A. 5304(d)(2),(e); 24 C.F.R. 44.6; 24 C.F.R. 85.36(e); 24 C.F.R. 570.492
Eff. April 1, 19983
Amended Eff. June 1, 1994; June 1, 1993; September 1, 1990; May 1, 1988
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0913 Grant Closeouts {#sec-04-ncac-19l-.0913 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0913}

(a) Initiation of closeout. The Division will advise the recipient to initiate closeout procedures when the Division determines, in consultation with the recipient, that there are no impediments to closeout and that the following criteria have been met or will be met shortly:

(1) All costs to be paid with grant funds have been incurred with the exception of closeout costs such as payment for the final audit and any unsettled third-party claims against the recipient. Costs are incurred when goods and services are received or contract work is performed. With respect to activities (such as rehabilitation of privately owned properties) which are carried out by means of revolving loan accounts, loan guarantee accounts, or similar mechanisms, costs shall be considered as incurred at the time funds for such activities are drawn from the Department and initially used for the purposes described in the approved Community Development Program. The phrase "initially used for the purposes described in the approved Community Development Program" means the payment of such funds for work actually performed and is not intended to mean the initial deposit(s) of funds into the revolving loan account, loan guarantee account, or similar mechanism (such as loan or grant escrow account);

(2) The recipient shall submit to the Division within 90 days after the date of completion of the grant all financial, performance, and other reports required as a condition of the grant;

(3) With respect to any grant for which an Annual Performance Report is required pursuant to Rule .1101, for purposes of the closeout, and has not been submitted or updated, the failure of a recipient to submit or update as required will not preclude the Division from effecting a grant closeout when such action is determined to be in the best interest of the Division. The failure or refusal by a recipient to comply with such requirement shall be taken into account in the performance determination by the Division in reviewing any future grant applications from the recipient. Any excess grant amount which is otherwise authorized to be retained by the recipient shall be refunded to the Division in the event of a recipient's failure to furnish the Annual Performance Report or update it as required under this Rule;

(4) Other responsibilities of the recipient under the grant agreement and closeout agreement, applicable laws and regulations appear to have been carried out satisfactorily, or the Division has no further interest in keeping the grant agreement open for the purpose of securing performance. A final review of the recipient's compliance with the grant agreement and any closeout agreement, applicable laws and regulations will be made during the final audit or Division review in lieu of the final audit pursuant to Paragraph (e) of this Rule.

(b) Program Income. The recipient shall account for any program income in accordance with Rule .0907 of this Section.

(c) Disposition of nonexpendable personal property. The recipient shall account for any nonexpendable personal property acquired with grant funds in accordance with Rule .0909 of this Section entitled PROPERTY MANAGEMENT STANDARDS and Rule .0907 of this Section entitled PROGRAM INCOME.

(d) Disposition of real property. Disposition of real property shall be in accordance with the requirements of Rules .0909 and .0907 of this Section.

(e) Audit. Upon notification from the Division to initiate closeout procedures, the recipient shall arrange for a final audit to be made of its grant accounts and records in accordance with Rule .0912 of this Section, and any other audit requirements of the Department hereafter in effect. The Division may determine that, due to the nature of the recipient's program or the relatively small amount of funds which have not been audited, a final audit is not required. In such instances, the Division will notify the recipient that the Department will perform necessary review of documentation and activities to determine that claimed costs are valid program expenses and that the recipient has met its other responsibilities under the grant agreement.

(f) Certificate of completion and final cost. Upon resolution of any findings in the final audit or, if the final audit is waived, after the Division has performed the review of documentation described in Paragraph (e) of this Rule, the recipient shall prepare a certificate of completion and final cost, on a form prescribed by the Division, and submit it to the Division.

(g) Refund of excess grant funds. Recipients shall refund to the Department any cash advance in excess of the final grant amount, as shown on the certificate of completion approved by the Division. However, recipients may request Division approval to use any excess grant funds to complete additional eligible activities where at least fifty-one percent of the funds benefit low- and moderate-income persons. Division approval must be obtained prior to such use of excess funds.

(h) Termination of grant for mutual convenience. Grant assistance provided under this part may be cancelled, in whole or in part, by the Division or the recipient, prior to the completion of the approved Community Development Program, when both parties agree that the continuation of the program no longer is feasible or would not produce beneficial results commensurate with the further expenditure of funds. The Division shall determine whether an environmental review of the cancellation is required, and if a review is required it shall be performed by the recipient. The two parties shall agree upon the termination conditions, including the effective date and, in the case of partial terminations, the portion to be terminated. The recipient shall not incur new obligations for the terminated portion after the effective date, and shall cancel as many outstanding obligations as possible. The Department shall allow full credit to the recipient for the noncancelable obligations properly incurred by the recipient in carrying out the program prior to termination. The closeout policies and procedures contained in this Rule shall apply in all such cases except where the total grant is cancelled in its entirety, in which event only the provisions of Paragraph (f) and (g) of this Rule shall apply.

(i) Termination for cause. In cases in which the Secretary terminates the recipient's entire grant, or the remaining balance thereof, in accordance with Rule .1103 of this Subchapter, provisions of Paragraphs (f) and (g) of this Rule shall apply.

(j) The recipient shall hold a public hearing prior to closeout of the CDBG program to assess the performance of the recipient in accordance with Rule .1002 of this Subchapter.

(k) All records of the closeout process shall be maintained in accordance with Rule .0911 of this Section.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.489
Eff. April 1, 1983
Amended Eff. June 1, 1993; September 1, 1990; May 1, 1988; March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .0914 Conflict of Interest {#sec-04-ncac-19l-.0914 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .0914}

In all cases not governed under Rule .0908 of this Section regarding procurement procedures, recipients shall meet the requirements of HUD implementing regulations contained in 24 CFR 570.489(h). For the purposes of this Rule, the following definitions apply:

(1) "family ties" means spouse, parents, children, brother, sister, grandparents, grandchildren and the step, half, and in-law relationships;

(2) "business ties" means an officer, employee, agent, or any stockholder or shareholder holding at least 10 percent ownership of any firm, contract, or subcontract which benefits from funding assistance under the grant agreement.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.489
Eff. June 1, 1993
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1001 Equal Opportunity and Nondiscrimination {#sec-04-ncac-19l-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1001}

No person shall on the grounds of race, color, national origin, sex, religion, handicap or familial status be excluded from participation in, be denied the benefit of, or be subjected to discrimination under any program or activity funded in whole or in part with funds available under this Subchapter.

(1) Recipients shall meet the requirements of:

(a) The Civil Rights Act of 1964 (P.L. 88-352) and specifically Title VI which provides that no person in the United States shall on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subject to discrimination under any program or activity which receives federal funds;

(b) The Civil Rights Act of 1968 (P.L. 90-284) as amended, and specifically Title VIII which requires recipients to administer all programs and activities relating to housing and community development in a manner to affirmatively further fair housing, and take action to affirmatively further fair housing in the sale and rental of housing, the financing of housing, and the provision of brokerage services;

(c) Section 109 of the Housing and Community Development Act of 1974, as amended (P.L. 93-383) which provides that no person in the United States shall, on the grounds of race, color, national origin, or sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with funds provided under this Subchapter. Any prohibition against discrimination on the basis of age under the Age Discrimination Act of 1975, as amended (42 U.S.C. 6101 et. seq.) or with respect to any otherwise qualified handicapped individual as provided in Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), shall also apply to any such program or activity;

(d) Executive Order 11063, as amended by Executive Order 12259, Leadership and Coordination of Fair Housing in Federal Programs, requiring that programs and activities relating to housing and urban development be administered in a manner to affirmatively further the goals of Title VIII of the Civil Rights Act of 1968;

(e) Executive order 11246, as amended, which provides that no person shall be discriminated against on the basis of race, color, religion, sex, or national origin in all phases of employment during the performance of federal and federally assisted construction contracts, and that affirmative action will be taken in all aspects of personnel negotiations; and

(f) Section 3, of the Housing and Urban Development Act of 1968, (P.L. 90-448) as amended, which requires that to the greatest extent feasible, opportunities for training and employment arising in connection with the planning and carrying out of any project assisted under any federal block grant program be given to lower-income residents of the unit of local government, metropolitan area or nonmetropolitan county in which the project is located and contracts for work in connection with the project be awarded to eligible business concerns which are located in, or owned in substantial part by persons residing in, the same metropolitan area or nonmetropolitan county as of the project.

(2) Recipients shall meet the implementing requirements of:

(a) Regulations under Title VI of the Civil Rights Act of 1964, 24 C.F.R., Part 1 and 2;

(b) Equal Employment Opportunity under HUD Contracts and HUD Assisted Construction, 24 C.F.R. Part 130;

(c) Employment Opportunities for Businesses and Lower Income Persons In Connection With Assisted Projects, 24 C.F.R. 135; and

(d) HUD implementing regulations contained in 24 C.F.R. Part 107.

(3) Local government recipients shall meet the requirements of Title II of the Americans with Disabilities Act of 1990 (P.L. 101-336) and its implementing regulations (28 CFR Part 35).

(4) Recipients shall maintain records and data and document compliance efforts as required by the laws and regulations in this Rule including data on the racial, ethnic, and gender characteristics of persons who are applicants for, participants in, or beneficiaries of the program and shall comply with Rule .0911 of this Subchapter.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.489; 24 C.F.R. 570-490; 24 C.F.R. 570.496; 42 U.S.C.A. 1982; 42 U.S.C.A. 2000d et seq.; 42 U.S.C. 5309
Eff. July 1, 1982
Amended Eff. June 1, 1993; March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1002 Citizen Participation {#sec-04-ncac-19l-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1002}

(a) Each applicant and recipient shall provide citizens with an opportunity for meaningful involvement on a continuing basis and for participation in the planning, implementation and assessment of the program. Each applicant and recipient shall provide information to citizens, hold public hearings, provide for timely responses to citizens' complaints, and certify that it is following a detailed Citizen Participation Plan as in (b) through (h) of this Rule. All public hearings shall be held by the governing board of the applicant or recipient.

(b) Citizen participation in the application process.

(1) Each applicant for CDBG funds shall:

(A) Solicit and respond in a timely manner to views and proposals of citizens, particularly low- and moderate-income persons, members of minority groups, and residents of blighted areas where activities are proposed. Applicants shall respond in writing to written citizen comments. Responses shall be made within 10 calendar days of receipt of the citizen comment, when practicable.

(B) Provide technical assistance to facilitate citizen participation, where requested. The technical assistance shall be provided to groups representative of persons of low- and moderate-income that request such assistance in developing proposals. The level and type shall be determined by the applicant.

(C) Provide notices of public hearings in a timely manner to all citizens and in such a way as to make them understandable to non-English speaking persons. Hearings must be held at times and locations convenient to potential or actual beneficiaries and with accommodations for persons with disabilities. A notice of the public hearing shall be published at least once in the nonlegal section of a newspaper having general circulation in the area. The notice shall be published not less than ten days nor more than 25 days before the date fixed for the hearing. The notice of public hearing to obtain citizens' views after the application has been prepared, but prior to the submission of the application to the Division, shall contain a description of the proposed project(s) including the proposed project location, activities to be carried out, and the total costs of activities. The notice of the public hearing shall also contain the language for submitting objections contained in the Part (b)(2)(A) of this Rule.

(D) Schedule hearings to obtain citizens' views and to respond to citizen proposals at times and locations which permit broad participation, particularly by low- and moderate-income persons, members of minority groups, handicapped persons, and residents of blighted neighborhoods and project areas.

(E) Conduct one public hearing during the planning process to allow citizens the opportunity to express views and proposals prior to formulation of the application, except that applicants in the Urgent Needs category are exempt from holding this public hearing.

(F) Conduct one public hearing after the application has been prepared but prior to submission of the application to the Division.

(2) Submitting objections to the Division.

(A) Persons wishing to object to the approval of an application by the Division shall submit to the Division their objections in writing. The Division shall consider objections made only on the following grounds:

(i) The applicant's description of the needs and objectives is plainly inconsistent with available facts and data,

(ii) The activities to be undertaken are plainly inappropriate to meeting the needs and objectives identified by the applicant, and

(iii) The application does not comply with the requirements of this Subchapter or other applicable laws.

(B) All objections shall include an identification of the requirements not met. In the case of objections made on the grounds that the description of needs and objectives is plainly inconsistent with available facts and data, the objection shall include the facts and data upon which the objection is based.

(c) Citizen Participation Plan. Recipients shall develop and adopt, by resolution of their governing board, a written citizen participation plan developed in accordance with all provisions of this Rule and which:

(1) provides for and encourages citizen participation with particular emphasis on participation by persons of low- and moderate-income who are residents of slum and blight areas and of areas in which CDBG funds are proposed to be used;

(2) provides citizens with reasonable and timely access to local meetings, information, and records relating to the recipient's proposed and actual use of funds;

(3) provides for technical assistance to groups representative of persons of low- and moderate-income that request such assistance in accordance with Part (b)(1)(B) of this Rule;

(4) provides for public hearings to obtain citizen views and to respond to proposals and questions at all stages of the community development program in accordance with Paragraphs (b), (f), and (g) of this Rule;

(5) provides a procedure for developing written responses to written complaints and grievances within ten calendar days of receipt of the complaint. The procedure shall include all provisions of Paragraph (d) of this Rule; and

(6) identifies how the needs of non-English speaking residents will be met in the case of public hearings where a significant number of non-English speaking residents can be reasonably expected to participate.

(d) The recipient shall develop and adopt a written complaint procedure to respond to citizen complaints involving the CDBG program. The complaint procedure shall be applicable through the life of the grant and available to the general public. It shall specify that the recipient will respond in writing to written citizen complaints within 10 calendar days of receipt of the complaint. The procedure shall include a phone number for further information or clarification on the complaint procedure and shall identify any local procedures or appeals process that would normally be used by the recipient to address citizen complaints. The complaint procedure shall also state that if a citizen lodging a complaint is dissatisfied with the local response, then that person may direct the complaint to the North Carolina Division of Community Assistance.

(e) Citizen participation during program implementation. Citizens shall have the opportunity to comment on the implementation of a Community Development Program throughout the term of the program. Recipients shall solicit and respond to the views and proposals of citizens in the same manner as in Part (b)(1)(A) of this Rule.

(f) Citizen participation in the program amendment process.

(1) Recipient procedures.

(A) Recipients proposing amendments which require prior Division approval in accordance with Rule .0910 of this Subchapter shall to conduct one public hearing prior to submission of the amendment to the Division in the same manner as in Part (b)(1)(C) of this Rule.

(B) Each recipient shall respond to citizen objections and comments in the same manner as in Part (b)(1)(A) of this Rule.

(2) Submitting Objections to the Division.

(A) Persons wishing to object to the approval of an amendment by the Division shall make such objection in writing. The Division shall consider objections made only on the following grounds:

(i) The recipient's description of needs and objectives is plainly inconsistent with available facts and data,

(ii) The activities to be undertaken are plainly inappropriate to meeting the needs and objectives identified by the recipient, and

(iii) The amendment does not comply with the requirements of this Section or other applicable laws and regulations.

(g) Citizen participation in the program closeout process.

(1) Recipients shall conduct one public hearing to assess program performance during the grant closeout process and prior to the actual closeout of the grant in the same manner as in Part (b)(1)(C) of this Rule.

(2) Recipients shall continue to solicit and respond to citizen comment in the same manner as in Part (b)(1)(A) of this Rule until such time as the grant program is closed.

(h) Persons may submit written comments to the Division at any time concerning the applicant's or recipient's failure to comply with the requirements contained in this Subchapter.

(i) All records of public hearings, citizens' comments, responses to comments and other relevant documents and papers shall be kept in accordance with Rule .0911 of this Subchapter. All program records shall be accessible to citizens in accordance with Rule .0911(b) of this Subchapter.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(a)(2); 24 C.F.R. 570.486
Eff. July 1, 1982
Amended Eff. August 1, 1998; June 1, 1993; September 1, 1990; May 1, 1988; March 1, 1984
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1003 Acquisition and Relocation {#sec-04-ncac-19l-.1003 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1003}

(a) The purpose of this Rule is to insure that owners of real property to be acquired under the provisions of this Subchapter are treated fairly and consistently, to encourage and expedite acquisition by agreements with such owners, to minimize litigation and relieve congestion in the courts, and to promote public confidence in governmental land acquisition; and to insure that persons displaced as a result of CDBG-assisted projects are treated equitably so that such persons will not suffer disproportionate injuries as a result of projects designed for the benefit of the public as a whole. Recipients shall follow the requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646), Sections 104(d) and 106(d)(5)(A) of Title I of the Housing and Community Development Act of 1974, as amended, and HUD implementing regulations [24 CFR 570.488 and 570.496(a)]. This Subchapter incorporates by reference the federal regulations described in 24 CFR 570.488 and 24 CFR 570.496(a), including subsequent amendments and editions. Copies of these laws and regulations are available for public inspection from the Division of Community Assistance. Single copies are available from this Division in Raleigh, North Carolina, for one dollar ($1.00) each. The following definitions shall apply:

(1) "HUD" means the Department.

(2) "Federal agency" means the Department.

(3) "State agency" means the recipient of CDBG funds as defined in this Subchapter.

(b) The recipient may provide relocation payments and assistance for individuals, families, businesses, non profit organizations and farm operations displaced by an activity that is not subject to the Uniform Act. The recipient also may provide relocation payments and other assistance at levels above those established under the Uniform Act. All such relocation assistance not required by the Uniform Act must be determined by the recipient to be appropriate to its community development program. The recipient shall adopt a written policy available to the public setting forth the relocation payments and assistance it elects to provide and providing for equal payments, and assistance within each class of displacees.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5301 and 5304(b)(4); 24 C.F.R. 570.488
Eff. July 1, 1982
Amended Eff. June 1, 1993; September 1, 1990; April 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1004 Environmental Review {#sec-04-ncac-19l-.1004 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1004}

(a) Applicants and recipients shall comply with the policies of the National Environmental Policy Act of 1969 and all other applicable provisions of Federal and State law which further the purposes of such act (as specified in 24 C.F.R. Part 58). This Subchapter incorporates by reference 24 CFR Part 58, including subsequent amendments and editions. Copies of this federal regulation are available for public inspection from the Division of Community Assistance. Single copies are available from this Division in Raleigh, North Carolina, for one dollar ($1.00) each.

(b) Applicants and recipients shall assume the responsibilities for environmental review, decision-making, and other actions which would otherwise apply to the Secretary, under NEPA and other provisions of law which further the purposes of NEPA in accordance with section 104(f)(4) of Title I of the Housing and Community Development Act of 1974, as amended and the implementing regulations at 24 C.F.R. Part 58.

(1) The National Environmental Policy Act of 1969 ("NEPA", 42 U.S.C. 4321 et seq., P.L. 91-190) which establishes national policy, goals, and procedures for protecting, restoring and enhancing environmental quality;

(2) Environmental Review Procedures for Title I Community Development Block Grant Programs, (24 C.F.R. Part 58), which sets forth the procedures for carrying out the environmental responsibilities under NEPA;

(3) Executive Order 11988, Floodplain Management, May 24, 1977 (42 F.R. 26951 et seq.);

(4) Executive Order 11990, Protection of Wetlands, May 24, 1977 (42 F.R. 26961 et seq.);

(5) The Coastal Zone Management Act of 1972, (16 U.S.C. 1451 et seq.), as amended;

(6) The Safe Drinking Water Act of 1974 (42 U.S.C. 201, 300(f) et seq., and 21 U.S.C. 349), as amended, particularly concerning sole source aquifers;

(7) The Endangered Species Act of 1973 (16 U.S.C. 1531 et seq.), as amended;

(8) The Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1271 et seq.), as amended;

(9) The Clean Air Act (42 U.S.C. 7401 et seq.);

(10) The Fish and Wildlife Coordination Act of 1958 as amended, (16 U.S.C. 661 et seq);

(11) The Federal Water Pollution Control Act (P.L. 92-500);

(12) HUD environmental criteria and standards (24 C.F.R. Part 51), and the Council on Environmental Quality Standards at 40 C.F.R. Part 1500-1508;

(13) The National Historic Preservation Act of 1966 (16 U.S.C. 470 et seq.) as amended;

(14) Procedures for the Protection of Historic and Cultural Properties, 36 CFR 800;

(15) Executive Order 11593, Protection and Enhancement of the Cultural Environment. May 13, 1971 (36 F.R. 8921 et seq.);

(16) The Reservoir Salvage Act of 1960 (16 U.S.C. 469 et seq.); as amended by the Archaeological and Historic Preservation Act of 1974; and

(17) The Flood Disaster Protection Act of 1973 (42 U.S.C. 4001 et seq.), as amended.

(d) The recipient shall meet the requirements of the following State laws and rules where they are applicable to the provisions of this Subchapter:

(1) Chapter 113A of the General Statutes of North Carolina, entitled Pollution Control and Environment;

(2) G.S. 143-215.108 which designates the Environmental Management Commission as the issuing authority for air quality permits;

(3) G.S. 143-215.1 which governs water pollution permits and designates the Environmental Management Commission as the issuing authority;

(4) G.S. 121-12, Protection of Properties on the National Register, which requires consideration of project impact on any property listed in the National Register; and

(5) G.S. 70-1 through 70-3, Indian Antiquities laws, which urges private landowners to refrain from excavation and other actions leading to the destruction of Indian archaeological sites on their property. It also requires local governments to report the discovery of artifacts and refrain from further excavation or construction when excavating or constructing on public lands.

(e) The recipient shall obtain all air pollution and water pollution permits for a CDBG program pursuant to Paragraph (d) of this Rule.

(f) All records and data shall be maintained pursuant to Rule .0911 of this Subchapter.

History

Authority G.S. 143-215.1; 143-215.108; 143B-10; 143B-431; 24 C.F.R. Part 58; 24 C.F.R. 570.487; 42 U.S.C.A. 4321 through 4370; 42 U.S.C.A. 5304(b)(4)
Eff. July 1, 1982
Amended Eff. August 1, 1998; June 1, 1993; September 1, 1990; May 1, 1988; October 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1005 Historic Preservation {#sec-04-ncac-19l-.1005 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1005}

History

Status: repealed
Authority G.S. 70-1 through 70-3; 113A; 121-12; 143-323; 24 C.F.R. 570-496
42 U.S.C.A. 5304(b)(4); 42 U.S.C.A. 5321
Eff. July 1, 1982
Amended Eff. April 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19L .1006 Labor Standards {#sec-04-ncac-19l-.1006 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1006}

(a) The following labor standards provisions outline the responsibilities of the recipient concerning the payment of wages, contract work hours, safety, health standards, and equal opportunity for programs governed under this Subchapter. Recipients must comply with the following federal laws and regulations:

(1) Davis-Bacon Act (40 U.S.C.A. 276a). This act requires that prevailing local wage levels be paid to laborers and mechanics employed on construction work assisted with CDBG funds.

(2) Contract Work Hours and Safety Standards Act (40 U.S.C.A. 327 through 333). Under this act, laborers and mechanics employed by contractors and subcontractors on construction work assisted with CDBG funds must receive overtime compensation at a rate not less than one and one-half the basic rate of pay for all hours worked in excess of forty hours in any workweek.

Violators shall be liable for the unpaid wages and in addition for liquidated damages computed in respect to each laborer or mechanic employed in violation of the act.

(3) Fair Labor Standards Act (29 U.S.C. 201 et seq.), requiring that covered employees be paid at least the minimum prescribed wage, and also that they be paid one and one-half times their basic wage rate for all hours worked in excess of the prescribed work-week.

(4) Federal anti-kickback laws (18 U.S.C. 874 and 40 U.S.C. 276a), which outlaws and prescribes criminal penalties for "kickbacks" of wages in federally financed or assisted construction activities. Weekly statements of compliance and weekly payrolls must be provided by all contractors and subcontractors.

(b) The U.S. Secretary of Labor shall have the authority and functions set forth in Reorganization Plan Number 14 of 1950 (15 F.R. 3176; 64 Stat. 1267 and Section 2 of the Act of June 13, 1934, (48 Stat. 948, Ch. 482)(40 U.S.C. 276c).

(d) Subparagraph (a)(1) and (4) of this Rule shall apply to the rehabilitation of residential property only if such property is designed for residential use of eight or more families or if eight or more single family dwellings in the project area are owned in common and are located on contiguous lots or parcels.

(e) Recipients shall maintain records regarding compliance with the laws and regulations cited in this Rule in accordance with Rule .0911 of this Subchapter.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.487; 40 U.S.C. 276(a) and 276(c); 40 U.S.C.A. 328; 42 U.S.C.A. 5310
Eff. July 1, 1982
Amended Eff. May 1, 1988; April 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1007 Architectural Barriers {#sec-04-ncac-19l-.1007 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1007}

All buildings or facilities (other than privately owned residential structures) designed, constructed or altered with CDBG funds shall be made accessible and useable to the physically handicapped.

(1) Recipients must comply with the following:

(a) Architectural Barriers Act of 1968 (P.L. 90-480). This act requires recipients to insure that buildings constructed or altered with CDBG funds (except private residential structures) are readily accessible to the physically handicapped.

(b) Minimum Guidelines and Requirements for Accessible Design 36 C.F.R. Part 1190. These regulations establish guidelines for implementing the federal acts described in Subparagraph (a) of this Paragraph. The regulations provide technical standards which must be met by recipients.

(c) Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities or the Uniform Federal Accessibility Standards.

(2) Recipients must comply with provisions of the North Carolina Building Code, Volume I, Chapter 11-X. These provisions describe minimum standards recipients must meet in constructing or altering building and facilities, to make them assessable to and useable by the physically handicapped.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.487; 29 U.S.C.A. 792; 36 C.F.R. Part 1190; 42 U.S.C.A. 4151 through 4157; 42 U.S.C.A. 5304 (b)(4); 28 C.F.R. 35.15
Eff. July 1, 1982
Amended Eff. June 1, 1993
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1008 Hatch Act {#sec-04-ncac-19l-.1008 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1008}

All recipients shall comply with the Hatch Act (P.L. 76-252) as amended, which limits the political activities of employees. This act prevents recipients, local CDBG program officials or other personnel employed by a CDBG program from undertaking certain political activities or from using CDBG funds for political activities. Generally, these activities include the use of official authority to affect the results of an election or to coerce employees to contribute to a political party or organization. In addition, personnel covered under this act may not be a candidate for elected office unless candidacies are non-partisan.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.487; 5 U.S.C.A. 1501 through 1508; 42 U.S.C.A. 5304 (b)(4)
Eff. July 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1009 Housing Rehabilitation {#sec-04-ncac-19l-.1009 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1009}

(a) Grant assistance may be used for housing rehabilitation activities eligible under Rule .0301 of this Subchapter.

(b) The local government shall provide a work write up which precisely defines the rehabilitation work to be undertaken to bring the dwelling up to the following standards. The dwelling:

(1) shall contain a room or defined area for the safe, sanitary storage and preparation of food.

(2) shall contain a bathroom with permanently affixed and properly operating fixtures.

(3) shall have a one time treatment for insects and pests.

(4) shall have a structurally sound building foundation system.

(5) shall have structurally sound flooring systems.

(6) shall have structurally sound wall systems.

(7) shall have a structurally sound roofing system.

(8) shall have at least two remotely located doors for means of egress.

(9) shall have electrical wiring and fixtures that are safe and operating properly.

(10) shall have plumbing fixtures and piping that are safe and operating properly.

(11) shall have a heating source capable of heating the entire dwelling unit to 70 degrees Fahrenheit when the outside temperature is 0 degrees.

(12) shall contain a U.L. approved smoke detector wired directly to the electrical panel with battery back up.

(c) Construction or rehabilitation work on all dwelling units, assisted entirely or partially with CDBG funds, shall comply with the North Carolina State Building Code, Volumes I-X, as applicable.

(d) Section 8 Housing Quality Standards shall not be applicable when work is funded under Local Option Activities as described in Rule .0403(c) of this Subchapter.

(e) Housing rehabilitation activities must comply with the following standards required under this Subchapter:

(1) Lead-based paint (Rule .1011); and

(2) Equal opportunity (Rule .1001).

(f) The recipient shall provide for benefits to any person involuntarily and permanently displaced as a result of the use of CDBG assistance to substantially rehabilitate property in accordance with 49 CFR Part 24.

(g) Homes inhabited by disabled or elderly persons must be analyzed as to the physical needs of such persons. Improvements such as widened doorways, ramps, level entry and doorways, and grab bars in bath areas must be installed if appropriate.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.487; 42 U.S.C.A. 5305(a)
Eff. July 1, 1982
Amended Eff. August 1, 1998; May 1, 1988; March 1, 1984; April 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1010 National Flood Insurance Program {#sec-04-ncac-19l-.1010 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1010}

(a) No CDBG funds shall be used for acquisition or construction purposes as defined under section 3(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) in any area that has been identified as an area having special flood hazards, unless the recipient in such an area is participating in the National Flood Insurance Program.

(b) Recipients must comply with the Regulations implementing the Flood Disaster Protection Act of 1973 (44 C.F.R. 60.3), unless the recipient is participating in the National Flood Insurance Program.

(c) The use of CDBG funds governed by this Subchapter for acquisition or construction shall be subject to the mandatory purchase of flood insurance requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234).

(d) Records of participation in the National Flood Insurance Program shall be maintained by the recipient pursuant to Rule .0911 of this Subchapter.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. Chapter X; 24 C.F.R. 570.487; 42 U.S.C.A. 4002 through 4027; 42 U.S.C.A. 5304(b)(4)
Eff. July 1, 1982
Amended Eff. March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1011 Lead-Based Paint {#sec-04-ncac-19l-.1011 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1011}

(a) The recipient must comply with the Lead-Based Paint Poisoning Prevention Act [42 U.S.C. 4831(b)], 24 CFR Part 570.608, and 24 CFR Part 35, including provisions and subsequent amendments of the above:

(1) prohibiting the use of lead-based paint;

(2) requiring elimination of lead-based paint hazards; and

(3) requiring notification of the hazards of lead-based paint poisoning to purchasers, owners and tenants of housing constructed prior to 1978 which was acquired or rehabilitated with CDBG assistance.

(b) All construction contracts as described in this Rule shall contain a provision prohibiting the use of lead based paint.

(c) In lieu of the testing procedures set forth in the 1996 HUD Guidelines, the recipient may forego testing and abate all applicable surfaces in accordance with the methods set out in the HUD regulations.

(d) Lead-based paint hazard evaluation and abatement activities financed with CDBG funds must be conducted by individuals and firms that are certified in accordance with the applicable EPA and HUD requirements for Lead Based Paint activities.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(b)(4); 42 U.S.C.A. 4821 through 4846
Eff. July 1, 1982
Amended Eff. August 1, 1998; June 1, 1994; June 1, 1993; May 1, 1988
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1012 Clearinghouse Review {#sec-04-ncac-19l-.1012 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1012}

(a) Applications for funding under this Subchapter may be submitted by the Division to the appropriate state clearinghouse agencies.

(b) Comments containing any findings of inconsistency with state or local plans, significant adverse urban impacts, noncompliance with environmental laws, failure to provide equal opportunity or other comments that require a response may result in disapproval or conditional approval of the application by the Division. Applicants must consider all findings and submit to the Division a written statement indicating what action they plan to take as a result of these findings.

(c) Program amendments which must receive Division approval pursuant to Rule .0910 Paragraph (a) of this Subchapter, may be submitted to clearinghouse review in accordance with Paragraph (a) of this Rule.

(d) All clearinghouse comments and responses shall be kept in accordance with Rule .0911 of this Subchapter.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.489
Eff. July 1, 1982
Amended Eff. March 1, 1995; June 1, 1993; September 1, 1990; March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1013 Community Development Plan {#sec-04-ncac-19l-.1013 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1013}

(a) Recipients shall develop a Community Development Plan that identifies community development and housing needs, including the needs of low- and moderate-income persons, and activities to be undertaken to meet such needs.

(b) The Community Development Plan shall be maintained in accordance with Rule .0911 of this Subchapter.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C. 5301
Eff. March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1101 Reporting {#sec-04-ncac-19l-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1101}

(a) Recipients shall submit an Annual Performance Report at the close of each fiscal year concurrently with the annual audit of the program required by Rule .0912 of this Subchapter. Failure to provide the APR and audit within 60 days of the end of the fiscal year may be grounds for withholding further grant payments until the APR and audit have been submitted. A performance report may also be required of the recipient prior to the grant closeout pursuant to Rule .0913 of this Subchapter.

(b) The Annual Performance Report and any other performance report required prior to the grant closeout shall contain completed copies of all forms and narratives requested by the Department.

(c) Between the required performance reporting dates, events may occur which have significant impact upon the project or program. In such cases, the recipient shall inform the Department as soon as the following types of conditions become known:

(1) Problems, delays, or adverse conditions which will materially affect the ability to attain program objectives', prevent the meeting of time schedules and goals, or preclude the attainment of project work units by established time periods. This disclosure shall be accompanied by a statement of the action taken, or contemplated, and any Departmental assistance needed to resolve the situation.

(2) Favorable developments or events which enable meeting time schedules and goals sooner than anticipated or producing more work units than originally projected.

(d) For both construction and nonconstruction grants, recipients shall notify the Department promptly whenever the amount of CDBG authorized funds is expected to exceed the needs of the recipient by more than five thousand dollars ($5,000) or five percent of the Community Development grant, whichever is greater.

(e) Recipients shall submit such reports as may be necessary, pursuant to the rules and regulations under Title VI, Civil Rights Act of 1964; Title VIII, Civil Rights Act of 1968; Section 3 of the Housing and Urban Development Act of 1968; Section 109 of the Housing and Community Development Act of 1974, as amended; Executive Order 11246, as amended; and Executive Order 11063.

(f) Recipients will be required to report data annually as specified by the Division for the state's Comprehensive Housing Affordability Strategy (CHAS) for response by the Division to 24 CFR Part 91, State and Local Housing Affordability Strategies.

(g) Recipients shall submit other reports as outlined in this Subchapter or as may be further required by the Division.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(b)(4); 24 C.F.R. Part 91; 24 C.F.R. 570.490; 24 C.F.R. 570.491
Eff. July 1, 1982
Amended Eff. June 1, 1993; September 1, 1990; March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1102 Monitoring by the Recipient {#sec-04-ncac-19l-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1102}

Recipients shall constantly monitor the performance under grant-supported activities to assure that time schedules are being met, projected work units by time periods are being accomplished, and other performance goals are being achieved. This review shall be made for each program, function, or activity of each grant as set forth in the approved grant application.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(d)(2),(e)
Eff. July 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1103 Monitoring by the Division {#sec-04-ncac-19l-.1103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1103}

(a) The Secretary shall, in addition to the annual audit, evaluate programs conducted under this Subchapter and their effectiveness in meeting the objectives of the CDBG Program.

(b) The Secretary may conduct such evaluation using Division personnel, or by contract or other arrangement with public or private agencies. The evaluations will consist of site visits as frequently as practical to:

(1) Review Program accomplishments and management control systems as outlined in Paragraph (d) of this Rule; and

(2) Provide such technical assistance as may be required.

(c) Recipients may be required to supply data or make available such records as are necessary for the accurate completion of these evaluations, including, but not limited to the following:

(1) the approved CDBG application and any amendments thereto;

(2) reports prepared by the recipient including the performance report described in Rule .1101;

(3) records maintained by the recipient pursuant to Rule .0911;

(4) results of the Division's monitoring of recipient performance;

(5) audit reports;

(6) records of drawdowns; and

(7) records of comments and complaints by citizens and/or other organizations, or litigation.

(d) Review criteria:

(1) Substantial progress. The Division will review a recipient's performance to determine the recipient's progress in carrying out approved activities and will take into account such factors as expenditure of funds, obligation of funds, award of third party contracts, and other measures of progress. The Division will compare a recipient's progress with that of other recipients of comparable size with similar activities and grant amounts. If a recipient's progress lags substantially behind that of other similar recipients, further reviews may be conducted to determine the reasons for a lack of progress.

(2) Conformance with approved program. The Division will review a recipient's performance to determine whether the activities undertaken during the period under review conform substantially to the Community Development Program described in the application, including any amendments approved by the Division.

(3) Compliance. The Division will review a recipient's performance to determine whether the program carried out complies with the requirements of the Act, this Subchapter, and other applicable laws and regulations.

(4) Continuing Capacity. The Division will review a recipient's performance to determine whether the recipient has a continuing capacity to carry out the approved program in a timely manner.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(d)(2),(e); 24 C.F.R. 570.492
Eff. July 1, 1982
Amended Eff. June 1, 1993; September 1, 1990; March 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1104 Remedies {#sec-04-ncac-19l-.1104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1104}

(a) When the Secretary determines on the basis of a review of a recipient's performance that the objectives of the program, as well as the objectives as described in its application, have not been met, the Secretary may take one or more of the actions authorized in Paragraph (b) of this Rule. In each instance, the action taken will be designed to first, prevent a continuance of the deficiency (lack of progress, nonconformance, noncompliance, lack of continuing capacity); second, mitigate any adverse effects or consequences of the deficiency to the extent possible under the circumstances; and third, prevent a recurrence of the same or similar deficiencies.

(b) The action that the Department or Division may take in response to a negative review of a recipient's performance include:

(1) Require the recipient to submit additional information:

(A) concerning the administrative, planning, budgeting, management and evaluation functions to determine any reasons for lack of progress;

(B) explaining any actions being taken to correct or remove the causes for delay;

(C) documenting that activities undertaken were not in conformance with the approved program or were in noncompliance with applicable laws or regulations; and

(D) demonstrating that the recipient has a continuing capacity to carry out the approved program in a timely manner.

(2) Require the recipient to submit progress schedules for completing approved activities;

(3) Issue a letter of warning that advises the recipient of the deficiency and puts the recipient on notice that more serious sanctions will be taken if the deficiency is not corrected or is repeated;

(4) Instruct the recipient that a certification will no longer be acceptable and that additional information or assurances will be required;

(5) Instruct the recipient to suspend, discontinue or not incur costs for the affected activity;

(6) Instruct the recipient to reprogram funds from affected activities to other eligible activities; provided, that such action shall not be taken in connection with any substantial violation of Rule .1004 Environmental Requirements;

(7) Instruct the recipient to reimburse the recipient's program account or the Department in any amounts improperly expended;

(8) Change the method of payment from advance payment to a reimbursement basis;

(9) Condition the approval of a succeeding year's application if there is substantial evidence of a lack of progress, nonconformance, noncompliance, or a lack of continuing capacity. In such cases, the reasons for the conditional approval and the actions necessary to remove the condition shall be as specified by the Division; and

(10) Reduce the recipient's annual grant by up to the amount conditionally approved where such condition or conditions have not been satisfied.

(c) When the Secretary determines, on the basis of a review of a recipient's performance that objectives of the program as described in its application have not been met, the Secretary may reduce, withhold funds or withdraw the grant, except for funds already expended on otherwise eligible activities which may not be recaptured or deducted from future grants.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.492
Eff. July 1, 1982
Amended Eff. June 1, 1993; September 1, 1990; April 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1105 Administrative Hearings {#sec-04-ncac-19l-.1105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1105}

(a) Recipients may contest Departmental actions with respect to this Subchapter under the Contested Case Hearing Procedures set forth in G.S. 150B and 26 NCAC 3 - Office of Administrative Hearings, Hearings Division.

(b) The Department may also commence contested case hearing procedures against recipients pursuant to G.S. 150B and 26 NCAC 3 - Office of Administrative Hearings, Hearings Division.

History

Authority G.S. 143B-10; 143B-431
Eff. July 1, 1982
Amended Eff. September 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1201 Description {#sec-04-ncac-19l-.1201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1201}

Contingency projects are those projects which, in the judgment of the Secretary, are deemed to meet community development needs of the applicant.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. March 1, 1986
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1202 Eligibility Requirements {#sec-04-ncac-19l-.1202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1202}

Applicants must meet the eligibility requirements described in Rule .0502.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. March 1, 1986
Amended Eff. June 1, 1994; May 1, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1203 Selection Criteria {#sec-04-ncac-19l-.1203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1203}

Consideration for contingency grants will be given to applications at the discretion of the Secretary. Applicants will be selected for consideration by the Department.

History

Authority G.S. 143B-10; 143B-431; 42 U.S.C.A. 5304(a)(1); 24 C.F.R. 570.482
Eff. March 1, 1986
Amended Eff. September 1, 1990
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1301 dESCRIPTION {#sec-04-ncac-19l-.1301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1301}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482; 24 C.F.R. 570.483; 24 C.F.R. 570.489
Eff. March 1, 1986
Amended Eff. August 1, 1998; June 1, 1994 (Rule .1302, .1303); June 1, 1993 (Rule .1302, .1303); May 1, 1992 (Rule .1301); September 1, 1990 (Rule .1302); April 1, 1990 (Rule .1302, .1303)
Repealed Eff. July 1, 2012.

04 NCAC 19L .1302 Eligibility Requirements {#sec-04-ncac-19l-.1302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1302}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482; 24 C.F.R. 570.483; 24 C.F.R. 570.489
Eff. March 1, 1986
Amended Eff. August 1, 1998; June 1, 1994 (Rule .1302, .1303); June 1, 1993 (Rule .1302, .1303); May 1, 1992 (Rule .1301); September 1, 1990 (Rule .1302); April 1, 1990 (Rule .1302, .1303)
Repealed Eff. July 1, 2012.

04 NCAC 19L .1303 Selection Criteria {#sec-04-ncac-19l-.1303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1303}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482; 24 C.F.R. 570.483; 24 C.F.R. 570.489
Eff. March 1, 1986
Amended Eff. August 1, 1998; June 1, 1994 (Rule .1302, .1303); June 1, 1993 (Rule .1302, .1303); May 1, 1992 (Rule .1301); September 1, 1990 (Rule .1302); April 1, 1990 (Rule .1302, .1303)
Repealed Eff. July 1, 2012.

04 NCAC 19L .1401 Definition {#sec-04-ncac-19l-.1401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1401}

History

Status: repealed
Filed as a Temporary Repeal Eff. July 20, 1992 for a period of 180 days or until the
permanent rule becomes effective, whichever is sooner
Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5301; 42 U.S.C.A. 5304(a)(1)
24 C.F.R. 570.489
Eff. March 1, 1986
Amended Eff. September 1, 1990; April 1, 1989; May 1, 1988
Repealed Eff. November 2, 1992.

04 NCAC 19L .1402 Eligibility Requirements {#sec-04-ncac-19l-.1402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1402}

History

Status: repealed
Filed as a Temporary Repeal Eff. July 20, 1992 for a period of 180 days or until the
permanent rule becomes effective, whichever is sooner
Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5301; 42 U.S.C.A. 5304(a)(1)
24 C.F.R. 570.489
Eff. March 1, 1986
Amended Eff. September 1, 1990; April 1, 1989; May 1, 1988
Repealed Eff. November 2, 1992.

04 NCAC 19L .1403 Selection Criteria {#sec-04-ncac-19l-.1403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1403}

History

Status: repealed
Filed as a Temporary Repeal Eff. July 20, 1992 for a period of 180 days or until the
permanent rule becomes effective, whichever is sooner
Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5301; 42 U.S.C.A. 5304(a)(1)
24 C.F.R. 570.489
Eff. March 1, 1986
Amended Eff. September 1, 1990; April 1, 1989; May 1, 1988
Repealed Eff. November 2, 1992.

04 NCAC 19L .1404 Preliminary Awards {#sec-04-ncac-19l-.1404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1404}

History

Status: repealed
Filed as a Temporary Repeal Eff. July 20, 1992 for a period of 180 days or until the
permanent rule becomes effective, whichever is sooner
Authority G.S. 143-323; 143B-10; 42 U.S.C.A. 5301; 42 U.S.C.A. 5304(a)(1)
24 C.F.R. 570.489
Eff. March 1, 1986
Amended Eff. September 1, 1990; April 1, 1989; May 1, 1988
Repealed Eff. November 2, 1992.

04 NCAC 19L .1405 Selection Criteria - Small Business Loan Program {#sec-04-ncac-19l-.1405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1405}

History

Status: repealed
Filed as a Temporary Repeal Eff. July 20, 1992 for a period of 180 days or until the
permanent rule becomes effective, whichever is sooner
Authority G.S. 143-323; 42 U.S.C.A. 5301; 24 C.F.R. 570.489
Eff. April 1, 1989
Repealed Eff. November 2, 1992.

04 NCAC 19L .1501 Description {#sec-04-ncac-19l-.1501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1501}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. May 1, 1988
Amended Eff. June 1, 1993; September 1, 1990
Repealed Eff. June 1, 1994.

04 NCAC 19L .1502 Eligibility Requirements {#sec-04-ncac-19l-.1502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1502}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. May 1, 1988
Amended Eff. June 1, 1993; September 1, 1990
Repealed Eff. June 1, 1994.

04 NCAC 19L .1503 Selection Criteria {#sec-04-ncac-19l-.1503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1503}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. May 1, 1988
Amended Eff. June 1, 1993; September 1, 1990
Repealed Eff. June 1, 1994.

04 NCAC 19L .1504 Funds Available {#sec-04-ncac-19l-.1504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1504}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. May 1, 1988
Amended Eff. June 1, 1993; September 1, 1990
Repealed Eff. June 1, 1994.

04 NCAC 19L .1505 Preliminary Awards {#sec-04-ncac-19l-.1505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1505}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. May 1, 1988
Amended Eff. June 1, 1993; September 1, 1990
Repealed Eff. June 1, 1994.

04 NCAC 19L .1601 Description {#sec-04-ncac-19l-.1601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1601}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. June 1, 1990
Amended Eff. June 1, 1993
Repealed Eff. June 1, 1994.

04 NCAC 19L .1602 Eligibility Requirements {#sec-04-ncac-19l-.1602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1602}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. June 1, 1990
Amended Eff. June 1, 1993
Repealed Eff. June 1, 1994.

04 NCAC 19L .1603 Selection Criteria {#sec-04-ncac-19l-.1603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1603}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. June 1, 1990
Amended Eff. June 1, 1993
Repealed Eff. June 1, 1994.

04 NCAC 19L .1604 Preliminary Awards {#sec-04-ncac-19l-.1604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1604}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482
Eff. June 1, 1990
Amended Eff. June 1, 1993
Repealed Eff. June 1, 1994.

04 NCAC 19L .1701 Description {#sec-04-ncac-19l-.1701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1701}

History

Status: expired
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482; 24 C.F.R. 570.483; 24 C.F.R. 570.489
Eff. March 1, 1995
Amended Eff. August 1, 1998
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Expired Eff. April 1, 2018 pursuant to G.S. 150B-21.3A.

04 NCAC 19L .1702 Eligibility Requirements {#sec-04-ncac-19l-.1702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1702}

History

Status: expired
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482; 24 C.F.R. 570.483; 24 C.F.R. 570.489
Eff. March 1, 1995
Amended Eff. August 1, 1998
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Expired Eff. April 1, 2018 pursuant to G.S. 150B-21.3A.

04 NCAC 19L .1703 Selection Criteria {#sec-04-ncac-19l-.1703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1703}

History

Status: expired
Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.482; 24 C.F.R. 570.483; 24 C.F.R. 570.489
Eff. March 1, 1995
Amended Eff. August 1, 1998
Temporary Amendment Eff. January 1, 2001
Amended Eff. August 1, 2002
Expired Eff. April 1, 2018 pursuant to G.S. 150B-21.3A.

04 NCAC 19L .1801 General {#sec-04-ncac-19l-.1801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1801}

(a) The North Carolina Development Loan Fund is a loan program for non-entitlement communities participating in the Small Cities Community Development Block Grant program to access the Department of Housing and Urban Development's Section 108 Guaranteed Loan Program. The funds under this program are loaned to units of local governments for projects meeting one of the national objectives of benefitting low and moderate income persons, eliminating slums and blight or addressing a community's urgent needs, as defined in the Housing and Community Development Act of 1974 as amended.

(b) The Division shall review applications from local governments to the Department of Housing and Urban Development under the Development Loan Fund program. The review and approval must be made to pledge future state CDBG allocation as additional collateral for the Development Loan fund program.

(c) The Division shall review applications for projects with housing, commercial and mixed use components. The Commerce Finance Center shall review and approve economic development projects.

History

Authority G.S. 143B-431; 153A-376; 160A-456; 24 C.F.R. 570 Subpart M
Eff. August 1, 1998
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1802 Eligible Activities {#sec-04-ncac-19l-.1802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1802}

(a) This section incorporates by reference as eligible activities those activities described in the Housing and Community Development Act of 1974, as amended, including subsequent amendments and editions under Section 108 and in 24 CFR 570.703.

(b) G.S. 143B-431(d)(3) - further limits eligibility by finding that hotels, motels, private recreational facilities, private entertainment facilities and convention centers are ineligible for Development Loan Funds.

(c) Copies of these sections of state and federal law and regulation are available for public inspection from the Division of Community Assistance.

History

Authority G.S. 143B-431; 24 C.F.R. 570.703
Eff. August 1, 1998
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1803 Eligibility Requirements {#sec-04-ncac-19l-.1803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1803}

(a) Applications for Development Loan Funds must show that:

(1) All activities are eligible under state and federal regulations; and

(2) Development Loan Funds proposed for each activity meet a national objective as specified by HUD regulations incorporated by prior reference; and

(3) The applicant has the capacity to administer a Development Loan Fund project.

(b) The Division must make the following findings prior to an award:

(1) A loan loss reserve is in place equal to 10% of the amount of the outstanding balance.

(2) The approved loan may not take the total amount of outstanding obligations under the Development Loan Fund to more than twice the amount of the annual CDBG allocation.

History

Authority G.S. 143B-431; 24 C.F.R. 570 Subpart M
Eff. August 1, 1998
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1804 Size of Loan Approvals {#sec-04-ncac-19l-.1804 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1804}

(a) Maximum and minimum loan amounts as set by the General Assembly shall be published by the Division in the annual CDBG Consolidated Plan Action Plan, part of the North Carolina Consolidated Plan.

(b) Development Loan Funds approved shall not count toward a community's receipt of CDBG funds in any program year as outlined in Rule .0403 of this Subchapter.

History

Authority G.S. 143B-431; 24 C.F.R. 570 Subpart M
Eff. August 1, 1998
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .1805 Selection Criteria {#sec-04-ncac-19l-.1805 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .1805}

Projects will be evaluated and maybe approved in accordance with the following selection factors:

(1) Public benefit,

(2) Project feasibility,

(3) Cash flow of the project,

(4) Collateral of the project.

History

Authority G.S. 143B-431; 24 C.F.R. 570 Subpart M
Eff. August 1, 1998
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .2001 Description {#sec-04-ncac-19l-.2001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .2001}

The infrastructure category includes activities in which funds are directed toward improving existing infrastructure or providing new infrastructure to existing neighborhoods with environmental or health problems; and providing public infrastructure to low- and moderate-income persons.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.489
Temporary Adoption Eff. January 1, 2001
Amended Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .2002 Eligibility Requirements {#sec-04-ncac-19l-.2002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .2002}

(a) The only eligible activities in infrastructure are related to public water and public wastewater (sewer) to benefit homes in residential neighborhoods. Street repairs only to the extent necessary to repair surfaces dug up in laying pipe may be included in the public water sewer budget line items. Infrastructure may not include more than one project. Projects may carry out either public water or public wastewater (sewer) activities or both.

(b) Applicants must insure that each Infrastructure activity benefits at least 51% low and moderate income persons. Additionally, applicants must ensure that activities do not benefit moderate income persons to the exclusion of low income persons, and that all funds are spent in support of a national objective.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.489
Temporary Adoption Eff. January 1, 2001
Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

04 NCAC 19L .2003 Selection Criteria {#sec-04-ncac-19l-.2003 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19L .2003}

Criteria for Infrastructure awards are:

(1) severity of needs;

(2) benefit to low and moderate income persons;

(3) local commitment;

(4) treatment of needs; and

(5) appropriateness and feasibility.

History

Authority G.S. 143B-10; 143B-431; 24 C.F.R. 570.489
Temporary Adoption Eff. January 1, 2001
Eff. August 1, 2002
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 6, 2018.

Subchapter M

04 NCAC 19M .0101 Program Purpose and Objectives {#sec-04-ncac-19m-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0101}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on November 2, 1983
Authority G.S. 143-323; 143B-276; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0102 Authority {#sec-04-ncac-19m-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0102}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on November 2, 1983
Authority G.S. 143-323; 143B-276; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0103 Definitions {#sec-04-ncac-19m-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0103}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on November 2, 1983
Authority G.S. 143-323; 143B-276; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0201 Eligible Applicants {#sec-04-ncac-19m-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0201}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0202 Eligible Activities {#sec-04-ncac-19m-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0202}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0301 General {#sec-04-ncac-19m-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0301}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0302 Size of Grants {#sec-04-ncac-19m-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0302}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0303 Limitations on Use of Funds {#sec-04-ncac-19m-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0303}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0401 Application Submission {#sec-04-ncac-19m-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0401}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0402 Application Contents {#sec-04-ncac-19m-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0402}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0403 Application Selection Criteria {#sec-04-ncac-19m-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0403}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0501 Grant Agreement {#sec-04-ncac-19m-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0501}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0502 Method of Payment {#sec-04-ncac-19m-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0502}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0503 Recordkeeping {#sec-04-ncac-19m-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0503}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0601 Financial Report {#sec-04-ncac-19m-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0601}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 19M .0602 Performance Report {#sec-04-ncac-19m-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19M .0602}

History

Status: repealed
Filed as a Temporary Rule Eff. July 5, 1983, for a period of 120 days to expire on
November 2, 1983
Authority G.S. 143-323; 15 U.S.C. 648(a)
Eff. October 1, 1983
Repealed Eff. October 1, 1984.

Subchapter N

04 NCAC 19N .0101 Purpose and Objectives {#sec-04-ncac-19n-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0101}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 99-500; 24 C.F.R. 575; 24 C.F.R. 575.23
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0102 Definitions {#sec-04-ncac-19n-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0102}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 99-500; 24 C.F.R. 575; 24 C.F.R. 575.23
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0103 Waivers {#sec-04-ncac-19n-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0103}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 99-500; 24 C.F.R. 575; 24 C.F.R. 575.23
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0104 Eligible Applicants {#sec-04-ncac-19n-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0104}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 99-500; 24 C.F.R. 575; 24 C.F.R. 575.23
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0201 Eligible Activities {#sec-04-ncac-19n-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0201}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.21(a),(b)
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0202 Ineligible Activities {#sec-04-ncac-19n-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0202}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.21(a),(b)
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0301 Size and Use of Grants {#sec-04-ncac-19n-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0301}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.37; 24 C.F.R. 575.61
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0302 Reallocation {#sec-04-ncac-19n-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0302}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.37; 24 C.F.R. 575.61
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0303 General Application Requirements {#sec-04-ncac-19n-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0303}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.37; 24 C.F.R. 575.61
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0401 Eligibility Requirements {#sec-04-ncac-19n-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0401}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.33
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0402 Evaluation Factors {#sec-04-ncac-19n-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0402}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.33
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0501 Grant Agreement {#sec-04-ncac-19n-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0501}

History

Status: expired
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 575.21; 24 C.F.R. 575.59; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0502 Method of Administration {#sec-04-ncac-19n-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0502}

History

Status: expired
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 575.21; 24 C.F.R. 575.59; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0503 Property Management Standards {#sec-04-ncac-19n-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0503}

History

Status: expired
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 575.21; 24 C.F.R. 575.59; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0504 Recordkeeping {#sec-04-ncac-19n-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0504}

History

Status: expired
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 575.21; 24 C.F.R. 575.59; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0505 Grant Closeouts {#sec-04-ncac-19n-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0505}

History

Status: expired
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 575.21; 24 C.F.R. 575.59; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0601 Compliance {#sec-04-ncac-19n-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0601}

History

Status: expired
Authority G.S. 143-323; 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0602 Reporting {#sec-04-ncac-19n-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0602}

History

Status: expired
Authority G.S. 143-323; 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0603 Monitoring by Nrcd {#sec-04-ncac-19n-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0603}

History

Status: expired
Authority G.S. 143-323; 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19N .0604 Remedies {#sec-04-ncac-19n-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19N .0604}

History

Status: expired
Authority G.S. 143-323; 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Temporary Rule Eff. March 2, 1987, for a period of 120 days to expire on June 30, 1987
Temporary Rule Eff. June 30, 1987, for a period of 120 days to expire on October 21, 1987
Eff. September 1, 1987
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

Subchapter O

04 NCAC 19O .0101 Purpose and Objectives {#sec-04-ncac-19o-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0101}

History

Temporary Rule Eff. October 1, 1987 for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 143B-276; 24 C.F.R. 575; 24 C.F.R. 575.3; 24 C.F.R. 575.23; P.L. 100-77
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0102 Definitions {#sec-04-ncac-19o-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0102}

History

Temporary Rule Eff. October 1, 1987 for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 143B-276; 24 C.F.R. 575; 24 C.F.R. 575.3; 24 C.F.R. 575.23; P.L. 100-77
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0103 Waivers {#sec-04-ncac-19o-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0103}

History

Temporary Rule Eff. October 1, 1987 for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 143B-276; 24 C.F.R. 575; 24 C.F.R. 575.3; 24 C.F.R. 575.23; P.L. 100-77
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0104 Eligible Applicants {#sec-04-ncac-19o-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0104}

History

Temporary Rule Eff. October 1, 1987 for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 143B-276; 24 C.F.R. 575; 24 C.F.R. 575.3; 24 C.F.R. 575.23; P.L. 100-77
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0201 Eligible Activities {#sec-04-ncac-19o-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0201}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 150B-14; 24 C.F.R. 575.21
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0202 Ineligible Activities {#sec-04-ncac-19o-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0202}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 150B-14; 24 C.F.R. 575.21
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0301 Application Requirements {#sec-04-ncac-19o-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0301}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.41; 24 C.F.R. 575.61
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0302 Size of Grants {#sec-04-ncac-19o-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0302}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.41; 24 C.F.R. 575.61
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0303 Distribution of Funds {#sec-04-ncac-19o-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0303}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.41; 24 C.F.R. 575.61
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0304 Reallocation {#sec-04-ncac-19o-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0304}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.41; 24 C.F.R. 575.61
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0401 Definition {#sec-04-ncac-19o-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0401}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.21
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0402 Eligibility Requirements {#sec-04-ncac-19o-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0402}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.21
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0403 Selection Criteria {#sec-04-ncac-19o-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0403}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.21
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0501 Definition {#sec-04-ncac-19o-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0501}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.21; 24 C.F.R 575.33
Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Eff. March 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19O .0502 Eligibility Requirements {#sec-04-ncac-19o-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0502}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.21; 24 C.F.R 575.33
Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Eff. March 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19O .0503 Selection Criteria {#sec-04-ncac-19o-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0503}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.21; 24 C.F.R 575.33
Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Eff. March 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19O .0601 Grant Agreement {#sec-04-ncac-19o-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0601}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.61
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0602 Method of Administration {#sec-04-ncac-19o-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0602}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.61
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0604 Recordkeeping {#sec-04-ncac-19o-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0604}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0605 Grant Closeouts {#sec-04-ncac-19o-.0605 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0605}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0701 Compliance {#sec-04-ncac-19o-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0701}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0702 Reporting {#sec-04-ncac-19o-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0702}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0703 Monitoring by Nrcd {#sec-04-ncac-19o-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0703}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

04 NCAC 19O .0704 Remedies {#sec-04-ncac-19o-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19O .0704}

History

Temporary Rule Eff. October 1, 1987, for a period of 180 days to expire on March 29, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Eff. March 1, 1988
Agency did not readopt pursuant to G.S. 150B-21.3A by RRC established deadline of December 31, 2022.

Subchapter P

04 NCAC 19P .0101 Purpose and Objectives {#sec-04-ncac-19p-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0101}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 99-500, 100-77; 24 C.F.R. 575; 24 C.F.R.; 24 C.F.R. 575.3; 24 C.F.R. 575.23
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0102 Definitions {#sec-04-ncac-19p-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0102}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 99-500, 100-77; 24 C.F.R. 575; 24 C.F.R.; 24 C.F.R. 575.3; 24 C.F.R. 575.23
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0103 Waivers {#sec-04-ncac-19p-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0103}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 99-500, 100-77; 24 C.F.R. 575; 24 C.F.R.; 24 C.F.R. 575.3; 24 C.F.R. 575.23
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0104 Eligible Applicants {#sec-04-ncac-19p-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0104}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 99-500, 100-77; 24 C.F.R. 575; 24 C.F.R.; 24 C.F.R. 575.3; 24 C.F.R. 575.23
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0201 Eligible Activities {#sec-04-ncac-19p-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0201}

History

Status: expired
Authority G.S. 143-323; 143B-10; 150B-14; 24 C.F.R. 575.21
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0202 Ineligible Activities {#sec-04-ncac-19p-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0202}

History

Status: expired
Authority G.S. 143-323; 143B-10; 150B-14; 24 C.F.R. 575.21
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0301 Application Requirements {#sec-04-ncac-19p-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0301}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.41; 24 C.F.R. 575.61
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0302 Size of Grants {#sec-04-ncac-19p-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0302}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.41; 24 C.F.R. 575.61
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0303 Reallocation {#sec-04-ncac-19p-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0303}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575; 24 C.F.R. 575.41; 24 C.F.R. 575.61
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0401 Definition {#sec-04-ncac-19p-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0401}

History

Status: expired
Filed as a Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on
October 1, 1988
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.21
ARRC Objection May 19, 1988
Expired Eff. October 1, 1988.

04 NCAC 19P .0402 Eligibility Requirements {#sec-04-ncac-19p-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0402}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0403 Awards {#sec-04-ncac-19p-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0403}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0501 Grant Agreement {#sec-04-ncac-19p-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0501}

History

Status: expired
Authority G.S. 143-323; 143B-10, 159-34; 24 C.F.R. 575; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0502 Method of Administration {#sec-04-ncac-19p-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0502}

History

Status: expired
Authority G.S. 143-323; 143B-10, 159-34; 24 C.F.R. 575; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0503 Property Management Standards {#sec-04-ncac-19p-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0503}

History

Status: expired
Authority G.S. 143-323; 143B-10, 159-34; 24 C.F.R. 575; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0504 Recordkeeping {#sec-04-ncac-19p-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0504}

History

Status: expired
Authority G.S. 143-323; 143B-10, 159-34; 24 C.F.R. 575; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0505 Grant Closeouts {#sec-04-ncac-19p-.0505 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0505}

History

Status: expired
Authority G.S. 143-323; 143B-10, 159-34; 24 C.F.R. 575; 24 C.F.R. 575.61; 24 C.F.R. 575.67
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0601 Compliance {#sec-04-ncac-19p-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0601}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0602 Reporting {#sec-04-ncac-19p-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0602}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0603 Monitoring by Nrcd {#sec-04-ncac-19p-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0603}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19P .0604 Remedies {#sec-04-ncac-19p-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19P .0604}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 575.61; 24 C.F.R. 575.65; 24 C.F.R. 575.69
Temporary Rule Eff. April 4, 1988 for a period of 180 days to expire on October 1, 1988
Eff. October 1, 1988
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

Subchapter Q

04 NCAC 19Q .0101 Purpose and Objectives {#sec-04-ncac-19q-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0101}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 100-77; P.L. 100-628; 24 C.F.R. 575; 24 C.F.R. 576; 24 C.F.R. 576.3; 24 C.F.R. 576.23
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Temporary Amendment Eff. March 12, 1990 for a period of 180 days to expire on September 8, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0102 Definitions {#sec-04-ncac-19q-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0102}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 100-77; P.L. 100-628; 24 C.F.R. 575; 24 C.F.R. 576; 24 C.F.R. 576.3; 24 C.F.R. 576.23
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Temporary Amendment Eff. March 12, 1990 for a period of 180 days to expire on September 8, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0103 Waivers {#sec-04-ncac-19q-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0103}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 100-77; P.L. 100-628; 24 C.F.R. 575; 24 C.F.R. 576; 24 C.F.R. 576.3; 24 C.F.R. 576.23
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Temporary Amendment Eff. March 12, 1990 for a period of 180 days to expire on September 8, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0104 Eligible Applicants {#sec-04-ncac-19q-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0104}

History

Status: expired
Authority G.S. 143-323; 143B-10; 143B-276; P.L. 100-77; P.L. 100-628; 24 C.F.R. 575; 24 C.F.R. 576; 24 C.F.R. 576.3; 24 C.F.R. 576.23
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Temporary Amendment Eff. March 12, 1990 for a period of 180 days to expire on September 8, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0201 Eligible Activities {#sec-04-ncac-19q-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0201}

History

Status: expired
Authority G.S. 143-323; 143B-10; 150B-14; 24 C.F.R. 576.21
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire on September 8, 1990
Amended Eff. August 1, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0202 Ineligible Activities {#sec-04-ncac-19q-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0202}

History

Status: expired
Authority G.S. 143-323; 143B-10; 150B-14; 24 C.F.R. 576.21
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire on September 8, 1990
Amended Eff. August 1, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0301 Application Requirements {#sec-04-ncac-19q-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0301}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576; 24 C.F.R. 576.61; 24 C.F.R. 576.81
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire on September 8, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0302 Size of Grants {#sec-04-ncac-19q-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0302}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576; 24 C.F.R. 576.61; 24 C.F.R. 576.81
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire on September 8, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0303 Distribution of Funds {#sec-04-ncac-19q-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0303}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576; 24 C.F.R. 576.61; 24 C.F.R. 576.81
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire on September 8, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0304 Reallocation {#sec-04-ncac-19q-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0304}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576; 24 C.F.R. 576.61; 24 C.F.R. 576.81
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Temporary Amendment Eff. March 12, 1990, for a period of 180 days to expire on September 8, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0401 Definition {#sec-04-ncac-19q-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0401}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576; 24 C.F.R. 576.21(a)(2)(3)
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0402 Eligibility Requirements {#sec-04-ncac-19q-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0402}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576; 24 C.F.R. 576.21(a)(2)(3)
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0403 Awards {#sec-04-ncac-19q-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0403}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576; 24 C.F.R. 576.21(a)(2)(3)
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0501 Definition {#sec-04-ncac-19q-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0501}

History

Filed as a Temporary Repeal Eff. March 12, 1990, for a period of 180 days to expire on
September 8, 1990
Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on
September 2, 1989
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576
Eff. August 1, 1989.

04 NCAC 19Q .0502 Eligibility Requirements {#sec-04-ncac-19q-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0502}

History

Filed as a Temporary Repeal Eff. March 12, 1990, for a period of 180 days to expire on
September 8, 1990
Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on
September 2, 1989
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576
Eff. August 1, 1989.

04 NCAC 19Q .0503 Awards {#sec-04-ncac-19q-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0503}

History

Filed as a Temporary Repeal Eff. March 12, 1990, for a period of 180 days to expire on
September 8, 1990
Filed as a Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on
September 2, 1989
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576
Eff. August 1, 1989.

04 NCAC 19Q .0601 Grant Agreement {#sec-04-ncac-19q-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0601}

History

Status: expired
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 576; 24 C.F.R. 576.81; 24 C.F.R. 576.87
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Amended Eff. August 1, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0602 Method of Administration {#sec-04-ncac-19q-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0602}

History

Status: expired
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 576; 24 C.F.R. 576.81; 24 C.F.R. 576.87
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Amended Eff. August 1, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0603 Property Management Standards {#sec-04-ncac-19q-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0603}

History

Status: expired
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 576; 24 C.F.R. 576.81; 24 C.F.R. 576.87
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Amended Eff. August 1, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0604 Recordkeeping {#sec-04-ncac-19q-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0604}

History

Status: expired
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 576; 24 C.F.R. 576.81; 24 C.F.R. 576.87
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Amended Eff. August 1, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0605 Grant Closeouts {#sec-04-ncac-19q-.0605 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0605}

History

Status: expired
Authority G.S. 143-323; 143B-10; 159-34; 24 C.F.R. 576; 24 C.F.R. 576.81; 24 C.F.R. 576.87
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Amended Eff. August 1, 1990
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0701 Compliance {#sec-04-ncac-19q-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0701}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576.81; 24 C.F.R. 576.85; 24 C.F.R. 576.89
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0702 Reporting {#sec-04-ncac-19q-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0702}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576.81; 24 C.F.R. 576.85; 24 C.F.R. 576.89
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0703 Monitoring by Nrcd {#sec-04-ncac-19q-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0703}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576.81; 24 C.F.R. 576.85; 24 C.F.R. 576.89
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

04 NCAC 19Q .0704 Remedies {#sec-04-ncac-19q-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19Q .0704}

History

Status: expired
Authority G.S. 143-323; 143B-10; 24 C.F.R. 576.81; 24 C.F.R. 576.85; 24 C.F.R. 576.89
Temporary Rule Eff. March 6, 1989 for a period of 180 days to expire on September 2, 1989
Eff. August 1, 1989
Expired Eff. March 1, 2020 pursuant to G.S. 150B-21.3A.

Subchapter S

04 NCAC 19S .0101 Overview and Purpose {#sec-04-ncac-19s-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0101}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Temporary Adoption Eff. July 17, 1992 for a period of 180 days or until the permanent rule becomes effective, which ever is sooner; (Rule .0102)
Eff. November 30, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0102 Definitions {#sec-04-ncac-19s-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0102}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Temporary Adoption Eff. July 17, 1992 for a period of 180 days or until the permanent rule becomes effective, which ever is sooner; (Rule .0102)
Eff. November 30, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0103 Waiver {#sec-04-ncac-19s-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0103}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Temporary Adoption Eff. July 17, 1992 for a period of 180 days or until the permanent rule becomes effective, which ever is sooner; (Rule .0102)
Eff. November 30, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0104 Eligible Applicants {#sec-04-ncac-19s-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0104}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Temporary Adoption Eff. July 17, 1992 for a period of 180 days or until the permanent rule becomes effective, which ever is sooner (Rule .0105)
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0105 Amendments Adopted by Reference {#sec-04-ncac-19s-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0105}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Temporary Adoption Eff. July 17, 1992 for a period of 180 days or until the permanent rule becomes effective, which ever is sooner (Rule .0105)
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0106 Acts and Regulations Adopted by Reference {#sec-04-ncac-19s-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0106}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Temporary Adoption Eff. July 17, 1992 for a period of 180 days or until the permanent rule becomes effective, which ever is sooner (Rule .0105)
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0201 Eligible Activities and Costs {#sec-04-ncac-19s-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0201}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0202 Prohibited Costs {#sec-04-ncac-19s-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0202}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 30, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0301 Participation Threshold Amount {#sec-04-ncac-19s-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0301}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0401 Distribution of Funds {#sec-04-ncac-19s-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0401}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 30, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0402 Size and Use of Home Awards Made to Recipients {#sec-04-ncac-19s-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0402}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0403 Program Category Allocation {#sec-04-ncac-19s-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0403}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0404 General Application Requirements {#sec-04-ncac-19s-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0404}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0501 Definition {#sec-04-ncac-19s-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0501}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0502 Eligibility Requirements {#sec-04-ncac-19s-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0502}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0503 Selection Criteria {#sec-04-ncac-19s-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0503}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0601 Definition {#sec-04-ncac-19s-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0601}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Temporary Adoption Eff. July 17, 1992 for a period of 180 days or until the permanent rule becomes effective, which ever is sooner
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0602 Eligibility Requirement {#sec-04-ncac-19s-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0602}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Temporary Adoption Eff. July 17, 1992 for a period of 180 days or until the permanent rule becomes effective, which ever is sooner
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0603 Selection Criteria {#sec-04-ncac-19s-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0603}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Temporary Adoption Eff. July 17, 1992 for a period of 180 days or until the permanent rule becomes effective, which ever is sooner
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0701 Definition {#sec-04-ncac-19s-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0701}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0702 Eligibility Requirements {#sec-04-ncac-19s-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0702}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0703 Selection Criteria {#sec-04-ncac-19s-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0703}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .0704 Preliminary Awards {#sec-04-ncac-19s-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .0704}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1001 Equal Opportunity and Fair Housing {#sec-04-ncac-19s-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1001}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1002 Affirmative Marketing {#sec-04-ncac-19s-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1002}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1003 Environmental Review {#sec-04-ncac-19s-.1003 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1003}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1004 Displacement, Relocation, and Acquisition {#sec-04-ncac-19s-.1004 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1004}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1005 Labor Standards {#sec-04-ncac-19s-.1005 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1005}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1006 Lead-Based Paint {#sec-04-ncac-19s-.1006 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1006}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1007 Conflict of Interest {#sec-04-ncac-19s-.1007 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1007}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1008 National Flood Insurance Program {#sec-04-ncac-19s-.1008 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1008}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1009 Clearinghouse Review {#sec-04-ncac-19s-.1009 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1009}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1101 Grant Agreement {#sec-04-ncac-19s-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1101}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1102 Method of Administration {#sec-04-ncac-19s-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1102}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1103 Audit {#sec-04-ncac-19s-.1103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1103}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1104 Closeout {#sec-04-ncac-19s-.1104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1104}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1105 Recordkeeping {#sec-04-ncac-19s-.1105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1105}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1106 Performance Reports {#sec-04-ncac-19s-.1106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1106}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1107 Performance Reviews {#sec-04-ncac-19s-.1107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1107}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1108 Corrective and Remedial Actions {#sec-04-ncac-19s-.1108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1108}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1109 Administrative Hearings and Sanctions {#sec-04-ncac-19s-.1109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1109}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

04 NCAC 19S .1110 Program Amendments {#sec-04-ncac-19s-.1110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 19S .1110}

History

Status: repealed
Authority G.S. 143B-10; 143B-431; 24 C.F.R. Part 92
Eff. November 2, 1992
Repealed Eff. January 1, 2019.

Chapter 20 Employment and Training

Subchapter A

04 NCAC 20A .0101 Definitions {#sec-04-ncac-20a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20A .0101}

History

Status: expired
Authority G.S. 143B-430(b); 20 C.F.R. 626.4; Ex. O. No. 93, June 8, 1983
Eff. July 1, 1980
Temporary Amendment Eff. July 25, 1991 for a period of 180 days to expire on January 21, 1992
Amended Eff. May 1, 1992; December 1, 1991; August 1, 1988; July 1, 1988; December 1, 1985; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20A .0102 Applicability of Rules {#sec-04-ncac-20a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20A .0102}

History

Status: expired
Authority G.S. 143B-430(b); 20 C.F.R. 626.4; Ex. O. No. 93, June 8, 1983
Eff. July 1, 1980
Temporary Amendment Eff. July 25, 1991 for a period of 180 days to expire on January 21, 1992
Amended Eff. May 1, 1992; December 1, 1991; August 1, 1988; July 1, 1988; December 1, 1985; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20A .0103 Functions and Location of the Division {#sec-04-ncac-20a-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20A .0103}

History

Status: expired
Authority G.S. 132-1 through 132-9; 143B-430(b); 20 C.F.R. 626.1; Ex. O. No. 93, June 8, 1983
Eff. October 1, 1984
Amended Eff. May 1, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20A .0104 Requests for Information by the Public {#sec-04-ncac-20a-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20A .0104}

History

Status: expired
Authority G.S. 132-1 through 132-9; 143B-430(b); 20 C.F.R. 626.1; Ex. O. No. 93, June 8, 1983
Eff. October 1, 1984
Amended Eff. May 1, 1992
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

Subchapter B

04 NCAC 20B .0101 Designation of Service Delivery Areas {#sec-04-ncac-20b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0101}

History

Status: expired
Authority G.S. 143B-430(b); 20 C.F.R. 628.1; Ex. O. No. 93, June 8, 1983
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. August 1, 1988; July 1, 1988; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0102 Redesignation of Service Delivery Areas {#sec-04-ncac-20b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0102}

History

Status: expired
Authority G.S. 143B-430(b); 20 C.F.R. 628.1; Ex. O. No. 93, June 8, 1983
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. August 1, 1988; July 1, 1988; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0103 Reserved {#sec-04-ncac-20b-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0103}

History

Status: repealed
Legislative Objection Lodged Eff. March 9, 1983
Statutory Authority G.S. 132-1; 132-6; 143B-430(b); 150B-2(2); 150B-11; 150B-23
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. March 1, 1983; August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0104 Location {#sec-04-ncac-20b-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0104}

History

Status: repealed
Legislative Objection Lodged Eff. March 9, 1983
Statutory Authority G.S. 132-1; 132-6; 143B-430(b); 150B-2(2); 150B-11; 150B-23
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. March 1, 1983; August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0105 Requests for Information by the Public {#sec-04-ncac-20b-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0105}

History

Status: repealed
Legislative Objection Lodged Eff. March 9, 1983
Statutory Authority G.S. 132-1; 132-6; 143B-430(b); 150B-2(2); 150B-11; 150B-23
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. March 1, 1983; August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0106 Functions {#sec-04-ncac-20b-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0106}

History

Status: repealed
Legislative Objection Lodged Eff. March 9, 1983
Statutory Authority G.S. 132-1; 132-6; 143B-430(b); 150B-2(2); 150B-11; 150B-23
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. March 1, 1983; August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0107 Administrative Procedures: Complaints and Sanctions {#sec-04-ncac-20b-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0107}

History

Status: repealed
Legislative Objection Lodged Eff. March 9, 1983
Statutory Authority G.S. 132-1; 132-6; 143B-430(b); 150B-2(2); 150B-11; 150B-23
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. March 1, 1983; August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0108 General Hearing and Appeal Procedures {#sec-04-ncac-20b-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0108}

History

Status: repealed
Legislative Objection Lodged Eff. March 9, 1983
Statutory Authority G.S. 132-1; 132-6; 143B-430(b); 150B-2(2); 150B-11; 150B-23
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. March 1, 1983; August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0109 Complaints: Demonstrated Effectiveness: Contract Bids {#sec-04-ncac-20b-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0109}

History

Status: repealed
Legislative Objection Lodged Eff. March 9, 1983
Statutory Authority G.S. 143B-430(b); 150B-2(2); 150B-11; 150B-23
Eff. March 1, 1983
Repealed Eff. October 1, 1984.

04 NCAC 20B .0201 Job Training Plans for Service Delivery Areas {#sec-04-ncac-20b-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0201}

History

Status: expired
Authority G.S. 143-277; 143B-430(b); 20 C.F.R. 627.21; 20 C.F.R. 628.4; 20 C.F.R. 629.34; Ex. O. No. 93, June 8, 1983
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. August 1, 1988; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0202 Job Training Contracts by the Division {#sec-04-ncac-20b-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0202}

History

Status: expired
Authority G.S. 143-277; 143B-430(b); 20 C.F.R. 627.21; 20 C.F.R. 628.4; 20 C.F.R. 629.34; Ex. O. No. 93, June 8, 1983
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. August 1, 1988; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0203 Contract Standards {#sec-04-ncac-20b-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0203}

History

Status: expired
Authority G.S. 143-277; 143B-430(b); 20 C.F.R. 627.21; 20 C.F.R. 628.4; 20 C.F.R. 629.34; Ex. O. No. 93, June 8, 1983
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. August 1, 1988; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0204 Division Responsibilities {#sec-04-ncac-20b-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0204}

History

Status: repealed
Authority G.S. 143B-430(b) through 279; 20 C.F.R. 676.51 through 54
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0205 Technical Assistance and Monitoring {#sec-04-ncac-20b-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0205}

History

Status: repealed
Authority G.S. 143B-430(b) through 279; 20 C.F.R. 676.51 through 54
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0206 Required Reporting {#sec-04-ncac-20b-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0206}

History

Status: repealed
Authority Title VI of the Civil Rights Act of 1964; Title VII of the Civil Rights Act
of 1964, as amended by the Equal Opportunity Act of 1972; Federal Executive Order
11246, as amended by Executive Order 113.75; Comprehensive Employment and
Training Act of 1973, as amended by Public Law 93-567; 143B-430(b)
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0207 Report to the Governor on Equal Employment Opportunity {#sec-04-ncac-20b-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0207}

History

Status: repealed
Authority Title VI of the Civil Rights Act of 1964; Title VII of the Civil Rights Act
of 1964, as amended by the Equal Opportunity Act of 1972; Federal Executive Order
11246, as amended by Executive Order 113.75; Comprehensive Employment and
Training Act of 1973, as amended by Public Law 93-567; 143B-430(b)
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0208 Distribution of Reports {#sec-04-ncac-20b-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0208}

History

Status: repealed
Authority Title VI of the Civil Rights Act of 1964; Title VII of the Civil Rights Act
of 1964, as amended by the Equal Opportunity Act of 1972; Federal Executive Order
11246, as amended by Executive Order 113.75; Comprehensive Employment and
Training Act of 1973, as amended by Public Law 93-567; 143B-430(b)
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0301 Budgeting {#sec-04-ncac-20b-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0301}

History

Status: expired
Authority G.S. 143-277; 143B-430(b); 20 C.F.R. 629.41; 41 C.F.R. 29-70; OMB Circular A-102, January 1981; Ex. O. 93, June 8, 1983
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. June 1, 1985; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0302 Accounting Standards {#sec-04-ncac-20b-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0302}

History

Status: expired
Authority G.S. 143-277; 143B-430(b); 20 C.F.R. 629.41; 41 C.F.R. 29-70; OMB Circular A-102, January 1981; Ex. O. 93, June 8, 1983
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. June 1, 1985; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0303 Cost Standards {#sec-04-ncac-20b-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0303}

History

Status: expired
Authority G.S. 143-277; 143B-430(b); 20 C.F.R. 629.41; 41 C.F.R. 29-70; OMB Circular A-102, January 1981; Ex. O. 93, June 8, 1983
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. June 1, 1985; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0304 Procurement and Property Standards {#sec-04-ncac-20b-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0304}

History

Status: expired
Authority G.S. 143-277; 143B-430(b); 20 C.F.R. 629.41; 41 C.F.R. 29-70; OMB Circular A-102, January 1981; Ex. O. 93, June 8, 1983
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. June 1, 1985; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0305 Administration of the Plans {#sec-04-ncac-20b-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0305}

History

Status: repealed
Authority G.S. 143B-430(b) through 279; 20 C.F.R. 676.37:
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0306 Program Assessment {#sec-04-ncac-20b-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0306}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-395; P.L. 93-203 as amended by P.L. 93-567
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0307 Corrective Action {#sec-04-ncac-20b-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0307}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-395; P.L. 93-203 as amended by P.L. 93-567
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0401 General Personnel Standards for Subrecipients {#sec-04-ncac-20b-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0401}

History

Status: expired
Authority G.S. 126; 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 628.3; 5 C.F.R. 900, Subpart F
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0402 federal personnel standards {#sec-04-ncac-20b-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0402}

History

Status: repealed
Authority G.S. 115C, Subchapter V (Rule .0403); 126-1 (Rule .0403); 143-16; 143-16.1; 143-341; 143B-430(b); 5 C.F.R. 900, Subpart F (Rule .0402); 20 C.F.R. 629.1 (Rule .0402)
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. October 1, 1984; August 1, 1982
Repealed Eff. July 1, 2012.

04 NCAC 20B .0403 state personnel standards for subrecipients {#sec-04-ncac-20b-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0403}

History

Status: repealed
Authority G.S. 115C, Subchapter V (Rule .0403); 126-1 (Rule .0403); 143-16; 143-16.1; 143-341; 143B-430(b); 5 C.F.R. 900, Subpart F (Rule .0402); 20 C.F.R. 629.1 (Rule .0402)
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. October 1, 1984; August 1, 1982
Repealed Eff. July 1, 2012.

04 NCAC 20B .0404 Certain Political Activities Prohibited {#sec-04-ncac-20b-.0404 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0404}

History

Status: expired
Authority G.S. 143-16; 143-16.2; 143-341; 143B-430(b); 5 U.S.C. 1502(a)(3); 5 U.S.C. 1503; 20 C.F.R. 629.3
Eff. February 1, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0405 Fiscal Reporting Requirement: General {#sec-04-ncac-20b-.0405 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0405}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-395; P.L. 93-203 as amended by P.L. 93-567
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0406 Methods of Payment {#sec-04-ncac-20b-.0406 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0406}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-395; P.L. 93-203 as amended by P.L. 93-567
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0407 Invoice Procedures and Penalties {#sec-04-ncac-20b-.0407 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0407}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-395; P.L. 93-203 as amended by P.L. 93-567
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0408 Other Reporting Requirements {#sec-04-ncac-20b-.0408 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0408}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-395; P.L. 93-203 as amended by P.L. 93-567
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0409 Auditing Requirements {#sec-04-ncac-20b-.0409 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0409}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-395; P.L. 93-203 as amended by P.L. 93-567
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0410 Program Monitoring Requirements {#sec-04-ncac-20b-.0410 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0410}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-395; P.L. 93-203 as amended by P.L. 93-567
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0411 Contracts Administration Policies and Procedures Bulletin {#sec-04-ncac-20b-.0411 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0411}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-395; P.L. 93-203 as amended by P.L. 93-567
Eff. February 1, 1976
Transferred From T01: 18 Eff. September 15, 1981
Repealed Eff. August 1, 1982.

04 NCAC 20B .0412 Non-Discrimination and Equal Employment Opportunity {#sec-04-ncac-20b-.0412 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0412}

History

Status: expired
Authority G.S. 14-234; 143-16; 143-16.1; 143-341; 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 629.3
Eff. October 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0413 Nepotism Prohibited {#sec-04-ncac-20b-.0413 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0413}

History

Status: expired
Authority G.S. 14-234; 143-16; 143-16.1; 143-341; 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 629.3
Eff. October 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0501 Reporting and Records {#sec-04-ncac-20b-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0501}

History

Status: expired
Authority G.S. 143-16; 143-16.1; 143-341; 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 529.35; 20 C.F.R. 629.46; 41 C.F.R. 29-70.203
Eff. November 17, 1976
Transferred from T01: 18; Eff. September 15, 1981
Amended Eff. August 1, 1988; July 1, 1988; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0502 Evaluation {#sec-04-ncac-20b-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0502}

History

Status: expired
Authority G.S. 143-16; 143-16.1; 143-341; 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 529.35; 20 C.F.R. 629.46; 41 C.F.R. 29-70.203
Eff. November 17, 1976
Transferred from T01: 18; Eff. September 15, 1981
Amended Eff. August 1, 1988; July 1, 1988; October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0503 Meetings {#sec-04-ncac-20b-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0503}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-341; 20 C.F.R. 676.7(c)
Eff. November 17, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0504 Staff Support {#sec-04-ncac-20b-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0504}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-341; 20 C.F.R. 676.7(c)
Eff. November 17, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0601 Annual Financial and Compliance Audit {#sec-04-ncac-20b-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0601}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 629.42; OMB Circular A-102, January 1981
Eff. November 17, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0602 Audit Contracts {#sec-04-ncac-20b-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0602}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 629.42; OMB Circular A-102, January 1981
Eff. November 17, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0603 Exceptions to Audit Requirements {#sec-04-ncac-20b-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0603}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 629.42; OMB Circular A-102, January 1981
Eff. November 17, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0604 Audit Resolution Process {#sec-04-ncac-20b-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0604}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 629.42; OMB Circular A-102, January 1981
Eff. November 17, 1976
Transferred from T01: 18 Eff. September 15, 1981
Amended Eff. October 1, 1984; August 1, 1982
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0701 Membership and Functions of Council {#sec-04-ncac-20b-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0701}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 627.4; 20 C.F.R. 629.51
Eff. August 1, 1982
Amended Eff. August 1, 1988; October 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0702 Actions Against the Council or Council Members {#sec-04-ncac-20b-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0702}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 627.4; 20 C.F.R. 629.51
Eff. August 1, 1982
Amended Eff. August 1, 1988; October 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0703 Meetings {#sec-04-ncac-20b-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0703}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-341; 20 C.F.R. 679.3-5
Eff. August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0704 Staff Support {#sec-04-ncac-20b-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0704}

History

Status: repealed
Authority G.S. 143B-430(b); 143B-341; 20 C.F.R. 679.3-5
Eff. August 1, 1982
Repealed Eff. October 1, 1984.

04 NCAC 20B .0801 Cooperative Agreements {#sec-04-ncac-20b-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0801}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 627.5; 20 C.F.R. 629.21; 20 C.F.R. 629.3; P.L. 97-300, Section 125
Eff. October 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0802 State Labor Market Information System Designation {#sec-04-ncac-20b-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0802}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 627.5; 20 C.F.R. 629.21; 20 C.F.R. 629.3; P.L. 97-300, Section 125
Eff. October 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0803 Waiver Under Section 108(c) of Jtpa {#sec-04-ncac-20b-.0803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0803}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 627.5; 20 C.F.R. 629.21; 20 C.F.R. 629.3; P.L. 97-300, Section 125
Eff. October 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0804 Division Directives {#sec-04-ncac-20b-.0804 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0804}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 627.5; 20 C.F.R. 629.21; 20 C.F.R. 629.3; P.L. 97-300, Section 125
Eff. October 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0805 Sectarian Activities Prohibited {#sec-04-ncac-20b-.0805 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0805}

History

Status: expired
Authority G.S. 143B-430(b); Ex. O. 93, June 8, 1983; 20 C.F.R. 627.5; 20 C.F.R. 629.21; 20 C.F.R. 629.3; P.L. 97-300, Section 125
Eff. October 1, 1984
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20B .0901 purpose {#sec-04-ncac-20b-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0901}

History

Status: repealed
Authority G.S. 143B-438.6
Filed as a Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on January 21, 1992
Eff. December 1, 1991
Repealed Eff. July 1, 2012.

04 NCAC 20B .0902 grant applications {#sec-04-ncac-20b-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0902}

History

Status: repealed
Authority G.S. 143B-438.6
Filed as a Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on January 21, 1992
Eff. December 1, 1991
Repealed Eff. July 1, 2012.

04 NCAC 20B .0903 Allocation of Grants {#sec-04-ncac-20b-.0903 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0903}

History

Status: repealed
Filed as a Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on
January 21, 1992
Statutory Authority G.S. 143B-438.6
ARRC Objection Lodged August 22, 1991
Repealed Eff. December 1, 1991.
Editor's Note: Agency repealed rule to satisfy objection to permanent rule.

04 NCAC 20B .0904 coordination with other employment and training funds {#sec-04-ncac-20b-.0904 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0904}

History

Status: repealed
Authority G.S. 143B-438.6
Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on January 21, 1992
Eff. December 1, 1991
Repealed Eff. July 1, 2012.

04 NCAC 20B .0905 Eligibility {#sec-04-ncac-20b-.0905 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0905}

History

Status: repealed
Filed as a Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on
January 21, 1992
Statutory Authority 143B-438.6
ARRC Objection Lodged August 22, 1991
Repealed Eff. December 1, 1991.
Editor's Note: Agency repealed rule to satisfy objection to permanent rule.

04 NCAC 20B .0906 use of funds {#sec-04-ncac-20b-.0906 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0906}

History

Status: repealed
Authority G.S. 143B-438.6
Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on January 21, 1992
ARRC Objection Lodged August 22, 1991 (Rule .0907)
Eff. December 1, 1991
Repealed Eff. July 1, 2012.

04 NCAC 20B .0907 cost limitations/categories {#sec-04-ncac-20b-.0907 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0907}

History

Status: repealed
Authority G.S. 143B-438.6
Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on January 21, 1992
ARRC Objection Lodged August 22, 1991 (Rule .0907)
Eff. December 1, 1991
Repealed Eff. July 1, 2012.

04 NCAC 20B .0908 Reporting {#sec-04-ncac-20b-.0908 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0908}

History

Status: repealed
Filed as a Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on
January 21, 1992
Statutory Authority G.S. 143B-438.6
ARRC Objection Lodged August 22, 1991
Repealed Eff. December 1, 1991.
Editor's Note: Agency repealed rule to satisfy objection to permanent rule.

04 NCAC 20B .0909 Performance Standards {#sec-04-ncac-20b-.0909 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0909}

History

Status: repealed
Authority G.S. 143B-438.6
Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on January 21, 1992
ARRC Objection Lodged August 22, 1991 (Rule .0909, .0911)
Eff. December 1, 1991
Repealed Eff. July 1, 2012.

04 NCAC 20B .0910 Monitoring/Oversight {#sec-04-ncac-20b-.0910 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0910}

History

Status: repealed
Authority G.S. 143B-438.6
Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on January 21, 1992
ARRC Objection Lodged August 22, 1991 (Rule .0909, .0911)
Eff. December 1, 1991
Repealed Eff. July 1, 2012.

04 NCAC 20B .0911 Fund Availability/Redistribution {#sec-04-ncac-20b-.0911 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20B .0911}

History

Status: repealed
Authority G.S. 143B-438.6
Temporary Adoption Eff. July 25, 1991 for a period of 180 days to expire on January 21, 1992
ARRC Objection Lodged August 22, 1991 (Rule .0909, .0911)
Eff. December 1, 1991
Repealed Eff. July 1, 2012.

Subchapter C

04 NCAC 20C .0101 Administrative Procedures Generally {#sec-04-ncac-20c-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20C .0101}

History

Status: expired
Authority G.S. 143B-20; 143B-430(b); 150B; 20 C.F.R. 626.2(b); 20 C.F.R. 629.52; 20 C.F.R. 629.58; 29 C.F.R. 31.7; 29 C.F.R. 32.45(b); Section 504, Rehabilitation Act; Ex. O. 93, June 8, 1983; JTPA S 144
Eff. July 1, 1980
Amended Eff. May 1, 1992; August 1, 1988; October 1, 1986; February 1, 1986; October 1, 1984; March 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20C .0102 Procedures for Administrative Review {#sec-04-ncac-20c-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20C .0102}

History

Status: expired
Authority G.S. 143B-20; 143B-430(b); 150B; 20 C.F.R. 626.2(b); 20 C.F.R. 629.52; 20 C.F.R. 629.58; 29 C.F.R. 31.7; 29 C.F.R. 32.45(b); Section 504, Rehabilitation Act; Ex. O. 93, June 8, 1983; JTPA S 144
Eff. July 1, 1980
Amended Eff. May 1, 1992; August 1, 1988; October 1, 1986; February 1, 1986; October 1, 1984; March 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20C .0103 Procedures for Division Review {#sec-04-ncac-20c-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20C .0103}

History

Status: expired
Authority G.S. 143B-20; 143B-430(b); 150B; 20 C.F.R. 626.2(b); 20 C.F.R. 629.52; 20 C.F.R. 629.58; 29 C.F.R. 31.7; 29 C.F.R. 32.45(b); Section 504, Rehabilitation Act; Ex. O. 93, June 8, 1983; JTPA S 144
Eff. July 1, 1980
Amended Eff. May 1, 1992; August 1, 1988; October 1, 1986; February 1, 1986; October 1, 1984; March 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20C .0104 Procedures for Grievances {#sec-04-ncac-20c-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20C .0104}

History

Status: expired
Authority G.S. 143B-20; 143B-430(b); 150B; 20 C.F.R. 626.2(b); 20 C.F.R. 629.52; 20 C.F.R. 629.58; 29 C.F.R. 31.7; 29 C.F.R. 32.45(b); Section 504, Rehabilitation Act; Ex. O. 93, June 8, 1983; JTPA S 144
Eff. July 1, 1980
Amended Eff. May 1, 1992; August 1, 1988; October 1, 1986; February 1, 1986; October 1, 1984; March 1, 1983
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

04 NCAC 20C .0105 Direct Appeals to the Secretary {#sec-04-ncac-20c-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20C .0105}

History

Status: repealed
Authority G.S. 143B-430(b); 150B; Ex. O. 93, June 8, 1983; 20 C.F.R. 620.51
20 C.F.R. 629.58
Eff. March 1, 1983
Amended Eff. February 1, 1986; October 1, 1984
Repealed Eff. August 1, 1988.

04 NCAC 20C .0106 Sanctions {#sec-04-ncac-20c-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 20C .0106}

History

Status: expired
Authority G.S. 143B-430(b); 150B; Articles 3 and 4; Ex. O. 93, June 8, 1983; JTPA S 164; 20 C.F.R. 629.44
Eff. October 1, 1984
Amended Eff. August 1, 1988
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. April 27, 2019
Expired Eff. November 1, 2024 pursuant to G.S. 150B-21.3A.

Chapter 24 Employment Security

Subchapter A

04 NCAC 24A .0101 Office Location {#sec-04-ncac-24a-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0101}

The administrative office of the North Carolina Department of Commerce, Division of Employment Security (hereinafter "DES" or "The Division") is located at 700 Wade Avenue, in Raleigh, North Carolina. The general mailing address is Post Office Box 25903, Raleigh, NC 27611-5903. The office is open to the public during business hours, from 8:00 a.m. to 5:00 p.m., Monday through Friday, except for State holidays as set forth in 25 NCAC 01E .0901, including subsequent amendments and editions.

History

Authority G.S. 96-4
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24A .0102 Address Changes and Electronic Address Changes {#sec-04-ncac-24a-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0102}

(a) Each employing unit that has or had individuals in employment as defined in G.S. 96-1 shall notify DES in writing of any change to its mailing address. This notice shall be transmitted by facsimile, via the internet on the DES website, or by postal mail within seven days after the effective date of the change. All notices shall be submitted to the Tax Administration Section, Attn: Address Change by mail to Post Office Box 26504, Raleigh, North Carolina, 27611-6504, facsimile to (919) 733-1255, or email to des.tax.customerservice@nccommerce.com.

(b) Each claimant with an active claim or who is registered for work at a public employment office, shall notify DES in writing of any change in address or electronic mail address within seven days after the effective date of the change. All notices shall be submitted to the DES Customer Call Center, Attn: Address Change, by mail to Post Office Box 25903, Raleigh, NC 27611-5903, facsimile to (919) 857-1296, or email to des.ui.customerservice@nccommerce.com. Claimants may also make and submit address and electronic mail address changes from their home page in the Southeast Consortium Unemployment Benefits Integration (SCUBI) system.

(c) Each claimant who is liable to DES for an overpayment of benefits, shall notify DES by facsimile, via the DES website, or by postal mail of any change of address within seven days after the effective date of the change. All notices of overpayment address changes shall be submitted to the Benefits Integrity Unit, Attn: Overpayment Address Change by mail to Post Office Box 25903, Raleigh, NC 27611-5903, facsimile to (919) 733-1369, or email to des.ui.bpc@nccommerce.com.

History

Authority G.S. 96-4; 96-40; 20 C.F.R. 640.1
Eff. July 1, 2015
Amended Eff. July 1, 2018; September 1, 2017.

04 NCAC 24A .0103 Addresses for Notice and Electronic Notice {#sec-04-ncac-24a-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0103}

(a) In all transactions requiring notice by G.S. 96 or these Rules, DES shall provide notice to a claimant's or employer's last known address as reflected in its official records.

(b) Except as provided in this Chapter, DES shall mail notice of an initial claim to the employer at one of the following addresses:

(1) the address of the employer for which the claimant last worked;

(2) if the employer has more than one branch or division at different locations, the address of the branch or division for which the claimant last worked; or

(3) an address designated by the employer as reflected in DES's official records.

(1) A claimant who consents to receive communication by electronic transmission may withdraw consent at any time by providing DES with a written withdrawal of consent.

(2) Any communication that was sent to a claimant by electronic transmission before the withdrawal of consent shall be effective as an electronic transmission.

(3) Except as provided in Paragraph (f) of this Rule, withdrawal of consent to receive communication by electronic transmission shall become effective on the date that DES receives the written withdrawal of consent.

(d) A claimant who elects to receive communications by electronic transmission shall provide DES with a valid email address.

(1) DES shall validate each email address by sending a notification containing a hyperlink to the email address provided by the claimant. The email sent by DES shall require the claimant to click on the hyperlink in the email in order to navigate to SCUBI to complete validation.

(2) After a claimant validates the email address, DES shall provide all communication by electronic transmission, including determinations, requests for information, notices, and decisions. For each action taken on an account, DES shall notify each claimant by email that an action was taken, and shall direct the claimant to log into his or her SCUBI account.

(e) A claimant who elects to receive communication from DES by electronic transmission shall not receive communication from DES by mail, unless the communication transmitted to the claimant's email address is returned to DES as undeliverable.

(1) When an electronic communication is returned to DES as undeliverable, DES shall suspend communications by electronic transmission to the claimant's email address, and shall place an alert on the claimant's SCUBI home page. The alert shall notify the claimant:

(A) that electronic transmissions to his or her email address have been suspended;

(B) to contact the Customer Call Center to update his or her mailing and email addresses as provided in 04 NCAC 24A .0102; and

(2) Upon suspension of electronic transmissions to the claimant, DES shall send all communications to the claimant by first class mail.

(3) A claimant who elected to receive communications by electronic transmissions from DES, and who desires to continue receiving electronic communications, but instead receives postal mail, shall contact the Customer Call Center by phone at (888) 737-0259 or facsimile at (919) 250-4315 to provide a valid email address, and request DES to send communications by electronic transmission.

(f) Except as otherwise provided in this Chapter, DES shall use the date and time of the electronic transmission to the email address provided by the claimant, or authorized agent, as the service date for purposes of calculating the time periods for correspondence, notices, deadlines, and filings. Time periods shall be determined by the date of electronic transmission when a communication is not received by the claimant as a result of an error or omission on the part of the claimant, or agent of the claimant.

History

Authority G.S. 96-4; 96-9.2; 96-14.1; 96-15; 96-40
Eff. July 1, 2015
Amended Eff. September 1, 2017.

04 NCAC 24A .0104 Addresses for Filing Claims, Appeals, Exceptions, Requests or Protests {#sec-04-ncac-24a-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0104}

(a) Claimants shall file a claim for unemployment insurance benefits on DES's website or by telephone.

(1) The telephone number for DES's Customer Call Center for filing a new initial claim or inquiring about an existing claim is (888) 737-0259.

(2) The telephone number for filing weekly certifications is (888) 372-3453.

(b) Appeals from a Determination by Adjudicator shall be filed with the Appeals Section in SCUBI, by mail, facsimile or email.

(1) The mailing address is Post Office Box 27967, Raleigh, North Carolina 27611-7967.

(2) The facsimile number is (919) 857-1296.

(3) The email address is des.public.appeals@nccommerce.com.

(4) Correspondence and appeals submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) Appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the appeal, the docket or issue identification number of the determination being appealed, the claimant's identification number, the names of the claimant and employer, each reason for the appeal, the name of the individual filing the appeal, the official position of an individual filing the appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(c) Appeals of a Non-Fraud Overpayment Determination shall be filed with the Benefits Integrity Unit in SCUBI, by mail or facsimile.

(1) The mailing address is Post Office Box 27967, Raleigh, North Carolina 27611-7967.

(2) The facsimile number is (919) 857-1296.

(3) Correspondence submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the appeal, the docket or identification number of the determination being appealed, the claimant's identification number, the names of the claimant and employer, each reason for the appeal, the name of the individual filing the appeal, the official position of an individual filing the appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(5) Any questions regarding the contents of a Non-Fraud Overpayment Determination shall be directed to the Benefits Integrity Unit by telephone to (919) 707-1338, facsimile at (919) 857-1296, or email at des.ui.bpc@nccommerce.com.

(d) Appeals of a Fraud Overpayment Determination shall be filed with the Benefits Integrity Unit in SCUBI, by mail or facsimile.

(1) The mailing address is Post Office Box 27967, Raleigh, North Carolina 27611-7967.

(2) The facsimile number is (919) 857-1296.

(3) Correspondence submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) Any questions regarding the contents of a Fraud Overpayment Determination shall be directed to the Benefits Integrity Unit by telephone to (919) 707-1338, facsimile at (919) 857-1296, or email at des.ui.bpc@nccommerce.com.

(e) Appeals of a Monetary Determination denying a protest to a Wage Transcript and Monetary Determination shall be filed with the Tax Administration Section in SCUBI, by mail, facsimile or email.

(1) The mailing address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 733-1255.

(3) The email address is des.tax.customerservice@nccommerce.com.

(4) Correspondence and appeals submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) Appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the appeal, the docket or identification number of the determination being appealed, the claimant's identification number, the names of the claimant and employer, each reason for the appeal, the name of the individual filing the appeal, the official position of an individual filing the appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(6) Any questions regarding the contents of a determination denying a protest to a Wage Transcript and Monetary Determination shall be directed to the Wage Records Unit of the Tax Administration Section by telephone to (919) 707-1191, facsimile at (919) 733-1255, or email at des.tax.customerservice@nccommerce.com.

(f) Protests of a Wage Transcript and Monetary Determination shall be filed with the Tax Administration Section in SCUBI, by mail or facsimile.

(1) The mailing address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 733-1255.

(3) Correspondence submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Protests shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the protest, the docket or identification number of the determination being protested, the claimant's identification number, the names of the claimant and employer, each reason for the protest, the name of the individual filing the protest, the official position of an individual filing the protest on behalf of the party, and a telephone number for the party or party's legal representative.

(5) Any questions regarding the contents of a Wage Transcript and Monetary Determination shall be directed to the Wage Records Unit by telephone to (919) 707-1191, facsimile at (919) 733-1255, or email at des.tax.customerservice@nccommerce.com.

(g) Petitions for Waiver of Overpayment shall be filed with the Benefits Integrity Unit in SCUBI, by mail or facsimile.

(1) The mailing address is Post Office Box 27967, Raleigh, North Carolina 27611-7967.

(2) The facsimile number is (919) 857-1296.

(3) Correspondence submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Petitions shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the petition, docket or identification number of the overpayment determination, the claimant's identification number, the name of the claimant, each reason for the request to waive repayment of the overpayment, the name of the individual filing the petition, the official position of an individual filing the petition on behalf of the party, and a telephone number for the party or party's legal representative.

(h) Claimant Appeals of a North Carolina Department of Revenue (NCDOR) Offset Letter shall be filed with the Benefits Integrity Unit in SCUBI, by mail or facsimile.

(1) The mailing address is Post Office Box 27967, Raleigh, North Carolina 27611-7967.

(2) The facsimile number is (919) 857-1296.

(3) Correspondence regarding a claimant's NCDOR Offset Letter submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the appeal, the docket or identification number of the offset letter being appealed, the claimant's identification number, the name of the claimant, each reason for the appeal, the name of the individual filing the appeal, the official position of an individual filing the appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(5) Any questions regarding the contents of a claimant's NCDOR Offset Letter shall be directed to the Benefits Integrity Unit by telephone to (919) 707-1338, facsimile at (919) 857-1296, or email at des.ui.bpc@nccommerce.com.

(i) Employer Appeals of a North Carolina Department of Revenue (NCDOR) Offset Letter for outstanding tax debts shall be filed with the Tax Administration Section by mail or facsimile.

(1) The mailing address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 733-1255.

(3) Correspondence regarding an employer's NCDOR Offset Letter submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the appeal, the docket or identification number of the offset letter, the name of the employer, each reason for the appeal, the name of the individual filing the appeal, the official position of an individual filing the appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(5) Any questions regarding the contents of an employer's NCDOR Offset letter for outstanding tax debts shall be directed to the Tax Administration Section by facsimile at (919) 733-1255, or email at des.tax.customerservice@nccommerce.com.

(j) Claimant Requests for Reevaluation under the Treasury Offset Program (TOP) shall be filed with the Benefits Integrity Unit in SCUBI, by mail or facsimile.

(1) The mailing address is Post Office Box, 27967, Raleigh, North Carolina 27611-7697.

(2) The facsimile number is (919) 857-1296.

(3) Correspondence submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Requests shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the request, the docket or identification number of the TOP notice, the claimant's identification number, the name of the claimant, each reason for the request, the name of the individual filing the request, the official position of an individual filing the request on behalf of the party, and a telephone number or the party or party's legal representative.

(5) Claimant questions regarding TOP shall be directed to a Recovery Specialist by telephone to (919) 707-1338, or email at des.ui.bpc@nccommerce.com.

(k) Employer Requests for Reevaluation under the Treasury Offset Program (TOP) shall be filed with the Tax Administration Section by mail or facsimile.

(1) The mailing address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 733-1255.

(3) Correspondence submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Requests shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the request, the docket or identification number of the TOP notice, the name of the employer, each reason for the request, the name of the individual filing the request, the official position of an individual filing the request on behalf of the party, and a telephone number for the party or party's legal representative.

(5) Employer questions regarding TOP shall be directed to the Tax Administration Section by telephone to (919) 707-1150, facsimile at (919) 733-1255, or email at des.tax.customerservice@nccommerce.com.

(l) Appeals from an Appeals Decision shall be filed with the Board of Review in SCUBI, by mail, facsimile or email.

(1) The mailing address is Post Office Box 28263, Raleigh, North Carolina 27611-8263.

(2) The facsimile number is (919) 733-0690.

(3) The email address is des.ha.appeals@nccommerce.com.

(4) Correspondence and appeals submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(m) Protests or Appeals of Adequacy Determinations shall be filed with the Claims Unit in SCUBI, by mail or facsimile.

(1) The mailing address is Post Office Box 27967, Raleigh, North Carolina 27611-7967.

(2) The facsimile number is (919) 857-1296.

(3) Correspondence submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Protests or appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the protest or appeal, the docket or identification number of the determination being protested or appealed, the name of the employer, each reason for the protest or appeal, the name of the party filing the protest or appeal, the official position of an individual filing the protest or appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(n) Protests or Appeals of a Tax Liability Determination shall be filed with the Tax Administration Section by mail, facsimile or email.

(1) The mailing address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 715-7197.

(3) The email address is des.tax.customerservice@nccommerce.com.

(4) Correspondence and protests or appeals submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) Protests or appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the protest or appeal, the docket or identification number of the determination being appealed, the claimant's identification number, the names of the claimant and employer, each reason for the protest or appeal, the name of the individual filing the protest or appeal, the official position of an individual filing the protest or appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(o) Protests or Appeals of a Tax Rate Assignment shall be filed with the Tax Administration Section by mail, facsimile or email.

(1) The mailing address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 733-1255.

(3) The email address is des.tax.customerservice@nccommerce.com.

(4) Correspondence and protests or appeals submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) Protests or appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the protest or appeal, the docket or identification number of the rate assignment, the name and address of the employer, the employer's account number, each reason for the protest or appeal, the name of the individual filing the protest or appeal, the official position of an individual filing the protest or appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(p) Protests or Appeals of Audit Results shall be filed with the Tax Administration Section by mail, facsimile or email.

(1) The mailing address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 733-1255.

(3) The email address is des.tax.customerservice@nccommerce.com.

(4) Correspondence and protests or appeals submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) Protests or appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the protest or appeal, the docket or identification number of the result being protested or appealed, the name of the employer, each reason for the protest or appeal, the name of the individual filing the protest or appeal, the official position of an individual filing the protest or appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(q) Protests or Appeals of Tax Assessments shall be filed with the Tax Administration Section by mail, facsimile or email.

(1) The mailing address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 733-1255.

(3) The email address is des.tax.customerservice@nccommerce.com.

(4) Correspondence and protests or appeals submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) Protests or appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the protest or appeal, the docket or identification number of the assessment being protested or appealed, the name of the employer, each reason for the protest or appeal, the name of the individual filing the protest or appeal, the official position of the individual filing the protest or appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(r) Exceptions to a Tax Opinion shall be filed with the Board of Review by mail, facsimile or email.

(1) The mailing address is Post Office Box 28263, Raleigh, North Carolina 27611-8263.

(2) The facsimile number is (919) 715-7193.

(3) The email address is BOR@nccommerce.com.

(4) Correspondence and exceptions submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) Exceptions shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the exceptions, the docket or identification number of the tax opinion, the claimant's identification number, the names of the claimant and employer, the name of the individual filing the exceptions, each reason for the exceptions, the official position of an individual filing the exceptions on behalf of the party, and a telephone number for the party or party's legal representative.

(s) Requests for Non-Charging of Benefits to an employer's account, and protests or appeals of benefit charges to an employer's account shall be filed with the Claims Unit in SCUBI, by mail or facsimile.

(1) The mailing address is Post Office Box 27967, Raleigh, North Carolina 27611-7967.

(2) The facsimile number is (919) 857-1296.

(3) Correspondence, requests, protests, or appeals submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Requests for non-charging and protests or appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the request, the docket or employer's identification number, the name of the employer, each reason for the request, the name and official position of the individual filing the request, protest, or appeal, on behalf of the party, and a telephone number for the party or party's legal representative.

(t) Requests for Seasonal Determinations and Protests or Appeals of a Denial of Seasonal Assignment shall be filed with the Tax Administration Section by mail, facsimile or email.

(1) The mailing address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 715-7197.

(3) The email address is des.tax.customerservice@nccommerce.com.

(4) Correspondence and protests or appeal submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) Protests or appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the protest or appeal, the docket or identification number of the denial being appealed, the name of the employer, each reason for the protest or appeal, the name of the individual filing the protest or appeal, the official position of an individual filing the protest or appeal on behalf of the party, and a telephone number for the party or party's legal representative.

(u) Transmittal of interstate work search records and photo identification shall be filed with the Claims Unit by mail or facsimile.

(1) The mailing address is Post Office Box 27967, Raleigh, North Carolina 27611-7967.

(2) The facsimile number is (919) 857-1296.

(v) Requests for oral arguments or to reschedule oral arguments shall be filed with the Board of Review in SCUBI, by mail, facsimile or email.

(1) The mailing address is Post Office Box 28263, Raleigh, North Carolina 27611-8263.

(2) The facsimile number is (919) 733-0690.

(3) The email address is des.ha.appeals@nccommerce.com.

(4) Correspondence and requests for oral arguments submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Requests for oral arguments shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the request, the docket or issue identification number of the decision being appealed, the claimant's identification number, the names of the claimant and employer, the name and official position of the individual filing the request on behalf of the party, a telephone number for the party or party's legal representative and a statement that a copy of the request was served on the opposing party, if one exists.

(w) Employers may file Requests for Compromise of Tax Debts with DES's Tax Administration Section by mail, facsimile or email.

(1) The address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 733-1255.

(3) The email address is des.tax.customerservice@nccommerce.com.

(4) Correspondence submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) The letter shall contain the date of the request, the name of the employer, the name and official position of the individual filing the election on behalf of the employer, and a telephone number for the party or party's legal representative.

(x) Employers electing to pay reimbursements for benefits, rather than contributions, shall submit written notice of their election to DES's Tax Administration Section by mail, facsimile or email.

(1) The address is Post Office Box 26504, Raleigh, North Carolina 27611-6504.

(2) The facsimile number is (919) 733-1255.

(3) The email address is des.tax.customerservice@nccommerce.com.

(4) Correspondence submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(5) The letter shall contain the date of the notice of election, the name and address of the employer, the name and official position of the individual filing the election on behalf of the employer, and a telephone number for the party or party's legal representative.

(y) Employers shall make payments to DES by credit card, money order, electronic check, business check with funds drawn from a U.S. financial institution, cashier's check from a U.S. financial institution, automated clearing house (ACH) credit, or cash submitted in-person to DES's Tax Auditor.

(1) Payments made by money order, business check or cashier's check shall be sent by mail or delivery service to DES's Tax Administration Section, Post Office Box 26504, Raleigh, North Carolina 27611-6504, or by delivery to an agent of DES designated to accept payments in accordance with G.S. 96-10.

(2) Payments by electronic transmission, as defined in 04 NCAC 24A .0105(25), shall be made on DES's website.

(3) Payments by ACH credit shall be initiated by employers through their U.S. financial institution.

(z) Claimants shall make payments to DES by cashier's check from a U.S. financial institution, by personal check with funds drawn from a U.S. financial institution, by money order, or by credit card.

(1) Payments by mail or delivery service shall be sent to the Benefit Payment Control (BPC) Unit, Post Office Box 25903, Raleigh, North Carolina 27611-5903.

(2) Payments by credit card shall be made on DES's website, or by calling BPC at (919) 707-1338.

(aa) Payment of fees for documents, digital recordings, and transcripts shall be made by money order, cashier's check from a U.S. financial institution, or by personal or business check with funds drawn from a U.S. financial institution.

(1) An agency of state or federal government, a county, or a municipality may pay fees by bank draft.

(2) Payment shall be sent by mail to DES's Office of Finance & Budget, Post Office Box 25903, Raleigh, North Carolina 27611-5903.

(bb) Protests or Appeals from a Result of Investigation shall be filed with the Legal Services Section, ATTN: Chief Counsel, by mail or facsimile.

(1) The mailing address is Post Office Box 25903, Raleigh, North Carolina 27611-5903.

(2) The facsimile number is (919) 733-8745.

(3) Correspondence and protests or appeals submitted by email outside the SCUBI system shall not include social security numbers or employer account numbers.

(4) Protests or appeals shall be filed by a party or a party's legal representative as defined in 04 NCAC 24A .0105 and shall contain the date of the protest or appeal, the docket or identification number of the determination or result being appealed, the claimant's identification number, the names of the claimant and employer, each reason for the protest or appeal, the name of the individual filing the protest or appeal, the official position of an individual filing the protest or appeal on behalf of the party, and a telephone number for the party or party's representative.

(5) Questions regarding Results of Investigation shall be directed to the Legal Services Section by telephone to (919) 707-1025, or facsimile to (919) 733-8745.

History

Authority G.S. 75-62; 96-4; 96-9.6; 96-9.8; 96-10; 96-10.1; 96-14.1; 96-15; 96-17; 96-18; 96-40; 20 C.F.R. 603.4; 20 CFR 603.8
Eff. July 1, 2015
Amended Eff. September 1, 2017
Amended Eff. August 1, 2020; July 1, 2018.

04 NCAC 24A .0105 Definitions {#sec-04-ncac-24a-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0105}

(a) In addition to the terms defined in G.S. 96, the following definitions apply whenever these terms are used in this Chapter:

(1) "Additional claim" means the reopening of a valid initial claim for unemployment insurance benefits after a claimant, as defined in Item (16) of this Rule, ceased filing a weekly certification as defined in G.S. 96-14.9, for one or more weeks due to intervening employment. The first week of eligibility filed after a claim has been reopened shall constitute a waiting period week if all eligibility requirements set forth in G.S. 96-14.9 are met.

(2) "Agent state" means any state from which, or through which a claimant files a claim for benefits from another state.

(3) "Adjudicator" means an employee of DES appointed to conduct an informal investigation and render a determination as required by G.S. 96-15(b).

(4) "Appeal" means a submission by a party with statutory appeal rights requesting the Appeals Section of DES or the Board of Review to review a determination or decision that is adverse to that party.

(5) "Appeals Referee" or "Hearing Officer" means an attorney appointed to hear or decide an appeal from a determination by an adjudicator and issues involving the rights, status, and liabilities of an employer pursuant to the provisions of G.S. 96-4(q) or 96-15(c).

(6) "Appeals Section" means the section within DES where Appeals Referees conduct quasi-judicial administrative evidentiary hearings and make decisions in contested cases for unemployment insurance benefits. The Appeals Section also consists of support staff that assists Appeals Referees.

(7) "Application for a position" means supplying the information required by an employer to place an individual in a particular position or opening. Such information may include proof of the qualifications or license required by the position or opening, employment history, and personal information, such as full name, Social Security Number or other identification number, telephone number, and current address. An application for a position may be accomplished in whatever manner acceptable to an employer, including the completion of a designated form, the provision of a written resume, or verbally.

(8) "Authorized Representative" means an individual authorized by an employer or employing unit to act on the employer or employing unit's behalf before DES.

(9) "Base period" means as defined in G.S. 96-1(b)(3). Calendar quarters are January through March, April through June, July through September, and October through December.

(10) "Benefit week" means a period of seven consecutive calendar days, ending at 11:59 pm on Saturday.

(11) "Benefit wage credits" means wages used to determine a claimant's monetary eligibility for benefits. Benefit wage credits consist of the wages a claimant received or should have received during the claimant's base period of employment and to include those wages that were awarded and paid to the claimant after the base period pursuant to a court order; a National Labor Relations Board determination; another adjudicative agency; or by private agreement, consent, or arbitration for loss of pay because of discharge. DES shall credit the awarded wages to the quarter in which the wages should have been paid.

(12) "Board of Review" means as defined in G.S. 96-15.3 and is the body that conducts "higher authority review" of appeals arising from the decisions of the Division, tax liability hearings, and labor disputes. The Board of Review is also referred to as the "Board" or "BOR."

(13) "Calendar Period" means the 52 week period beginning with the first day of a week in which an individual first files a valid claim for benefits and registers for work. The week begins on the first Sunday preceding the initial claim filed and ends the following year at 11:59 p.m. on Saturday.

(14) "Charging cycle" means each calendar quarter following the prior reporting cycle, during which the employer's account is assessed and charged for erroneous unemployment insurance benefit payments resulting from untimely or inadequate responses, as defined in 04 NCAC 24D .0301, from the employer to particular Requests for Separation Information during that charging cycle if the employer met or exceeded the adequacy threshold in the prior reporting cycle.

(15) "Chief Appeals Referee" includes the Chief Appeals Referee's designee, unless otherwise stated.

(16) "Claimant" means an individual who files an unemployment insurance benefits claim for payments as provided in G.S. 96-14.1.

(17) "Clear and convincing evidence" means evidence indicating that the thing to be proved is highly probable or reasonably certain.

(18) "Customarily," as the term is used in G.S. 96-16, means during at least seventy-five percent of the calendar years of an observation interval.

(19) "Customary" as used in G.S. 96-15.01 means the usual and habitual number of hours worked.

(20) "Day" means a calendar day.

(21) "Delivery service" means an authorized designated carrier pursuant to Rule 4(j) of the North Carolina Rules of Civil Procedure and 26 U.S.C. 7502(f)(2).

(22) "DES website" means the internet address found at www.des.nc.gov.

(23) "Due diligence" means the measure of carefulness, precaution, attentiveness, and good judgment as to be expected from, and exercised by a reasonable and prudent person under the particular circumstances.

(24) "Effective date of a claim" means either the benefit year beginning on the Sunday preceding the payroll week ending date if the claimant is payroll attached, or the benefit year beginning on the Sunday of the calendar week within which a claimant filed a valid claim for benefits and registered for work if the claimant is not payroll attached.

(25) "Electronic transmission" means. delivery to an electronic mail address at which an individual or employer has consented to receive notices, documents, or other communications; or posting on an electronic network or site accessible by internet through use of a mobile application, computer, mobile device, tablet, or any other electronic device, and sending separate notice of the posting, or using any other delivery method to which the individual or employer has consented. Communication sent by DES electronic transmission shall be complete on transmission.

(26) "Equity and good conscience" means fairness as applied to a given set of circumstances.

(27) "Fault" means an error or defect of judgment or of conduct; any deviation from prudence or duty resulting from inattention, incapacity, perversity, bad faith, or mismanagement.

(28) "Good cause" means a legally sufficient reason.

(29) "In-person/telephone hearing" means an administrative hearing before the Appeals Section, Board of Review, or other designated Hearing Officer where at least one party or witness appears in-person, and another party or witness appears by telephone.

(30) "Interstate benefit payment plan" means the plan approved by the Interstate Conference of Employment Security Agencies under which benefits may be paid to unemployed claimants absent from the state (or states) where benefit wage credits accumulated. This Rule incorporates the United States Department of Labor's Interstate Benefit Payment Plan, Interstate Agreements, ET Handbook No. 392 app. B (2d ed. 1997) by reference and includes subsequent amendments and editions of the referenced material in accordance with G.S. 150B-21.6. Copies of the incorporated material are located at 700 Wade Avenue, in Raleigh, North Carolina, and may be obtained by request at no cost to the public as allowed under 04 NCAC 24A .0201.

(31) "Interstate claimant" means a claimant who claims benefits under the unemployment insurance law of one or more liable states through the facilities of an agent state, or directly with the liable state. The term "interstate claimant" shall not include any claimant who customarily commutes from a residence in an agent state to work in a liable state unless the Division finds that this exclusion would create an undue hardship.

(32) "Labor dispute" means a dispute between an employer and its employees about wages, hours, working conditions, or issues concerning the association or representation of persons in negotiating, fixing, maintaining, changing, or seeking to arrange terms or condition of employment, between those who could be concerned in the controversy.

(33) "Last known address" means the most recent address provided to DES by the claimant or taxpayer located in its official record, except that DES shall update addresses maintained in its official records by referring to data accumulated and maintained in the United States Postal Service (USPS) National Change of Address database that retains change of address information (NCOA Database). If the claimant or taxpayer's name and last known address in DES's official records match the claimant or taxpayer's name and previous mailing address contained in the NCOA database, the new address in the NCOA database is the taxpayer's last known address. This Rule incorporates the United States Postal Service's National Change of Address Database by reference and includes subsequent amendments and editions of the referenced material in accordance with G.S. 150B-21.6. Copies of the incorporated material are located at 700 Wade Avenue, in Raleigh, North Carolina, and may be obtained by request at no cost to the public by contacting DES as specified under 04 NCAC 24A .0201.

(34) "Legal representative" means a licensed attorney or a person supervised by a licensed attorney.

(35) "Liable state" means any state against which a claimant files a claim for benefits through another state.

(36) "NDNH" is an acronym, and means the National Directory of New Hires. NDNH is a national database of wage and employment information established by the Personal Responsibility and Work Opportunity Reconciliation Act of 1996, and operated by the federal Office of Child Support Enforcement.

(37) "Observation interval" means an interval of time including the four consecutive calendar years preceding the calendar year in which an application for a seasonal determination is made pursuant to G.S. 96-16. In the case of a newly liable employer or an employer whose operational activities have changed, the observation interval may be less than four calendar years.

(38) "Official record" means information in the records of a state or state unemployment compensation agency that pertains to the administration of the unemployment insurance program. Official records include claim information, wage information, confidential information, and unemployment compensation information as defined in 20 C.F.R. 603.2, which is incorporated by reference, and includes subsequent amendments and editions of the referenced material. This material is available, free of charge, at http://www.ecfr.gov. Official records also include information provided by a federal, state, or private entity, or a claimant or employer for reliance upon, or use by the state in administering its unemployment insurance program.

(39) "Party with appeal rights" means a party who has the right to appeal an unfavorable determination or decision pursuant to G.S. 96-4(q) and G.S. 96-15.

(40) "Public employment office" means a local office managed and operated by the Division of Workforce Solutions (DWS) of the North Carolina Department of Commerce.

(41) "Regularly recurring" means a period or periods of operational activity and shall be deemed regularly recurring if, during at least seventy-five percent of the calendar years in the observation interval, the beginning and ending dates of the period or periods do not vary more than four weeks.

(42) "Reopened claim" means the resumption of a valid initial claim following a break in filing weekly certifications during a benefit year and the break was caused by reasons other than intervening employment. The first week of eligibility following the effective date of the reopened claim shall constitute a waiting period week if all eligibility requirements set forth in G.S. 96-14.9 are met.

(43) "Reporting cycle" means the 52 week period beginning August 1st and ending July 31st the following year in which the employer's account is examined and recorded for any inadequate responses to Requests for Separation Information (NCUI 500AB).

(44) "SCUBI" is an acronym, and means the Southeast Consortium Unemployment Benefits Initiative referenced in G.S. 96-40(b)(1). SCUBI is a multi-state consortia consisting of North Carolina, South Carolina, and Georgia.

(45) "SIDES" is an acronym, and means the State Information Data Exchange System. SIDES is a secure, nationally standardized, web based system that allows electronic transmission of information requests from DES to employers or third party administrators, as well as electronic transmission of replies containing the requested information back to DES.

(46) "State" means any of the 50 states in the United States and includes the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

(47) "Valid email address" means a unique identifier for an email account that is used to send and receive messages over the internet, and is composed of three parts: the user name, the "at symbol" (@), and the domain. To be valid, an email address shall be one to which DES can send emails, and shall be provided to DES for use by the claimant, employer, legal representative, or other authorized representative of the claimant or employer. The most recent email address provided to DES shall be maintained in DES's records, as the claimant's or employer's official email address.

(48) "Wages paid" means both wages actually received by a worker, and wages "constructively paid. "Wages are constructively paid when they are credited to the account of, or set apart for a worker without any substantial restriction as to the time or manner of payment or condition upon which payment is to be made, and shall be made available so that the worker may draw upon them at any time, and payment brought within the worker's control and disposition, although not reduced to possession.

(49) "Wages payable" means wages earned but not paid.

(50) "Weekly period" means a seven day period beginning at 12:00 a.m. Sunday and ending on the following Saturday at 11:59 p.m.

History

Authority G.S. 84; 96-1; 96-4; 96-9.2; 96-9.6; 96-14.1; 96-14.9; 96-15; 96-17; 96-20
Eff. July 1, 2015
Temporary Amendment Eff. March 1, 2016
Temporary Amendment Expired December 10, 2016
Amended Eff. September 1, 2017; April 1, 2017.

04 NCAC 24A .0106 Filing/Mailing Dates and Use of Forms {#sec-04-ncac-24a-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0106}

(a) Except as otherwise provided in this Chapter, a document or form shall be filed with DES on the date the document or form is received by DES.

(b) When a filing deadline or due date for a form or payment falls on a Saturday, Sunday, or State holiday as set forth in 25 NCAC 01E .0901, the deadline or due date shall be extended to the first business day following the Saturday, Sunday, or State holiday.

(c) When determining whether a party had good cause for filing a late appeal or protest, DES shall consider the date mailed in the order listed:

(1) the postmark date or the postal meter date, where there is only one;

(2) the postmark date if there is both a postmark date and a postal meter date, if they conflict; or

(3) the date the document was delivered to a delivery service, which is equivalent to a postmark date of the United States Postal Service.

(d) A document received in an envelope bearing no legible postmark, postal meter date, or date of delivery to the delivery service shall be considered to have been sent three business days before receipt by DES, or on the date of the document, if the document date is less than three days earlier than date of receipt.

(e) If the envelope is lost after delivery to DES, the date on the document shall control. If the document is undated, DES shall deem the date the writing was sent to be three business days prior to receipt by DES, subject to sworn testimony establishing an earlier date from the sender of the writing.

(f) Except as otherwise provided in this Chapter, the date and time that DES receives a document shall be used when the document is sent by facsimile transmission or via the internet.

(g) Except as otherwise provided in this Chapter, when a document furnishes information that is sufficient to indicate the purpose or intent of the document, but is not on a form prescribed by DES, the controlling date shall be determined as described in this Section.

History

Authority G.S. 1A-1, Rule 6; 96-4
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24A .0107 Digital Signatures {#sec-04-ncac-24a-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0107}

A digital signature provided by an employing unit or claimant shall authenticate a written electronic communication sent to DES with the same force and effect as that of a manual signature by the person or individual using it. The digital signature shall have the following characteristics:

(1) unique to the person or individual using it;

(2) ability to be independently verified;

(3) under the sole control of the person or individual using it; and

(4) infeasible to change the data in the communication without invalidating the digital signature.

History

Authority G.S. 96-4; 96-9.15
Eff. July 1, 2015.

04 NCAC 24A .0108 Signatures on Reports and Forms {#sec-04-ncac-24a-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0108}

Where DES requires a signature on a report or form, the writing shall be signed by:

(1) the individual, if the person required to submit the report or form is an individual;

(2) the president, vice president, or other officer if the employing unit required to submit the report or form is a corporation;

(3) a partner, if the employing unit required to submit the report or form is a partnership or limited liability partnership;

(4) a member, if the employing unit required to submit the form is a limited liability company or professional limited liability company;

(5) an authorized member or officer having knowledge of its affairs, if the employing unit required to submit the report or form is an unincorporated organization;

(6) the fiduciary, if the employing unit required to submit the report or form is a trust or estate;

(7) an authorized representative of a governmental entity; or

(8) an agent appointed by the employing unit under a power of attorney in accordance with 04 NCAC 24A .0109.

History

Authority G.S. 96-4; 96-9.15
Eff. July 1, 2015
Amended Eff. June 1, 2022.

04 NCAC 24A .0109 Power of Attorney {#sec-04-ncac-24a-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0109}

(a) An employer may appoint an agent with authority to act on his, her, or its behalf with DES in accordance with G.S. 32C-2-214. An employer's appointment of an agent shall be made in writing in the manner prescribed by G.S. 32C-3-301, or by using the Power of Attorney and Declaration of Representative form found on DES's website.

(b) An agent appointed pursuant to a power of attorney may:

(1) complete and submit documents for filing employers' tax and wage reports;

(2) complete and submit documents regarding an employer's tax rate, contributions, and direct reimbursements;

(3) respond to benefit claims documents, including responding to requests for information about a claimant's separation or status;

(4) engage in discussions with DES representatives regarding the actions listed above; and

(5) accept or receive correspondence sent by DES regarding claims for benefits or an employer's contributions.

History

Authority G.S. 32C-2-214; 32C-3-301; 96-4; 96-9.15
Eff. July 1, 2015
Amended Eff. July 1, 2018; September 1, 2017.

04 NCAC 24A .0110 LIMITATION ON AUTHORITY GRANTED BY Power of attorney {#sec-04-ncac-24a-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0110}

(a) A representative authorized to act for a claimant or employer pursuant to a power of attorney shall not enter appeals or protests from any decisions made by an adjudicator, appeals referee, hearing officer, the Assistant Secretary, the Board of Review, or any other employee authorized to act on behalf of DES or the Board of Review, unless the representative is qualified to serve as a legal representative pursuant to G.S. 96-17(b).

(b) A representative authorized to act for a claimant or employer pursuant to a power of attorney may appear as a witness, but shall not represent the claimant or employer in any hearings conducted by DES, the Board of Review, or any employee designated to act on behalf of DES or the Board of Review.

(c) An individual authorized to act as a legal representative in a hearing before an Appeals Referee shall submit notice in writing to the Appeals Referee in accordance with 04 NCAC 24C .0302.

(d) An individual authorized to act as a legal representative in a hearing before the Board of Review, or to enter an appeal or protest before the Board of Review, shall submit notice in writing in accordance with 04 NCAC 24F .0204.

History

Authority G.S. 84-2.1; 84-4; 84-4.1; 84-5; 96-4; 96-17
Eff. September 1, 2017.

04 NCAC 24A .0201 Written Request Required {#sec-04-ncac-24a-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0201}

Any individual or employing unit requesting to inspect or copy any record containing confidential unemployment insurance information shall make the request in writing. All requests shall be submitted to the Legal Services Section, ATTN: Legal Release by mail to Post Office Box 25903, Raleigh, North Carolina, 27611-5903, by facsimile to (919) 715-7194, or by email to legal.release@nccommerce.com.

History

Authority G.S. 96-4; 20 CFR 603.5
Eff. July 1, 2015
Amended Eff. March 1, 2020; July 1, 2018.

04 NCAC 24A .0202 Clear Description of Records Required {#sec-04-ncac-24a-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0202}

(a) Each written request for unemployment insurance information shall describe the record or records sought and provide sufficient details to permit identification and location of the records.

(b) The request shall specify:

(1) the subject matter of the record;

(2) the date or approximate date that the record was made;

(3) the place where the record was made;

(4) the person or office that made the record; and

(5) any other necessary identifying details about the record, such as an account or form number.

(c) If the description is insufficient for an employee familiar with the subject area of the request to locate the record, the Chief Counsel or designee shall notify the person making the request and indicate the additional information required to locate the record.

History

History Note Authority G.S. 96-4; 20 CFR 603.5
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24A .0203 Determination as to Disclosure {#sec-04-ncac-24a-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0203}

(a) If the Chief Counsel or designee determines that the applicable law does not permit disclosure of the requested information, the Chief Counsel or designee shall provide written notification to the person making the request. The notice shall state reasons for the denial, including the applicable law prohibiting disclosure.

(b) Where there is specific information in a record that is prohibited from disclosure, the specific information shall be deleted or redacted before providing the requested record.

History

Authority G.S. 96-4; 20 CFR 603.5
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24A .0204 Release of Information to Third Party {#sec-04-ncac-24a-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0204}

(a) Upon written request, a claimant, employer, applicant, or other person who authorizes information or records to be released to a third party or person shall provide:

(1) the name of the third party or person;

(2) the address of the third party or person; and

(3) a statement that the claimant, employer, applicant, or other person authorizing the disclosure of information waives confidentiality as to the information directed to be released.

(b) An individual requesting that DES release or disclose to a third party or person the individual's quarterly wage records, including the amount of wages and names of each employer reporting wages for the individual shall:

(1) identify the third party or person by name;

(2) provide the address of the third party or person;

(3) contain a statement that the individual waives confidentiality as to the information authorized to be disclosed to the identified third party; and

(4) state that the authorization and waiver is given on the basis of informed consent as mandated by 20 CFR 603.5 and any other applicable federal regulation that may be promulgated by the U.S. Department of Labor.

History

Authority G.S. 96-4; 20 CFR 603.5
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24A .0205 Fees for Copies and Services {#sec-04-ncac-24a-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0205}

(a) Search Fees:

(1) The fee for searching DES records by authorized staff shall be four dollars and forty cents ($4.40) for each one-quarter hour or fraction thereof required to obtain the records to be searched or to search the records.

(2) If the search for requested records requires transportation of DES staff to the location of the records, or transportation of the records to DES staff at a cost of more than five dollars ($5.00), the actual transportation costs shall be added to the search time cost.

(3) If the search for requested records requires batch processing by computer, the Chief Counsel or designee shall provide an estimate of DES's cost to produce the information to the individual making the request. The amount of the estimate provided shall be based on the computer programming and other actions necessary for the batch processing. Upon consenting to the estimate provided by the Chief Counsel or designee, DES shall send an invoice for the actual cost of producing the requested information to the individual making the request.

(b) Reproduction Fees: The fees for obtaining copies of records shall be computed as follows:

(1) copying: one cent ($0.01) per page;

(2) transcription of hearing: three dollars and seventy-five cents ($3.75) per quarter hour or fraction thereof; and

(3) recording of hearing: three dollars and seventy-five cents ($3.75) per compact disk or recording.

(d) Administrative and Overhead Fees: The fee required for the time required for the Chief Counsel or designee to review a request and determine whether the request is authorized by G.S. 96-4 shall be five dollars and eighty-four cents ($5.84) for each one-quarter hour or fraction thereof. The overhead cost for processing and invoicing shall be four dollars and fifty cents ($4.50) per invoice.

(e) Any individual receiving records from DES under this Section shall be charged a minimum fee of fifteen dollars ($15.00).

History

Authority G.S. 96-4; 20 CFR 603.8
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24A .0206 Method of Payment {#sec-04-ncac-24a-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0206}

Payment of fees for the release of records unrelated to a pending matter or contested case shall be made to DES in accordance with 04 NCAC 24A .0104(aa).

History

Authority G.S. 96-4; 20 CFR 603.8
Eff. July 1, 2015
Amended Eff. August 1, 2020; July 1, 2018.

04 NCAC 24A .0207 Payment Required Before Information Release {#sec-04-ncac-24a-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0207}

(a) Payment shall accompany all requests for release of information. If payment does not accompany a request, or is insufficient to cover all fees, DES shall send an invoice for all fees due to the individual making the request, due immediately upon receipt.

(b) If the search for requested records exceeds the minimum fee under 04 NCAC 24A .0205, the Chief Counsel or designee shall provide an estimate of DES's cost to produce the information to the individual making the request. Upon consenting to the estimate provided by the Chief Counsel or designee, DES shall send an invoice for the actual cost of producing the requested information to the individual making the request. Payment shall be due immediately, as set forth in Paragraph (a) of this Rule.

(c) When exigent circumstances require the immediate release of information to local, state, or federal law enforcement officials, DES shall release the information upon receipt of a written assurance demonstrating a guaranty of future payment from the law enforcement official making the request.

History

Authority G.S. 96-4; 20 CFR 603.8
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24A .0301 Right to Petition {#sec-04-ncac-24a-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0301}

(a) The petition shall be in writing and contain the following information:

(1) the subject area to which the petition is directed;

(2) a draft of the proposed or amended rule;

(3) the reason for the proposal;

(4) the effect of the requested rule change;

(5) any data supporting the proposal;

(6) the name and address of each petitioner; and

(7) the date.

(b) Any person submitting a petition requesting the adoption, amendment, or repeal of a rule under this Chapter shall address the petition to the Rules Coordinator, Attn: DES Legal Services Section, Post Office Box 25903, Raleigh, North Carolina 27611-5903.

History

Authority G.S. 96-4; 150B-20
Eff. July 1, 2015.

04 NCAC 24A .0302 Disposition of Petition {#sec-04-ncac-24a-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0302}

(a) Upon receipt of a petition, the Secretary of Commerce, or designee shall review the petition to determine whether the public interest would be served by granting the request.

(b) Within 30 days of receiving the petition, the Secretary or designee shall make a decision on the petition and inform the petitioner by mailing:

(1) a written denial of the petition and the reason for the denial; or

(2) written notice to the petitioner that the Secretary or designee will initiate a rule-making proceeding as required by G.S. 150B-20(c).

(c) Each determination granting or denying a petition shall include a statement that the Secretary or designee's decision is a final agency decision subject to judicial review.

(d) Each determination shall include instructions for filing a request for judicial review in the superior court pursuant to G.S. 150B-45 within 30 days after receiving the determination.

History

Authority G.S. 96-4; 150B-20; 150B-45
Eff. July 1, 2015.

04 NCAC 24A .0400 reserved for future codification {#sec-04-ncac-24a-.0400 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0400}

04 NCAC 24A .0501 Written Request Required {#sec-04-ncac-24a-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0501}

(a) A party requesting a copy of file documents, a digital recording of a hearing, or a written transcript of a hearing in a matter where an appeal is pending shall submit the request in writing.

(b) A party's written request for a copy of the file documents, digital recording of the hearing, or written transcript of the hearing shall include:

(1) the name and address of the party making the request;

(2) the claimant's name, if applicable;

(3) the employer's name, if applicable;

(4) the docket or issue identification number of the case;

(5) the date of or approximate date that the record was made;

(6) the person or office that made the record; and

(7) the name and address to which the record shall be sent.

(c) When a party has requested a written transcript, any other party with appeal rights to the proceeding may request a copy of the transcript. The request shall meet the requirements of Paragraphs (a) and (b) of this Rule.

(d) The request may accompany or be included in an appeal letter. Requests may also be submitted to the Legal Services Section, ATTN: Request for Hearing Record by mail to Post Office Box 25903, Raleigh, North Carolina, 27611-5903, or by facsimile to (919) 733-8745.

(e) Requests for file documents, digital recordings, or hearing transcripts from any individual or entity who is not a party with appeal rights in the proceeding shall be evaluated pursuant to Section .0200 of this Subchapter.

(f) Requests for file documents, digital recordings, or hearing transcripts in a matter where appeal rights have expired and the decision became final shall be made in accordance with Section .0200 of this Subchapter.

History

Authority G.S. 96-4; 96-15; 20 CFR 603.5
Eff. August 1, 2020.

04 NCAC 24A .0502 Indigency {#sec-04-ncac-24a-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0502}

(a) A party who is unable to provide payment assurance with a written transcript request pursuant to 04 NCAC 24A .0501 may proceed in forma pauperis. The party may obtain a transcript if the request is accompanied by a written affidavit stating that he or she is unable to advance the required costs, and proof pursuant to Paragraph (b) of this Rule.

(b) The Chief Counsel or designee shall authorize release of the transcript to an indigent party if the person submits the required affidavit and meets one or more of the following criteria:

(1) receives electronic food and nutrition benefits;

(2) receives Work First Family Assistance;

(3) receives Supplemental Security Income (SSI);

(4) is represented by a legal services organization that has as its primary purpose the furnishing of legal services to indigent persons;

(5) is represented by private counsel working on behalf of or under the auspices of a legal services organization in accordance with Subparagraph (4) of this Paragraph; or

(6) is represented by private counsel under a written agreement to provide pro bono legal services.

History

Authority G.S. 1-110; 96-4; 96-15
Eff. August 1, 2020.

04 NCAC 24A .0503 Invoice and Fees {#sec-04-ncac-24a-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0503}

(a) A party who requests a copy of the file documents or a digital recording in a pending appeal or contested case under this Section shall be provided with the file documents and digital recording free of charge.

(b) A request for a written transcript of the hearing shall include payment assurance by stating that the requesting party will pay the fee for the transcript in accordance with 04 NCAC 24A .0104(z) or (aa). Payment is due upon receipt, but no more than 15 days after the date that the transcript was mailed or transmitted to the party.

(c) A party who requests a written transcript of a hearing but does not provide payment assurance in accordance with 04 NCAC 24A .0104(z) or (aa) shall receive a digital recording of the hearing free of charge.

(d) A party who requests a written transcript of a hearing with payment assurance as set forth in 04 NCAC 24A .0104(z) or (aa) shall receive a written transcript. An invoice for the fees charged by DES shall accompany the transcript and shall not exceed the lesser of sixty-five cents per page or sixty-five dollars ($65.00) per transcript pursuant to G.S. 96-15(f).

(e) Payment for transcripts under this Section shall include the invoice number and be made in accordance with 04 NCAC 24A .0104(z) or (aa).

History

Authority G.S. 96-4; 96-15; 20 CFR 603.8
Eff. August 1, 2020.

(a) The Chief Counsel or designee shall transmit a copy of the requested record to the requesting party by mail, unless the party requests or authorizes delivery by electronic transmission or delivery service in accordance with 04 NCAC 24A .0103.

(b) A party who files an appeal to the superior court from a decision of the Board of Review regarding the rights, liabilities, and status of an employer and complies with the requirements of G.S. 96-4 shall receive a copy of the transcript of all testimony, records, evidence, and assignment of errors free of charge when it is transmitted to the court in accordance with G.S. 96-4(q).

(c) A party who files a petition for judicial review and complies with the requirements of G.S. 96-15 shall receive a copy of the transcript and entire record under review free of charge when it is transmitted to the court in accordance with G.S. 96-15(h).

History

Authority G.S. 96-4; 96-15; 20 CFR 603.5
Eff. August 1, 2020.

04 NCAC 24A .0601 Official Forms {#sec-04-ncac-24a-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24A .0601}

(a) Unless otherwise provided, all employer forms referenced under the rules of this Chapter are available at des.nc.gov, or by contacting the Employer Call Center (ECC) as follows:

(1) mailing address is Post Office Box 26504, Raleigh, North Carolina 27611;

(2) phone number is (919) 707-1150;

(3) facsimile number is (919) 715-0780; or

(4) email address is des.tax.customerservice@nccomerce.com.

(b) Unless otherwise provided, all claimant forms referenced under the rules of this Chapter are available at des.nc.gov, or by contacting the Customer Call Center (CCC) as follows:

(1) mailing address is P.O. Box 25903, Raleigh, North Carolina 27611-5903;

(2) phone number is (888) 737-0259;

(3) facsimile number is (919) 250-4315; or

(4) email address is des.ui.customerservice@nccommerce.com.

History

Authority G.S. 96-4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .1401 Eff. August 1, 2020
Amended Eff. August 1, 2020.

Subchapter B

04 NCAC 24B .0101 Filing a Claim {#sec-04-ncac-24b-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0101}

(a) An individual shall contact DES by internet or telephone to file a valid initial claim for benefits pursuant to 04 NCAC 24A .0104(a).

(b) Prior to receiving any benefits, the claimant shall register for work with a public employment office.

(1) the claimant's name, social security number, address, telephone number, email address, and date of birth, and gender;

(2) immigration status;

(3) whether the claimant worked for the federal government or in another state during the previous two years;

(4) whether the claimant applied for or is receiving disability payments;

(5) whether the claimant was or will be paid vacation or severance and the time frame that the payment covers;

(6) whether there was a policy in effect regarding paid time off prior to the claimant's separation;

(7) whether the claimant refused work since becoming unemployed;

(8) whether the claimant filed for or is receiving benefits under any other unemployment insurance law;

(9) whether the claimant applied for or is receiving any type of retirement pension;

(10) the name and complete address of the claimant's last employer;

(11) the reason for the claimant's separation from work; and

(12) the claimant's beginning and ending dates of employment.

History

Authority G.S. 96-4; 96-14.1; 96-14.9; 96-15; 96-15.01; 20 CFR 602
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24B .0102 Alternative Filing Methods {#sec-04-ncac-24b-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0102}

A claimant shall file an initial claim, or a weekly certification for payment of benefits by mail, delivery service, or facsimile to DES's Central Office in Raleigh, North Carolina. A claimant shall file an initial claim, or a weekly certification for payment of benefits at a Division of Workforce Solutions public employment office throughout the State when hazardous or emergency conditions exist that prevent a DES representative from accepting the claim or weekly certification by telephone or internet due to inclement weather or declared natural disaster.

History

Authority G.S. 96-4; 96-14.1; 96-14.9; 96-15; 20 CFR 602
Eff. July 1, 2015.

04 NCAC 24B .0103 Weekly Certifications {#sec-04-ncac-24b-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0103}

(a) After a claimant files an initial claim and establishes a benefit year, the claimant shall file subsequent weekly certifications for payment of benefits by telephone, or internet on DES's website at intervals of no less than 7 and no more than 14 consecutive days for each week claimed.

(1) Each claimant shall file weekly certifications as prescribed under 04 NCAC 24A .0104(a).

(2) Any claimant who reports earnings that exceed the sum of his or her weekly benefit amount plus earnings allowance for three consecutive weeks shall be unable to file a weekly certification in the fourth week, and must contact DES's Customer Call Center to continue his or her claim as set forth in 04 NCAC 24A .0104(a)(1).

(3) If at any time during the benefit year, more than 14 calendar days elapse since the claimant last filed a weekly certification, the claimant shall file an additional or reopened claim for benefits as defined in 04 NCAC 24A .0105, and shall comply with all eligibility requirements.

(b) Each claimant shall:

(1) file claims and weekly certifications in accordance with the rules of this Chapter that includes the following:

(A) information required for claims filing outlined in Rule .0101 of this Section.

(B) information required for filing weekly certification, including each claimant's full name and social security number;

(2) inform DES of whether he or she worked during the previous calendar week;

(3) provide information regarding all earnings before deductions (gross) for work performed during the previous calendar week;

(4) provide information as to whether he or she received holiday, vacation, bonus, or separation pay, and the gross amount during the previous calendar week;

(5) provide information as to whether there was a policy in effect regarding paid time off prior to the claimant's separation;

(6) inform DES of whether he or she began receiving or whether there was a change in any type of retirement pension during the previous calendar week;

(7) provide information regarding whether he or she applied for or received any disability payments during the previous calendar week;

(8) provide information regarding whether he or she applied for or received workers' compensation payments during the previous calendar week;

(9) inform DES of whether he or she applied for or received unemployment insurance compensation under the law of any state or federal government agency;

(10) inform DES of whether he or she was physically able and available for work, during the previous calendar week;

(11) provide information as to whether he or she looked for work, refused work, or kept a record of work search during the previous calendar week as required by G.S. 96-14.9(e)(4);

(12) inform DES of whether he or she attended school or training during the previous calendar week, and if so, whether he or she is willing to quit school or rearrange his or her schedule to accept work;

(13) provide information as to whether he or she has quit a job or been discharged from a job since filing a claim for unemployment benefits;

(14) sign all forms for the valid initial claim or weekly certification that are filed in person, by mail, or delivery service; and

(15) submit all claims and weekly certifications as required by the Employment Security Law and this Section.

History

Authority G.S. 96-4; 96-14.1; 96-14.9; 96-15; 96-15.01
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24B .0104 Information to Be Provided to Claimants Filing a New Claim {#sec-04-ncac-24b-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0104}

A claimant filing a new claim for benefits shall be informed that:

(1) unemployment benefits are subject to federal and state income tax;

(2) he or she may elect to have federal and state income tax deducted and withheld from the payment of unemployment benefits;

(3) he or she may change a previous withholding status; and

(4) any amounts deducted and withheld for taxes shall be only after amounts are deducted and withheld under any other provisions of the Employment Security Law.

History

Authority G.S. 96-4; 96-14.2
Eff. July 1, 2015.

04 NCAC 24B .0105 Antedating {#sec-04-ncac-24b-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0105}

A valid initial claim shall be retroactively effective to the Sunday of the calendar week during which a claimant would have filed a claim if the failure to file the claim at that time includes the following:

(1) a notice of the time and place for filing a claim for benefits that should have been posted was not posted in the claimant's employment establishment;

(2) the claimant's employer coerced the claimant not to file a claim for benefits and the claimant contacted an authorized representative of DES no later than 14 days following his or her last day of work;

(3) natural disaster where the claimant works or resides; or

(4) an invalid claim was filed in good faith in another state.

History

Authority G.S. 96-4; 96-14.1; 96-15
Eff. July 1, 2015.

04 NCAC 24B .0106 Suspension of Benefits for Probation Violators Who Avoid Arrest {#sec-04-ncac-24b-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0106}

(a) Upon receipt of a valid court order resulting from a probation violation for absconsion or willful avoidance of arrest, DES shall suspend benefits pursuant to the terms outlined by the issuing judge in the order, effective beginning on the Sunday following the effective date of the order.

(b) Within seven days of receiving the order, DES shall provide written notice and reasons for the ineligibility for benefits to the claimant, the issuing court, and the North Carolina Department of Public Safety.

(1) the claimant's name;

(2) the claimant's address as contained in DES's official records and provided with the court order;

(3) the date the order was entered; and

(4) the effective date of the claimant's ineligibility for benefits.

History

Authority G.S. 15A-1345; 96-4; 96-14.1
Eff. July 1, 2015.

04 NCAC 24B .0107 Valid Job Contacts {#sec-04-ncac-24b-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0107}

(a) Each claimant who has registered for work and filed a claim for unemployment insurance benefits shall actively seek work and make the minimum valid job contacts per week as required under G.S. 96-14.9(e).

(b) For job contacts conducted on an employer's or employment website:

(1) a valid job contact is a submitted application for a position as defined in 04 NCAC 24A .0105(7);

(2) each separate and distinct position requiring a separate application, even if with the same employer, shall count as a separate job contact; and

(3) upon request by DES, each claimant shall provide verifiable proof of their job contacts, and such proof may include the claimant's record of the name of the employer, the URL or address of the website, the job title of the position for which the claimant applied, the date of submission, and the confirmation number or email.

(1) a valid job contact is a message sent to a valid e-mail address or facsimile number of an employer, or their designee, for the sole purpose of obtaining employment with that employer; and

(2) upon request by DES, each claimant shall provide verifiable proof of their job contacts, and such proof may include the claimant's record of the name of the employer, the e-mail address or facsimile number used for the contact, the name and job title of the person contacted, and the date of the contact.

(d) For job contacts conducted by telephone:

(1) a valid job contact is a verbal conversation with an employer, or their designee, for the sole purpose of obtaining employment with that employer.

(2) upon request by DES, each claimant shall provide verifiable proof of their job contacts, and such proof may include the claimant's record of the name of the employer, the telephone number used for the contact, the name and job title of the person contacted, and the date of the contact; and

(3) a message left on an answering service or a voice-mailbox shall not be a valid job contact for purposes of G.S. 96-14.9(e)(3).

(e) For job contacts conducted in person:

(1) a valid job contact is a meeting with an employer, or their designee, for the sole purpose of obtaining employment with that employer;

(2) upon request by DES, each claimant shall provide verifiable proof of their job contacts, and such proof may include the claimant's record of the name of the employer, the location at which the contact occurred, the name and job title of the person with whom the claimant met, and the date of the contact; and

(3) an in-person contact with an employer on a single day shall be considered a single contact for purposes of G.S. 96-14.9(e)(3), unless multiple applications are submitted that day for separate and distinct positions as described in Subparagraphs (b)(1) and (2) of this Rule.

(f) The following shall be considered invalid job contacts:

(1) Duplicative job contacts. A contact is duplicative when a claimant contacts the same employer regarding the same position or opening more than once during the same week with no change in the result of the contact. The following are examples of a change in the result of contact:

(A) a contact to or from an employer that occurs after an initial contact, involves scheduling an interview, and an interview is in fact scheduled; or

(B) a contact to an employer in response to a request for additional information.

(2) Contact with an employer for a job that the claimant would be unable to accept if offered. A "job that a claimant would be unable to accept if offered" means a position for which the claimant lacks the necessary knowledge, ability, or skill required for that job, as stated in the job posting or as required by applicable licensing authority.

(g) Initial registration via NCWorks shall be considered a valid job contact for the week during which the registration was completed.

(h) Union members.

(1) If a claimant customarily obtains employment through a union with a hiring hall, then weekly contact with the same shall satisfy the requirements of G.S. 96-14.9(e). Upon request by DES, each claimant shall provide verifiable proof of their job contacts, and such proof may include their union number, the address where they made contact as required by their union's reporting requirements, the name and job title of the person with whom they spoke, and the dates on which they made contact. Claimants who are members of a union with a hiring hall shall provide information about their union's reporting requirements to DES upon request.

(2) If a claimant is a member of a non-hiring hall union, then contact with the same shall be considered a single valid job contact for the week in which it occurred. Upon request by DES, each claimant shall provide verifiable proof of their job contacts, and such proof may include the claimant's record of the name of the union agent or applicable union, the address of the union or where contact was made, the name of the person with whom the claimant spoke, and the date of the contact.

(i) Longshoremen registered with their union satisfy the requirements of G.S. 96-14.9(e) by submitting on a weekly basis their union number, the address where they made contact as required by their union's reporting requirements, the name and job title of the person with whom they spoke, and the dates on which they made contact. Longshoreman shall provide information about their union's reporting requirements to DES upon request.

(j) An application to a blind job advertisement shall be considered a valid job contact for each separate and distinct position sought or employer contacted. In addition to the requirements set forth above in this Section, the claimant shall also retain, and provide to DES upon request, a copy of the blind advertisement. A copy of the blind advertisement shall be accepted by DES in lieu of the employer name, the name of the person contacted, and the job title of the person contacted if these are unavailable.

History

Authority G.S. 96-4; 96-14.9
Temporary Adoption Eff. March 1, 2016
Temporary Adoption Expired December 10, 2016
Eff. April 1, 2017.

04 NCAC 24B .0201 Registration for work {#sec-04-ncac-24b-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0201}

(a) The agent state shall register each claimant for work:

(1) who files through the agent state for work; or

(2) upon notification of a claim filed directly with the liable state, as required by the law, regulations, and procedures of the agent state.

(b) The registration shall be accepted as meeting the registration requirements of the liable state.

(c) Each agent state shall report each interstate claimant who fails to meet the registration or re-employment assistance reporting requirements of the agent state to the liable state.

History

Authority G.S. 96-4; 96-24
Eff. July 1, 2015.

04 NCAC 24B .0202 Benefit rights of interstate claimants {#sec-04-ncac-24b-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0202}

(a) If a claimant files a claim against any state, and it is determined by the state that the claimant has benefit wage credits available in the state, then claims shall be filed only against the state as long as benefit wage credits are available in that state. Once benefit wage credits become unavailable in that state, the claimant shall file claims against any other state where benefit wage credits are available.

(b) For the purposes of this Section, benefit wage credits shall be deemed to be unavailable from another state:

(1) whenever benefits have been exhausted, terminated, or postponed for an indefinite period, or the entire period in which benefits would otherwise be payable; or

(2) whenever benefits are affected by the applications of a seasonal restriction.

History

Authority G.S. 96-4; 96-15; 96-16; 96-21; 96-24; 20 CFR 616
Eff. July 1, 2015.

04 NCAC 24B .0203 Claims for benefits {#sec-04-ncac-24b-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0203}

(a) Claims for benefits or waiting-period credit filed by an interstate claimant directly with the liable state shall be filed according to the liable state's procedures. Any adjustments required to fit the type of week used by the liable state shall be made by the liable state based on consecutive claims filed.

(b) Claims shall be filed according to the agent state's regulations for intrastate claims in the same manner as provided in Rule .0101 of this Subchapter.

(1) With respect to claims for weeks of unemployment during which a claimant was not working for his regular employer, the liable state shall accept a continued claim that is filed up to one week or one reporting period late under circumstances that it considers good cause. If a claimant files more than one reporting period late, the filing shall open an additional claim, and no continued claim for a past period shall be accepted.

(2) With respect to weeks of unemployment during which a claimant is attached to his regular employer, the liable state shall accept any claim filed within the time applicable to claims under the law of the agent state.

History

Authority G.S. 96-4; 20 CFR 616
Eff. July 1, 2015.

04 NCAC 24B .0204 Determination of claims {#sec-04-ncac-24b-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0204}

(a) In connection with each claim filed by an interstate claimant, the agent state shall compile and report the facts relating to the claimant's availability for work and eligibility for benefits to the liable state.

(b) The agent state's responsibility and authority in determination of interstate claims shall be limited to investigation and reporting of relevant facts, including facts pertaining to each claimant's registration for work or reporting for re-employment assistance as required by the agent state.

History

Authority G.S. 96-4; 96-15; 20 CFR 616
Eff. July 1, 2015.

04 NCAC 24B .0205 Appellate Procedure. {#sec-04-ncac-24b-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0205}

(a) The agent state shall cooperate in taking evidence and holding hearings in interstate benefit claims appeals.

(b) The agent state shall conduct appeal hearings in disputed cases and determine timeliness using the liable

state's laws, regulations, or policies and practices. In interstate appeals where North Carolina is the liable state, timeliness of the appeal shall be determined by provisions of the Employment Security Law, 04 NCAC 24A .0106, and any DES decisions applicable to intrastate appeals.

History

Authority G.S. 96-4; 20 CFR 616
Eff. July 1, 2015.

04 NCAC 24B .0206 Canadian Claims {#sec-04-ncac-24b-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0206}

The provisions of this Section apply to all Canadian claims.

History

Authority G.S. 96-4
Eff. July 1, 2015.

04 NCAC 24B .0207 Notification of Interstate Claim {#sec-04-ncac-24b-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0207}

(a) The liable state shall notify the agent state of each initial claim, reopened claim file, claim transferred to interstate status, and each weekly claim filed from the agent state.

(b) Notice shall be provided using the Interstate Benefit Payment Plan uniform procedures and record format promulgated as written guidance by the USDOL.

(c) This Rule incorporates the United States Department of Labor's Interstate Benefit Payment Plan, Interstate Agreements, ET Handbook No. 392 app. B (2d ed. 1997) by reference and includes subsequent amendments and editions of the referenced material in accordance with G.S. 150B-21.6. Copies of the incorporated material found in the Interstate Benefit Payment Plan are located at 700 Wade Avenue, in Raleigh, North Carolina 27605, and may be obtained by request at no cost to the public by contacting DES as specified under 04 NCAC 24A .0201.

History

Authority G.S. 96-4; 20 CFR 616
Eff. July 1, 2015.

04 NCAC 24B .0301 Requirements for Claimants {#sec-04-ncac-24b-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0301}

(a) Every claimant shall register for work at www.NCWorks.gov or a public employment office in the state in which you reside, actively seek work, are available for work, and will accept suitable work unless specifically exempted by G.S. 96-14.9 or federal law.

(b) Each claimant shall make the minimum number of weekly work search contacts required by G.S. 96-14.9(e)(3).

(1) Each claimant shall maintain weekly work search contact records as required by G.S. 96-14.9(e)(4).

(2) Each claimant who receives his or her first unemployment benefit payment on or after March 1, 2014 shall have a mandatory in-person Employability Assessment Interview (EAI) with a workforce specialist at a local DWS office as a condition of continued eligibility for receipt of unemployment insurance benefits. Claimants excepted from this requirement are: Reemployment Eligibility Assessment (REA); those enrolled in and attending a Workforce Investment Act (WIA) program; attached claims; and longshoremen.

(A) The EAI shall be scheduled within four weeks of the first benefit payment to a claimant.

(B) Each claimant reporting for EAI shall be required to present a valid form of identification to DWS or their designee to establish their availability for work as required under G.S. 96-14.9. Valid identification shall be identification issued at the state or federal level and acceptable for Employment Verification (I-9) purposes, and includes the following:

(i) driver's license;

(ii) military identification;

(iii) United States Passport;

(iv) passport card;

(v) trusted traveler cards such as the NEXUS SENTRI and FAST CARDS issued by the U.S. Department of Homeland Security;

(vi) Permanent Resident Card (green card); and

(vii) Native American tribal identification card.

(C) DWS shall notify each claimant receiving an initial EAI of the date, time, and location by mail, at least 14 days in advance of the EAI.

(c) Each claimant attending an EAI shall present his or her record of work in order to receive unemployment insurance services at a DWS office.

(d) Each claimant shall actively seek suitable work as required under G.S. 96-14.9 and 20 C.F.R. 604.5 to receive unemployment benefits.

(1) Work registration at www. NCWORKS.gov alone shall be insufficient to establish that a claimant is actively seeking work.

(2) Each claimant shall seek work on their own behalf.

(3) Restrictions as to salary, hours, or working conditions that are inconsistent with the labor market pursuant to the factors outlined in G.S. 96-14.9(f) shall indicate that a claimant is not making a reasonable search for suitable work.

History

Authority G.S. 96-4; 96-14.9; 96-14.14; 96-15; 20 CFR 604
Eff. July 1, 2015.

04 NCAC 24B .0302 Record of Work and Wages of Claimants {#sec-04-ncac-24b-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0302}

(a) Each claimant who has registered for work and filed a claim for unemployment insurance benefits shall keep a record of any work performed during any day within a benefit period. Each claimant shall record all work performed, regardless of whether the work constitutes employment as defined in G.S. 96-1(12).

(b) The record of work shall include the:

(1) name and address of each individual or entity for whom the claimant worked;

(2) total remuneration earned; and

(3) the number of hours worked during the benefit period.

(c) Each claimant shall submit the record of work to DES when requested. DES shall request the record of work under the following conditions:

(1) when a claimant's availability for work is questioned by failing to meet any of the requirements under G.S. 96-14.9(d);

(2) whenever an inconsistency arises between what a claimant asserts in a work search report and what an employer reports to DES;

(3) during a claimant's eligibility for benefits review;

(4) during an audit; or

(5) when a claimant reports to a DWS office for an Employability Assessment Interview.

(d) Each interstate claimant shall transmit a copy of their record of work, including photo identification to DES via facsimile or mail as provided in 04 NCAC 24A .0104(u).

History

Authority G.S. 96-4; 96-15; 20 CFR 604
Eff. July 1, 2015.

04 NCAC 24B .0401 Determination by Adjudicator {#sec-04-ncac-24b-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0401}

Each adjudicator shall render a written determination resolving any issues related to the claim or protest under G.S. 96-15, which shall include:

(1) each issue or question involved;

(2) the docket or issue identification number of the case;

(3) the resolution of each issue;

(4) the citation of the provision of law applied to reach the resolution of each issue or question;

(5) the parties' rights to file an appeal of the determination;

(6) the statutory time period under G.S. 96-15(b)(2) within which an appeal may be filed;

(7) instructions for requesting an in-person hearing;

(8) information on filing an appeal of the determination as set forth in 04 NCAC 24A .0104(b); and

(9) notice that claims filed on or after June 30, 2013 are subject to repayment of overpayments, including those resulting from any decision that is later reversed on appeal.

History

Authority G.S. 96-4; 96-15; 20 CFR 602
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24B .0402 request for SEPARATION information from Employer {#sec-04-ncac-24b-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0402}

(a) DES shall provide requests for information regarding a claimant's separation or status to the employer's last known mailing address or email address as reflected in DES's official records. Requests shall be provided to the employer's mailing address when responding to the request by SCUBI, and to the email address when responding to the requests by SIDES.

(b) Employers shall electronically submit separation information and information regarding a claimant's employment status consistent with G.S. 96-15(b)(2) by SCUBI at www.des.nc.gov or by SIDES.

(1) DES shall provide employers using SCUBI with written instructions for submitting responses by SCUBI with the request for information.

(2) SIDES participants who elect to receive communications from SIDES shall receive written instructions for submitting responses to the request for information by email or proprietary SIDES interface software.

(c) Each employer's response in connection with a request from DES shall include the following information as applicable to a claimant's claim:

(1) last and first dates of employment;

(2) the claimant's pay rate;

(3) the gross amount of any vacation, severance, and sick pay;

(4) the beginning and ending dates covered by any separation payments;

(5) if the claimant quit the job or left work:

(A) a copy of the employee's resignation letter, if one exists; and

(B) each reason provided by the claimant to the employer for leaving work; or

(6) if the claimant was discharged:

(A) each reason for the discharge with supporting documentation and evidence; and

(B) a copy of each policy, warning, handbook, document, acknowledgment, or contract signed by the claimant that is relevant to the claimant's discharge; or

(7) if the claimant was separated due to an inability to perform the job duties and was employed less than 100 days, an explanation describing the job requirements, the claimant's inability to perform the job duties, and steps taken by the employer to assist the claimant to perform the job duties prior to discharge; or

(8) if the claimant is still employed with the employer:

(A) the terms of employment and conditions under which the claimant was hired;

(B) the number of hours per week that the claimant is currently working;

(D) with regard to any reduction of the claimant's work hours:

(i) the date the reduction took place;

(ii) reasons for the reduction; and

(iii) if the reduction is temporary, the expected date for the claimant's return to work; and

(9) any separation or status information requested by DES, or that the employer expects is necessary for DES to make a correct initial determination of the claimant's eligibility for unemployment benefits.

History

Authority G.S. 96-1; 96-4; 96-11.3; 96-11.4; 96-15; 96-15.01; 20 U.S.C. 3303
Eff. July 1, 2015
Amended Eff. September 1, 2017.

04 NCAC 24B .0501 Notice to Employer of Labor Dispute Claim {#sec-04-ncac-24b-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0501}

When a claimant files a claim for benefits that allegedly involves unemployment due to a labor dispute, DES shall notify the employer of the claim filed within 30 days of receipt.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015.

04 NCAC 24B .0502 Employer Response Requirement {#sec-04-ncac-24b-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0502}

(a) Within five days of receiving notice that a claim was filed involving unemployment due to a labor dispute, the employer shall provide the UI Director or designee, with a list containing:

(1) the names of all affected employees;

(2) the complete mailing addresses, including zip codes of all affected employees; and

(3) the social security numbers of all affected employees.

(b) The employer shall also provide the UI Director or designee, with:

(1) notice of the first day of unemployment;

(2) the reason for the labor dispute; and

(3) the place where the labor dispute is or was in progress.

History

Authority G.S. 96-4; 96-14.7; 96-15
Eff. July 1, 2015.

04 NCAC 24B .0503 Determination of Labor Dispute and Referral for Hearing {#sec-04-ncac-24b-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0503}

(a) If an issue of unemployment due to a labor dispute exists, the Chief Counsel shall refer the matter in writing to DES's Board of Review or designee for hearing.

(b) Hearings involving the issue of unemployment due to a labor dispute shall be heard upon order of the Board of Review or designee and conducted pursuant to 04 NCAC 24F .0303.

History

Authority G.S. 96-4; 96-14.7; 96-15
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24B .0504 Issues {#sec-04-ncac-24b-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0504}

The issues to be decided in labor dispute hearings may include the following:

(1) whether a labor dispute existed, and if so, identification of the beginning and ending dates of the labor dispute, or whether the dispute is ongoing;

(2) the reasons for the labor dispute;

(3) whether any individual is disqualified to receive benefits as provided in G.S. 96-14.7(b); and

(4) any other issue ordered by DES's Board of Review or designee, which shall be provided to each party in writing.

History

Authority G.S. 96-4; 96-14.7; 96-15
Eff. July 1, 2015.

04 NCAC 24B .0601 Notice Requirement for Overpayment {#sec-04-ncac-24b-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0601}

(a) A determination by DES finding an overpayment of benefits to a claimant shall contain:

(1) the date the determination was mailed or sent to the claimant by electronic transmission;

(2) reasons for the overpayment;

(3) the statutory authority under G.S. 96-18(g)(3) for seeking repayment of the overpayment;

(4) notice that the claimant may protest the overpayment determination and instructions on how to protest the overpayment determination as provided in 04 NCAC 24A .0104(c) or (d); and

(5) notice that the claimant may file a request for waiver of the overpayment in the same manner as provided in 04 NCAC 24A .0104(g).

(b) A determination notifying a claimant of an overpayment of benefits caused by the reversal of a previous decision that found the claimant eligible or not disqualified to receive benefits shall contain the same information contained in Subparagraphs (a)(1) through (3) of this Rule, and shall:

(1) have no protest rights;

(2) notify the claimant that the overpayment may only be protested by appealing the underlying decision that ruled the claimant ineligible or disqualified for benefits; and

(3) notify the claimant that DES shall not consider a request to waive repayment of an overpayment while an appeal of the underlying decision that resulted in the overpayment is pending, or until the underlying decision that resulted in the overpayment is final.

History

Authority G.S. 96-4; 96-15; 96-18
Eff. July 1, 2015
Amended Eff. August 1, 2020; October 1, 2017.

04 NCAC 24B .0602 Bill for Repayment of Overpayment {#sec-04-ncac-24b-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0602}

(a) If a claimant does not protest an overpayment determination within 30 days, the determination of overpayment shall become final. DES shall mail a bill to the claimant for the amount of the overpayment owed after a final determination or decision.

(b) The first bill shall contain:

(1) the total amount of the overpayment; and

(2) notice that repayment of an overpayment determined to be fraudulent shall not be waived.

History

Authority G.S. 96-4; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0603 Wage Audit Notice for Employers {#sec-04-ncac-24b-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0603}

(a) DES shall mail a Wage Audit Notice to an employer requesting information for investigating a potential claimant overpayment whenever a discrepancy or question to that claimant's eligibility for unemployment benefits exists. The Wage Audit Notice shall:

(1) identify the claimant whose weekly earnings information is sought;

(2) request the employer provide weekly earnings information during the specified time period; and

(3) any other information necessary to investigate the claimant's overpayment status.

(b) The employer shall respond to the Wage Audit Notice request within 15 days by mail at NC Division of Employment Security, Benefits Integrity Unit, Post Office Box 25903 Raleigh, NC 27611 or internet at www.ncesc.com.

History

Authority G.S. 96-4; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0701 Waiver of Repayment of Nonfraudulent Overpayment {#sec-04-ncac-24b-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0701}

(a) Claimants may petition DES for a waiver of non-fraud unemployment insurance overpayments as provided in Rule .0601 of this Subchapter.

(b) A request for waiver of overpayment shall be accompanied by all evidence or documents that the claimant wishes DES to consider in deciding whether to grant the waiver and a written explanation of the basis of the waiver request.

History

Authority G.S. 96-4; 96-15; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0702 Waiver of Repayment of Fraudulent Overpayment {#sec-04-ncac-24b-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0702}

DES shall not waive repayment of overpayment of any State or federal unemployment insurance benefits caused by a claimant's fraud as defined under G.S. 96-18.

History

Authority G.S. 96-4; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0703 Decision and Consideration of Waiver Petitions {#sec-04-ncac-24b-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0703}

(a) The Assistant Secretary or designee shall consider the degree of the claimant's fault in creating the overpayment and any other matters tending to show that collection of the overpayment would be against equity and good conscience. Except as provided in Rule .0704 of this Section, a claimant's present economic circumstances or present ability to repay is not relevant to whether a waiver request should be granted.

(b) The Assistant Secretary or designee shall render a written decision on the waiver request.

History

Authority G.S. 96-4; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0704 Factors in Determining Equity and Good Conscience {#sec-04-ncac-24b-.0704 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0704}

(a) DES shall consider the following factors:

(1) whether the overpayment resulted from a decision on appeal and whether there was notice to the claimant that the case had been appealed;

(2) whether there has been an affirmative finding under Subparagraph (a)(1) of this Rule regarding the claimant and the overpayment; and

(3) whether recovery of the overpayment would cause extraordinary and lasting financial hardship to the claimant resulting in the claimant's loss of or inability to obtain minimal necessities of food, medicine, and shelter; and whether the financial hardship as described may be expected to last for the foreseeable future.

(b) In applying this hardship test in the case of attempted recovery by repayment, a substantial period of time shall be 180 days, and the foreseeable future shall be no less than 360 days.

(c) In applying this hardship test in the case of proposed recoupment from other benefits, a substantial period of time and the foreseeable future is the longest potential period of benefit entitlement at the time of the request for a waiver of repayment.

(d) In making financial hardship determinations, DES shall consider all potential income sources of the claimant, the claimant's family, and all cash resources available to the claimant and the claimant's family in the time period being considered.

History

Authority G.S. 96-4; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0705 Factors in Determining Fault {#sec-04-ncac-24b-.0705 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0705}

(a) In determining whether fault exists in any overpayment of state or federal compensation, the following factors shall be considered:

(1) whether the claimant made or caused another to make a material statement or representation in connection with the application for federal compensation that resulted in the overpayment, and whether the claimant knew or should have known that the statement or representation was inaccurate;

(2) whether the claimant failed or caused another to fail to disclose or omit a material fact in connection with an application for the compensation that resulted in the overpayment, and whether the claimant knew or should have known that the fact was material;

(3) whether the claimant knew or could have been expected to know that he or she was not entitled to the compensation payment; and

(4) whether there was a determination that the overpayment was the result of fraud as defined under G.S. 96-18.

(b) If any factor in Paragraph (a) of this Rule is confirmed, recovery of the overpayment shall not be waived.

History

Authority G.S. 96-4; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0801 Duties of the Requesting State {#sec-04-ncac-24b-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0801}

The requesting state shall:

(1) send the recovering state a request for overpayment recovery assistance that shall include:

(a) certification that the overpayment is collectible under the requesting state's law;

(b) certification that the determination is final and that any rights to postpone recoupment of the benefits are exhausted or have expired;

(c) a statement of whether the state is participating in a cross-program offset by agreement with the U.S. Secretary of Labor; and

(d) a copy of the initial overpayment determination and a statement of the outstanding balance;

(2) send notice of the request to the claimant pursuant to Rule .0802 of this Section;

(3) send the recovering state a new outstanding overpayment balance whenever the requesting state receives any amount of repayment from a source other than the recovering state (e.g., interception of tax refund); and

(4) send notice of the request by a method approved by the United States Department of Labor (USDOL).

History

Authority G.S. 96-4; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0802 Duties of Recovering State {#sec-04-ncac-24b-.0802 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0802}

In recovering state or federal benefit overpayments, the recovering state shall:

(1) issue an overpayment recovery determination to the claimant that shall include the following:

(a) statutory authority for the offset;

(b) identity of the state requesting recoupment;

(d) type of overpayment, such as fraud or non-fraud;

(e) program type;

(f) total amount of offset; and

(g) amount to be offset weekly;

(2) offset any benefits to be paid for each week claimed, in the amount permitted by that state's law;

(3) prepare and forward a check payable to the requesting state, showing the amount recovered, except as provided in Rule .0803 of this Section;

(4) retain a record of the overpayment balance in its files no later than the exhaustion of benefits, end of the benefit year, exhaustion or end of an additional or extended benefit period, or other extension of benefits, whichever is later; and

(5) not redetermine the original overpayment determination.

History

Authority G.S. 96-4; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0803 Duties of Paying State {#sec-04-ncac-24b-.0803 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0803}

(a) In recovering outstanding overpayments in the transferring state, the paying state shall:

(1) offset any outstanding overpayment it receives from a transferring state prior to honoring any request from any other Interstate Reciprocal Overpayment Recovery Arrangement (IRORA) participating state; and

(2) credit deductions against the benefits paid statement, or forward a check to the transferring state as described Rule .0802 of this Section.

(b) This Rule incorporates the National Association of State Workforce Agencies' Interstate Reciprocal Overpayment Recovery Arrangement (2013) by reference and includes subsequent amendments and editions of the referenced material in accordance with G.S. 150B-21.6. Copies of the incorporated material are located at 700 Wade Avenue, in Raleigh, North Carolina, and may be obtained by request at no cost to the public by contacting DES as specified under 04 NCAC 24A .0201.

History

Authority G.S. 96-4; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0804 Withdrawals of Combined Wage Claims {#sec-04-ncac-24b-.0804 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0804}

(a) Withdrawal of a combined wage claim after benefits have been paid shall only be permitted where the combined wage claimant has repaid benefits overpaid, or authorizes the new liable state to offset the overpayment.

(1) The paying state shall issue an overpayment determination and forward a copy, together with an overpayment recovery request and an authorization to offset, with the initial claim to the new liable state.

(2) The recovering state, which is the new liable state, shall:

(A) offset the total amount of any overpayment resulting from withdrawal of a combined wage claim before releasing any payments to the claimant;

(B) offset the total amount of any overpayment resulting from withdrawal of a combined wage claim before honoring a request from any other participating state under IRORA;

(D) prepare and forward a check representing the amount recovered to the requesting state as described Rule .0802(a) of this Section.

History

Authority G.S. 96-4; 96-18
Eff. July 1, 2015.

04 NCAC 24B .0901 Setoff Debt Collection Act Notice to Claimant {#sec-04-ncac-24b-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0901}

(a) Consistent with G.S. 105A-8, DES shall provide written notice to the debtor within 10 days after receiving the debtor's refund.

(b) The notice shall include:

(1) the claimant's name;

(2) the type of debt;

(3) the amount of the refund received by DES;

(4) the total amount of the claimant's debt owed to DES;

(5) the total amount of fees, as applicable;

(6) the amount of assessed penalties, as applicable;

(7) a citation to the legal authority that permits collection of the debt through setoff;

(8) a statement of DES's intention to apply the refund against the debt;

(9) an explanation that the debt is the basis for the agency's claim to the debtor's refund;

(10) a statement of the claimant's right to contest the debt by filing a written request for a hearing;

(11) the time period and procedure for requesting a hearing pursuant to 04 NCAC 24A .0104(h);

(12) a statement that failure to request a hearing within the required time shall result in setoff of the debt;

(13) a statement of the claimant's right to request to enter into a written repayment agreement with DES;

(14) instructions for paying the debt;

(15) a mailing address where payments shall be sent;

(16) the date that the notice was mailed to the claimant; and

(17) a telephone number for the claimant to seek information regarding the notice.

(c) Claimants choosing to repay the debt after receiving notice shall make payment to DES in accordance with 04 NCAC 24A .0104(z).

History

Authority G.S. 96-4; 105A-8
Eff. July 1, 2018.

04 NCAC 24B .0902 Claimant Setoff Debt Collection Act Hearings {#sec-04-ncac-24b-.0902 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .0902}

(a) A claimant debtor may file an appeal from a notice to claim his or her State income tax refund pursuant to a North Carolina Department of Revenue Offset Letter in accordance with 04 NCAC 24A .0104(h).

(b) Rule 04 NCAC 24A .0106 shall apply in determining timeliness of an appeal.

(c) Hearings pursuant to G.S. 105A-8(b) shall be conducted consistent with the procedures prescribed in 04 NCAC 24C .0209.

History

Authority G.S. 96-4; 105A-8
Eff. July 1, 2015
Recodified from 04 NCAC 24B .0901 Eff February 1, 2018
Amended Eff. July 1, 2018.

04 NCAC 24B .1001 Notice to Claimant of Referral to Top {#sec-04-ncac-24b-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .1001}

(a) Consistent with 31 U.S.C. 3716, DES shall notify the claimant by mail of its intent to refer the debt to the Treasury Offset Program (TOP) at least 60 days before submitting the debt to TOP.

(b) The notice shall include:

(1) the claimant's name;

(2) the type of debt;

(3) the total amount of the referred debt;

(4) the total amount of the claimant's debt owed to DES;

(5) the total amount of fees, as applicable;

(6) the amount of assessed penalties, as applicable;

(7) a citation to the legal authority that permits collection of the debt through TOP;

(8) a statement of DES's intention to collect the debt through administrative offset;

(9) a statement that the claimant may request a copy of DES's records that support the debt;

(10) a statement of the claimant's right to request that DES reevaluate the debt;

(11) the time period and procedure for requesting a reevaluation pursuant to 04 NCAC 24A .0104(j);

(12) a statement that failure to request a reevaluation within the required time shall result in referral of the debt;

(13) a statement of the claimant's right to request to enter into a written repayment agreement with DES;

(14) instructions for paying the debt;

(15) a mailing address where payments shall be sent;

(16) a mailing address and facsimile number to request a reevaluation of the debt;

(17) a telephone number for the claimant to seek information regarding the notice; and

(18) the date that the notice was mailed to the claimant.

(c) Claimants choosing to repay the debt after receiving notice shall make payment to DES in accordance with 04 NCAC 24A .0104(z).

History

Authority G.S. 96-4; 96-18; 31 CFR 285; 31 U.S.C. 3716
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24B .1002 Claimant Reevaluation of Debt {#sec-04-ncac-24b-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .1002}

(a) A claimant requesting a reevaluation of his or her debt shall submit a written request to DES's Benefits Integrity Unit pursuant to 04 NCAC 24A .0104(j).

(1) The written request shall explain why the debt should not be referred to the Treasury Offset Program (TOP) for collection.

(2) The written request shall be accompanied by documents or other clear and convincing evidence that shows:

(A) the identity of the individual to whom the debt is assigned is incorrect; or

(B) the amount of the debt is inaccurate.

(b) The Assistant Secretary or designee shall consider the evidence submitted by the claimant.

(c) The Assistant Secretary or designee shall issue a written decision on the request for reevaluation. The written decision shall be mailed or sent by electronic transmission to the claimant and include the following:

(1) whether the debt shall be referred to TOP; and

(2) reasons for the decision.

History

Authority G.S. 96-4; 96-18; 31 CFR 285; 31 U.S.C. 3716
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24B .1101 NDNH Claimant NOTICE {#sec-04-ncac-24b-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .1101}

(a) When DES receives NDNH information that a claimant has returned to work, DES shall send written notice to the claimant requesting employment and wage information. The notice shall inform the claimant that:

(1) DES is conducting an audit of the claimant's claim for unemployment benefits;

(2) DES received information that the claimant may have filed, continued to file, or received

(3) DES shall request from the employer the actual wages earned for the weeks where the claimant may have been employed while claiming or receiving unemployment insurance benefits;

(4) he or she shall respond to DES with the employment and wage information requested in the notice within 14 days of the date that the notice was mailed or sent by electronic transmission to the claimant;

(5) he or she is required to report all wages earned when filing weekly certifications;

(6) an overpayment of unemployment insurance benefits may exist;

(7) the claimant may be required to repay any benefits determined to be overpaid;

(8) working, earning wages, and failing to report employment or wages may constitute fraud under G.S. 96-18;

(9) individuals may be criminally prosecuted for committing fraud; and

(10) the consequences for failing to respond to DES's request for employment information include suspension of benefit payments to determine eligibility.

(b) Each notice shall request that the claimant certify that he or she did not work for the listed employer during the specified time period, or provide and certify that the following information is true and correct:

(1) the employer's phone number;

(2) the claimant's job title;

(3) the month during which the claimant may have been hired;

(4) the first date of the claimant's employment;

(5) the last date that the claimant performed work for the employer;

(6) the claimant's starting and current rate of pay;

(7) the claimant's employment status with the employer;

(8) the claimant's pay records for the specified time period;

(9) the claimant's standard or customary work week;

(10) the total number of hours worked by the claimant for the specified weeks; and

(11) the amount and type of any other pay earned by the claimant for the specified weeks.

(c) Each notice shall provide information on how the claimant may contact DES's Benefits Integrity Unit by mail or facsimile to provide the requested employment and wage information.

History

Authority G.S. 96-14.1; 94-14.9; 96-17; 96-18
Eff. October 1, 2017.

04 NCAC 24B .1102 Ndnh Employer Notice {#sec-04-ncac-24b-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .1102}

(a) When DES receives NDNH information that a claimant has returned to work, DES shall send written notice to the potential employer requesting employment and wage information. The notice shall:

(1) inform the employer that DES is conducting an audit of the claimant's claim for unemployment benefits;

(2) specify the weeks for which the claimant may have been employed while claiming or receiving unemployment benefits;

(3) request that the employer respond to DES with the requested employment and wage information within 14 days;

(4) request that the employer certify that the claimant did not work for the employer during the specified time period, or provide and certify that the following information is true and correct:

(A) the month during which the claimant may have been hired;

(B) the first date of the claimant's employment;

(D) the claimant's starting and current rate of pay;

(E) the claimant's employment status with the employer;

(F) the claimant's original time and pay records;

(G) the manner in which the employer's pay periods are structured, including the pay period ending dates;

(H) the claimant's standard or customary work week;

(I) the total number of hours worked by the claimant for the specified weeks;

(J) the date that the claimant was paid for the specified weeks;

(K) the gross wages earned by the claimant for work performed in each specified week; and

(L) the amount and type of any other pay earned by the claimant for the specified weeks.

(b) Each notice shall provide information on how the employer may contact DES's Benefits Integrity Unit by mail or facsimile to provide the requested employment and wage information.

History

Authority G.S. 96-14.1; 94-14.9; 96-17; 96-18
Eff. October 1, 2017.

04 NCAC 24B .1103 Claimant Response to Request for Employment and Wage Information {#sec-04-ncac-24b-.1103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .1103}

(a) If a claimant fails to respond to DES's request for employment and wage information within 14 days of the date that the notice was mailed or sent by electronic transmission to the claimant, DES shall adjudicate an issue of eligibility for failure to report in accordance with 04 NCAC 24B .0401;

(b) If a claimant responds to DES's request for employment and wage information within 14 days, DES shall review information received from the claimant or employer to determine if an overpayment of unemployment insurance benefits exist.

History

Authority G.S. 96-14.9; 96-15; 96-17; 96-18
Eff. October 1, 2017.

04 NCAC 24B .1104 Employer Response to Request for Employment and Wage Information {#sec-04-ncac-24b-.1104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24B .1104}

(a) If an employer fails to respond to DES's request for employment and wage information within 14 days of the date that the request was mailed or sent by electronic transmission to the employer, such failure may result in DES's finding that the employer's response was untimely or inadequate in accordance with 04 NCAC 24D .0300.

(b) An employer's response to DES's request for employment and wage information may result in credits to, or elimination of charges to the employer's account.

History

Authority G.S. 96-11.3, 96-11.4; 96-17
Eff. October 1, 2017.

Subchapter C

04 NCAC 24C .0101 Appeal Date Established by Testimony {#sec-04-ncac-24c-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0101}

(a) A party shall be allowed to establish an appeal date earlier than a postal meter date, or the date of a document only in the face of clear and convincing evidence.

(b) When a party alleges filing an appeal that DES never received, the party shall present clear and convincing evidence of a timely filing, which may be corroborated by testimony or physical evidence linked to the appeal in question.

(c) The Appeals Referee shall allow cross-examination to establish timeliness of an appeal consistent with 04 NCAC 24A .0106.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015.

04 NCAC 24C .0102 Timeliness Exception {#sec-04-ncac-24c-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0102}

Timeliness sanctions shall be waived by the Appeals Referee when DES or an agent state representative gives misleading information on appeal rights to a party, if the party:

(1) establishes what he or she was told was misleading and how he or she was misled, pursuant to the procedures in 04 NCAC 24C .0101;

(2) identifies, if possible, the individual who misled him or her; and

(3) establishes that DES did not provide the party with any written instructions contrary to the misleading information with service of the decision being appealed.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24C .0103 Base Period Employer Denied Noncharging {#sec-04-ncac-24c-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0103}

A base period employer who was not the claimant's last employer may file an appeal from a determination denying noncharging of benefits to its account as provided in 04 NCAC 24A .0104(s). The claimant is not a party with appeal rights in this appeal.

History

Authority G.S. 96-4; 96-11.3; 96-11.4
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24C .0104 Employer Party to Determination {#sec-04-ncac-24c-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0104}

An employer may file an appeal from a determination that affects a claimant's entitlement to benefits if the employer is a party to the determination. Only one employer shall be a party with appeal rights to a proceeding.

(1) An employer named as the last employer on an initial claim shall be a party to a determination ruling on the merits of the claimant's separation from employment and other specific issues raised by the employer regarding the claimant's entitlement to benefits.

(2) An employer named as the last employer on an additional or continued claim shall be a party to a determination ruling on the merits of that additional or continued claim regarding separation from employment or other specific issues raised by the employer if the employer:

(A) was the employer named as the last employer on the claimant's initial claim; or

(B) is a base period employer whose account has been ruled subject to charging of benefits.

(3) A reimbursing employer named as the last employer on an additional or continued claim shall be a party to a determination ruling on the merits of that additional or continued claim regarding separation from employment or other specific issues raised by the employer if the employer:

(A) was the employer named as the last employer on the claimant's initial claim; or

(B) is a base period employer.

(4) If an employer, during a claimant's benefits year, provides DES with information that raises specific issues, including a potential disqualification, ineligibility, allegations of fraud, or other issues that affect a claimant's entitlement to benefits, the employer shall be a party with appeal rights to a determination ruling on the merits of the specific issue raised by the employer if the employer is:

(A) named as the last employer on the claimant's initial claim;

(B) a base period taxed employer whose account has been ruled subject to charging of benefits, even if that employer was named as the last employer on the claimant's initial claim and did not timely respond to notice of the claimant's initial claim; or

(5) An employer against whom a claimant has alleged entitlement to additional base period wages shall be a party with appeal rights to that issue.

History

Authority G.S. 96-4; 96-11.3; 96-11.4; 96-15
Eff. July 1, 2015.

04 NCAC 24C .0201 Appearance by Party {#sec-04-ncac-24c-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0201}

An appearance by a party to an appeals hearing includes offering testimony, questioning witnesses, and presenting oral arguments. A submission of written documents or observation of the proceedings shall not constitute an appearance.

(1) A party or witness shall appear by telephone when the party participates in the telephone conference call with the Appeals Referee on the date and time of the hearing and participates in the proceedings.

(2) A party or witness shall appear in person at the location on the date and times scheduled for the in-person hearing, and participate in the proceedings.

(3) An individual shall appear at an in-person/telephone hearing as provided in 04 NCAC 24C .0213 on the date and time of the hearing and participate in the proceedings.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24C .0202 Presenting and Scheduling Appealed Claims {#sec-04-ncac-24c-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0202}

A party wishing to appeal from an adjudicator's determination shall file an appeal pursuant to Rule 04 NCAC 24A .0104(b).

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24C .0203 Contents of Appeal to Appeals Section {#sec-04-ncac-24c-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0203}

A party's written appeal shall contain the following:

(1) the date of the appeal;

(2) the docket or issue identification number of the determination being appealed;

(3) the claimant's identification number;

(4) the names of the claimant and employer;

(5) each reason for the appeal;

(6) the name of the individual filing the appeal;

(7) the official position, if any, of an individual filing the appeal on behalf of the party; and

(8) a telephone number.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24C .0204 Appeals Hearing Notice {#sec-04-ncac-24c-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0204}

(a) The Appeals Section shall mail notice of the hearing to each party at least 14 days before the hearing date.

(b) A party who elects to receive correspondence and notices by electronic transmission shall receive an email notification, at least 14 days before the hearing date, indicating that the hearing notice is available in their SCUBI account.

(1) the determination appealed;

(2) the appealing party;

(3) the time of the hearing;

(4) the date of the hearing;

(5) if requested at the time of filing the appeal, the physical location of an in-person hearing;

(6) the telephone number of each party for telephone hearings;

(7) each issue, with statutory reference, to be heard and decided;

(8) the name and contact information of the designated Appeals Referee;

(9) the manner by which witnesses may offer evidence and participate in the hearing;

(10) each party's right to legal representation;

(11) instructions for requesting a rescheduling of the hearing pursuant to 04 NCAC 24C .0207;

(12) each party's right to request the issuance of a subpoena for the production of records or for individuals to appear and testify, as well as instructions for making these requests pursuant to 04 NCAC 24C .0401;

(13) instructions on how to request an in-person hearing;

(14) instructions on how to give evidence at a hearing pursuant to 04 NCAC 24C .0209;

(15) notice that documents accompanying the hearing notice are available in their SCUBI account; and

(16) instructions that if the individual's telephone number is not listed or is incorrect to contact the Appeals Referee prior to the scheduled start time of the hearing to provide the correct telephone number pursuant to 04 NCAC 24C .0205.

(d) The determination, the written appeal, the claimant's application for unemployment insurance, the employer's response to claimant's application for unemployment insurance, if any, and any documents provided to the Appeals Section with the appeal shall accompany the hearing notice. If a party desires to introduce additional documents or other evidence, e.g., audio or video recordings, photographs, or screenshots, at a hearing, the party shall submit the additional documents or other evidence to the Appeals Referee or hearing officer and to all other parties prior to the hearing in accordance with 04 NCAC 24C .0209(a), (c), and (d).

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015
Amended Eff. June 1, 2022; September 1, 2017.

04 NCAC 24C .0205 Telephone Hearings {#sec-04-ncac-24c-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0205}

(a) Hearings shall be conducted by telephone conference call, unless a request is made for an in-person hearing at the time the appeal is filed or an objection is made pursuant to Rule .0206 of this Section.

(b) The Appeals Hearing Notice will list a telephone number for each party. This is the telephone number the Appeals Referee will call unless a different telephone number is provided in accordance with this Rule.

(1) If no telephone number is listed for a party, that party shall provide a telephone number directly to the Appeals Referee prior to the scheduled start time of the hearing.

(2) If a party wishes to be called at a telephone number other than the one listed, that party shall provide a telephone number directly to the Appeals Referee prior to the scheduled start time of the hearing.

(3) If a party wishes to have witnesses called for participation in the hearing, that party shall provide the name and telephone number for each witness directly to the Appeals Referee prior to the scheduled start time of the hearing.

(c) Telephone numbers for parties and additional witnesses shall be provided to the Appeals Referee by telephone or by email. The telephone number and email address for the Appeals Referee are listed on the Appeals Hearing Notice.

(d) If a party fails to provide a telephone number to the Appeals Referee prior to the scheduled start time of the hearing, the Appeals Referee shall call the party at the telephone number listed on the Appeals Hearing Notice. If no telephone number is listed for a party, and no number has otherwise been provided in accordance with this Rule, no call will be placed to that party for the hearing.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015
Amended Eff. June 1, 2022; October 1, 2017.

04 NCAC 24C .0206 In-Person Hearings {#sec-04-ncac-24c-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0206}

(a) A party may request an in-person hearing:

(1) at the time the appeal is filed; or

(2) by filing a written objection to the telephone conference call to:

(A) the Appeals Section as provided for in 04 NCAC 24A .0104; or

(B) the designated Appeals Referee using the contact information provided on the hearing notice.

(b) If travel is required to conduct the in-person hearing, the objecting party shall be required to travel to a location convenient to the non-objecting party and where the Division regularly conducts in-person hearings as determined by the Appeals Referee based on each party's location.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015.

04 NCAC 24C .0207 Rescheduling a Hearing {#sec-04-ncac-24c-.0207 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0207}

(a) An Appeals Referee may continue a hearing for "good cause" as defined in 04 NCAC 24A .0105. In addition to the reasons set forth in G.S. 96-15(d1), the reasons for which a continuance may be granted include, but are not limited to, the following:

(1) illness; ;

(2) death of an immediate family member. Immediate family member is defined as an individual's wife, husband, mother, father, brother, sister, son, daughter, grandmother, grandfather, grandson, granddaughter, regardless of whether the relationship is a biological, adoptive, step-, half-, or in-law relationship;

(3) a need to obtain an interpreter or translator;

(4) a religious observance;

(5) jury duty;

(6) actively seeking legal representation;

(7) appearance in another proceeding before the Division or the Board of Review;

(8) active military duty;

(9) a scheduling conflict created by or to accommodate return-to-employment activities of the claimant;

(10) to accommodate the business needs of the employer;

(11) a scheduling conflict of the Appeals Referee; or

(12) based on the operation and scheduling needs of the Appeals Section.

(b) Any request for continuance by a party prior to the hearing shall be made in writing to the Appeals Referee listed on the Appeals Hearing Notice, or where applicable, Order for Continuance or Order for Adjournment. The written request shall explain the reasons the request is being sought.

(c) Unless the parties are notified by the Appeals Referee or the Appeals Section that a request for continuance has been granted, the hearing will be conducted as scheduled.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015
Amended Eff. June 1, 2022.

04 NCAC 24C .0208 Disqualification of Appeals Referee {#sec-04-ncac-24c-.0208 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0208}

(a) An Appeals Referee shall be free of any personal interest or bias in the appeal over which he or she is presiding.

(b) An Appeals Referee shall not participate in hearing an appeal in which that Appeals Referee has a personal interest in the outcome of the appeals decision.

(c) An Appeals Referee may recuse himself or herself from a hearing to avoid the appearance of impropriety or partiality.

(d) A pre-hearing challenge to the impartiality of a designated Appeals Referee shall be in writing, addressed to the Chief Appeals Referee as provided in 04 NCAC 24A .0104(b), and shall be heard and decided by the Chief Appeals Referee or designee.

(e) The Chief Appeals Referee or designee's decision on any pre-hearing challenge to the impartiality of an assigned Appeals Referee shall be in writing and mailed to the parties.

History

Authority G.S. 96-4; 96-15; 20 CFR 650.2
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24C .0209 Conduct of Hearings {#sec-04-ncac-24c-.0209 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0209}

(a) Hearings may be conducted by a Hearing Officer or an Appeals Referee, including the Chief Appeals Referee and the Deputy Chief Appeals Referee. Consistent with G.S. 96-15(f), all hearings shall be conducted in a manner to preserve the substantial rights of the parties.

(1) The parties to an appeal before an Appeals Referee have the right to present relevant and material evidence as determined by the Appeals Referee.

(2) The Appeals Referee may ask questions to develop the record as to the relevant facts, circumstances, and issues presented at the hearing.

(3) The Appeals Referee may examine parties and witnesses, and shall allow cross-examination.

(4) All issues relevant to the appeal shall be considered and ruled upon.

(b) The Appeals Referee shall give each party 10 minutes from the time of the scheduled hearing to appear for the hearing. If the appealing party fails to appear at the hearing and a continuance had not been previously granted, the Appeals Referee shall issue an Appeals Decision dismissing the appeal. If the appealing party appears and the non-appealing party fails to appear, the Appeals Referee shall proceed with the hearing .

(c) If a party wishes to introduce documents or other evidence not provided by the Appeals Section with the Appeals Hearing Notice, the party shall provide a copy to the Appeals Referee and to all other parties prior to the hearing.

(d) Any party propounding in excess of 25 pages of documents, photographs, or screen shots shall number and paginate each exhibit, and provide an index listing each exhibit and its corresponding page number, which will become part of the official record.

(e) Official notice may be taken by the Appeals Referee of all facts for which judicial notice may be taken as well as other facts within the specialized knowledge of the DES. The official notice and its source shall be stated on the record. Each party shall be given an opportunity to dispute the noticed fact by argument and submission of evidence on the record.

History

Authority G.S. 96-4; 96-15; 20 CFR 650.2
Eff. July 1, 2015
Amended Eff. June 1, 2022.

04 NCAC 24C .0210 Hearsay {#sec-04-ncac-24c-.0210 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0210}

(a) Hearsay evidence shall be accepted as credible evidence only when it:

(1) falls within the statutory or common law exceptions to the hearsay rules; or

(2) has an equivalent indicia of trustworthiness as competent evidence; and

(3) is more probative on the point for which it is offered than any other evidence which the party offering the hearsay could reasonably be expected to procure.

(b) The Appeals Referee may permit the parties to file an affidavit at the time of the hearing in the same manner as applicable to other hearsay evidence.

History

Authority G.S. 8C, Art. 8; 96-4; 96-15
Eff. July 1, 2015.

04 NCAC 24C .0211 Controlled Substance Results {#sec-04-ncac-24c-.0211 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0211}

In lieu of live testimony from a laboratory representative at a contested claims hearing, an affidavit from an authorized representative of the laboratory may be presented to prove controlled substance examination results, chain of custody, or compliance with all testing or retesting required by federal or state law.

(1) When a party desires to introduce the affidavit at the hearing, a copy of the affidavit shall be received by the party against whom the affidavit will be offered at least two days before the hearing.

(2) If the party who desires to introduce the affidavit is unable, despite reasonable efforts, to accomplish the required service within the time specified, the Appeals Referee may adjourn or continue the hearing to allow such service to be accomplished. However, the Appeals Referee shall not continue the hearing if the party against whom the affidavit is offered has refused to accept service or has taken other steps to avoid or delay receipt of the affidavit.

(3) At the hearing, the party shall offer an authenticated copy of the affidavit as an exhibit.

(4) If the party against whom the affidavit is offered objects to the entry of the affidavit into the official

record, the objecting party may request an adjournment or continuance of the hearing to subpoena the author of the affidavit. The affidavit's author shall be permitted to testify by telephone at the reconvened hearing.

(5) Once the affidavit is made a part of the official record of evidence compiled by the Appeals Referee, the Appeals Referee may, in his or her discretion, base findings of fact on the affidavit.

(6) The results of the controlled substance examination and compliance with any applicable statutory or regulatory procedural requirements shall be deemed proven if the claimant admits or stipulates to them during the hearing or by affidavit.

History

Authority G.S. 95-230; 95-231; 95-232; 95-233; 95-234; 95-235; 96-4; 96-15
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24C .0212 Contents of Appeals Decision {#sec-04-ncac-24c-.0212 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0212}

(a) The Appeals Decision shall include:

(1) the names of the individuals present for the hearing;

(2) findings of fact necessary for a resolution of the appeal;

(3) the applicable statutory provisions;

(4) conclusions of law;

(5) the name of the Appeals Referee who conducted the hearing and rendered the decision; and

(6) notice of each party's right to file an appeal of the Appeals Decision and the time period for filing an appeal.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015.

04 NCAC 24C .0213 Combination Telephone and in-Person Hearings {#sec-04-ncac-24c-.0213 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0213}

(a) The Appeals Referee may conduct an in-person/telephone hearing to avoid prejudice, to ensure security, to comply with standards for appeal promptness, or to expedite an appeal.

(b) A party may obtain an in-person/telephone hearing by filing a written objection to a telephone conference call hearing notice pursuant to 04 NCAC 24C .0205, or to an in-person hearing notice pursuant to 04 NCAC 24C .0206.

(1) The objection shall state each reason that the party objects to appearing in the manner listed in the hearing notice.

(2) The objecting party shall state the manner in which it, or its witnesses, request to appear for the hearing.

(3) This request shall be directed to the Appeals Section as provided in 04 NCAC 24A .0104(b), or to the designated Appeals Referee using the contact information provided in the hearing notice.

(c) The Appeals Referee shall consider a party's request to change its witnesses' appearance from a telephone or in-person hearing, and shall make a determination of whether the substantial rights of each party would be preserved by granting the party's request.

(d) The Appeals Referee may grant a request to change an appearance by telephone or in-person for good cause as defined in 04 NCAC 24A .0105. If the request is granted, the official hearing record shall include the written request for the change, reflect the Appeals Referee's determination that the substantial rights of each party would be preserved by granting the request, and each reason for the determination.

(e) The objecting party shall appear in person or by telephone as requested by the objecting party if the Appeals Referee grants the request.

(f) The Appeals Referee may deny a request to change a party's appearance at a hearing to telephone or in-person if:

(1) the Appeals Referee believes that the requesting party's intent is to inconvenience the opposing party or delay the proceedings;

(2) the party or witnesses request to appear by telephone, and are less than 40 miles away from an in-person hearing location; or

(3) the request is made less than 24 hours before the hearing is scheduled to begin.

(g) If a party's request for a change to a telephone or in-person hearing is denied, the Appeals Referee shall state the grounds for denial on the record, include the written request in the official records, and state the reasons for the denial in the written decision.

(h) The Appeals Referee shall notify each party of the change prior to the hearing.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2018.

04 NCAC 24C .0214 Withdrawal of Appeal {#sec-04-ncac-24c-.0214 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0214}

(a) The appealing party may request to withdraw an appeal. Any request to withdraw an appeal must be made to the Appeals Referee scheduled to conduct the hearing.

(b) A request to withdraw an appeal may be made in writing or orally.

(1) If the request is made in writing, it shall be made part of the record and include:

(A) the Appeals Docket Number;

(B) the names of parties to the appeal;

(C) the name of the individual making the request, and the individual's job title if the employer is the requesting party; and

(D) a telephone number where the individual making the request to withdraw may be reached. The written request to withdraw shall be made part of the record.

(2) If the request is made orally, it shall be recorded by the Appeals Referee using the digital recording system used to record hearings in accordance with G.S. 96-15(c).

(c) If a request to withdraw the appeal is granted, the Appeals Referee shall issue a written order. The order shall contain no right to appeal the withdrawal of the appeal.

(d) If the request to withdraw the appeal is denied, the Appeals Referee shall notify the requesting party and make an oral ruling on the record providing the information considered and the reason the request was denied. The order shall contain no right to appeal the denial of the withdrawal of the appeal.

(e) The Appeal Referee's order granting or denying the request shall be included in the official record of the case.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2018
Amended Eff. June 1, 2022.

04 NCAC 24C .0215 New Filing After Withdrawal of Appeal {#sec-04-ncac-24c-.0215 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0215}

A party who has withdrawn their appeal pursuant to 04 NCAC 24C .0214 may file a new appeal of the determination by the Adjudicator consistent with 04 NCAC 24C .0203. The refiled appeal shall be scheduled for hearing before an Appeals Referee consistent with G.S. 96-15(c). Either the DES or a party may raise the issue of timeliness if the refiled appeal is received after the appeal rights to the determination have expired. The issue of timeliness shall be determined in accordance with G.S. 96-15(b)(2).

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2018
Amended Eff. June 1, 2022.

04 NCAC 24C .0301 Administrative Proceedings {#sec-04-ncac-24c-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0301}

(a) An individual who is a party to a proceeding may represent himself or herself before an Appeals Referee.

(b) A partnership may be represented by an employee or any of the partners.

(d) An association may be represented by an employee or any of its members.

(e) A limited liability company may be represented by an employee, agent, or any of its members.

(f) Any party may be represented by a legal representative as defined in 04 NCAC 24A .0105.

History

Authority G.S. 96-4; 96-15; 96-17
Eff. July 1, 2015
Amended Eff. August 1, 2020.

04 NCAC 24C .0302 Notices, Service, and Legal Representation or Supervision by North Carolina Attorney {#sec-04-ncac-24c-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0302}

(a) Notices or certification of legal representation by an attorney licensed to practice law in this State shall be in writing and presented to the Appeals Referee to become part of the official record.

(b) Notices or certification of legal representation by an individual who is supervised by an attorney licensed to practice law in this State shall be in writing and presented to the Appeals Referee to become part of the official record, and shall contain:

(1) the name, business address, and telephone number of the supervising attorney;

(2) the supervising attorney's active North Carolina State Bar number; and

(3) the name, address, and telephone number of the person being supervised.

(c) When a party has a legal representative, all documents or information required to be provided to the party shall only be provided to the legal representative, unless otherwise instructed on the record during the hearing.

(d) An address provided to an Appeals Referee for mailing or electronic transmission of an Appeals Decision in a specific case shall not constitute a change of address with DES as set forth in 04 NCAC 24A .0102.

(e) Any information provided to a party's legal representative shall have the same force and effect as if it had been sent to the party.

History

Authority G.S. 84-4; 84-7.1; 96-4; 96-15; 96-17
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24C .0303 Admission of Out-of-State Attorney to Appear Before Appeals Referee {#sec-04-ncac-24c-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0303}

(a) Pursuant to G.S. 84-4.1, attorneys residing in and licensed to practice law in another state may seek to be admitted to practice before DES to represent a client.

(b) An out-of-state attorney seeking to practice before DES, or the North Carolina attorney with whom the out-of-state attorney associates pursuant to G.S. 84-4.1(5), shall file a motion with the Chief Appeals Referee that complies with the requirements of G.S. 84-4.1.

(c) A proposed Order Permitting Out-Of-State Attorney to Appear Pro Hac Vice, found on DES's website, shall be provided to the Chief Appeals Referee with the motion.

(d) Following review of the motion, the Chief Appeals Referee shall issue an order granting or denying the motion.

(e) Pro hac vice admission granted to practice before an Appeals Referee shall allow continued representation before the Board of Review and all administrative proceedings regarding the same matter. The Chief Appeals Referee has the discretionary authority to deny a motion for pro hac vice admission even if the motion complies with the requirements of G.S. 84-4.1.

(f) Upon receipt of an order granting a motion for pro hac vice admission to practice before an Appeals Referee, the admitted out-of-state attorney or the associated North Carolina attorney shall pay the fees required by G.S. 84-4.1 to the North Carolina State Bar and General Court of Justice, and file a statement with the Chief Appeals Referee documenting payment of the fees and the submission of any pro hac vice admission registration statement required by the North Carolina State Bar. A copy of the motion, Order, registration statement, and documentation reflecting payment of the fees shall be provided to the Appeals Referee to be included in the official hearing record.

History

Authority G.S. 84-4.1; 96-4; 96-17
Eff. July 1, 2018.

04 NCAC 24C .0401 Issuance of Subpoenas {#sec-04-ncac-24c-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0401}

(a) Subpoenas to compel the attendance of witnesses and the production of records for any appeal hearing may be issued at the direction of the designated Appeals Referee.

(1) A subpoena may be issued at the request of a party or on motion of the Appeals Referee.

(2) Any documentation showing service of the subpoena shall become part of the official hearing record.

(b) Any party's request for a subpoena to be issued by the Appeals Referee shall be in writing, sent to the Appeals Referee, and shall include:

(1) the name of the party requesting the subpoena;

(2) the claimant's name, if applicable;

(3) the employer's name, if applicable;

(4) the docket or issue identification number of the case;

(5) the name, address, and telephone number of each person sought for appearance at the hearing;

(6) the specific identification of any document, recording, or item sought, including a detailed description of where the item is located;

(7) the name and address of the individual or party in possession of any item sought; and

(8) a statement of why the testimony or evidence to be subpoenaed is necessary for a proper presentation of the case.

(c) The request shall be granted only to the extent that the items or testimony sought appears relevant to the issues on appeal.

(d) Legal representatives may issue subpoenas at their own expense only if prior consent is obtained from the designated Appeals Referee.

(e) Subpoenas shall be issued at least five business days before the date of the scheduled hearing.

(f) Service of a subpoena shall be made by delivering a copy to the person, or by registered or certified mail, return receipt requested, unless a party or witness consents to service of the subpoena by other means, including electronic transmission.

(g) Any party or person receiving a subpoena may serve a written objection to the issuance of the subpoena.

(1) The objection shall be directed to the Appeals Referee listed in the hearing notice prior to the commencement of the hearing and provide reasons for the objection and the relief sought by the objecting party.

(2) The Appeals Referee shall rule on the objection and notify the parties before the hearing. The Appeals Referee's reasons for the ruling shall be in writing or stated on the record during the hearing.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24C .0402 Objection to Subpoena {#sec-04-ncac-24c-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0402}

(a) Any party or person receiving a subpoena may serve a written objection to the issuance of a subpoena. The objection shall be addressed to the designated Appeals Referee, sent prior to the hearing, and contain the following:

(1) the reasons for the objection; and

(2) the relief sought by the objecting party.

(b) The Appeals Referee shall rule on the objection and notify the parties of the ruling before the hearing. The Appeals Referee's ruling shall be in writing or recorded as part of the official hearing record.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015.

04 NCAC 24C .0601 Post-Decision Relief {#sec-04-ncac-24c-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24C .0601}

History

Status: repealed
Authority G.S. 96-4; 96-11.4; 96-15
Eff. July 1, 2015
Temporary Repeal Eff. March 1, 2016
Temporary Repeal Expired December 10, 2016
Repealed Eff. April 1, 2017.

Subchapter D

04 NCAC 24D .0101 Notice of Claim to Employer {#sec-04-ncac-24d-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0101}

Upon receipt of a claim for benefits filed by a claimant, DES shall notify the claimant's last employer and all base period employers of the claim filed.

History

Authority G.S. 96-4; 96-11.4; 96-15
Eff. July 1, 2015.

04 NCAC 24D .0102 Notice to Employer of Potential Charges {#sec-04-ncac-24d-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0102}

(a) DES shall notify each employer in writing of potential charges to the employer's account. The notice shall contain the:

(1) date of the notice;

(2) claimant's name and social security number;

(3) date the claimant's benefit year began;

(4) claimant's weekly benefit amount and weekly earnings allowance;

(5) employer's reporting number used to report wages for the claimant;

(6) base period wages reported by the employer by calendar quarter and dollar amount;

(7) employer's percentage of total base period wages reported;

(8) maximum potential charge amount that can be applied to the employer's experience rating account if the claimant exhausts his or her benefits;

(9) a statement containing the employer's right to protest the notice; and

(10) a statement containing the employer's right to notify the Division within 15 days of the mailing date of the notice if the claimant did not work for the employer or the wages are incorrect.

(b) DES shall provide notice of potential charges to the employer's account using the following forms, as applicable:

(1) Notice of Claim and Potential Charges to Your Account;

(2) Notice of Unemployment Claim, Wages Reported and Potential Charges;

(3) Notice of Initial Claim and Potential Charges to Reimbursable Employer;

(4) Notice of Initial Claim and Potential Charges for Claimants on Temporary Layoff.

History

Authority G.S. 96-4; 96-11.1; 96-11.2; 96-11.3; 96-11.4; 96-15
Eff. July 1, 2015
Amended Eff. May 1, 2021; July 1, 2018.

04 NCAC 24D .0103 Requirements for Requesting Noncharging of Benefit Payments {#sec-04-ncac-24d-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0103}

04 NCAC 24D .0104 TIME FOR FILING REQUESTS FOR NONCHARGING

04 NCAC 24D .0105 DETRMINATION ON REQUESTS FOR NONCHARGING

05 NCAC 24D .0106 APPEALING DENIAL OF REQUEST FOR NONCHARGING

History

Authority G.S. 96-4; 96-11.1; 96-11.3, 96-11.4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .0201-.0203 Eff March 1, 2017
Amended Eff. July 1, 2018; October 1, 2017
Repealed Eff. May 1, 2021.

04 NCAC 24D .0201 Notice of Employer Quarterly Charges {#sec-04-ncac-24d-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0201}

DES shall notify each employer in writing of the quarterly list of charges to the employer's

Account using Form NC CLM 626-9 that shall contain the:

(1) date of the notice;

(2) charging quarter ending date;

(3) employer's name and mailing address;

(4) claimant's name and social security number;

(5) date the claimant's benefit year began;

(6) employer's reporting number used to report wages for the claimant;

(7) benefit charges to the employer for each listed claimant; and

(8) a statement containing the employer's right to protest the list of charges.

History

Authority G.S. 96-4; 96-11.2; 96-11.3; 96-11.4; 96-11.5; 96-15
Eff. May 1, 2021.

04 NCAC 24D .0202 Requirements for Filing Protests to List of Charges {#sec-04-ncac-24d-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0202}

An employer who protests the benefit charges to its account shall make the protest in writing within 30 days of the mailing date of Form NC CLM 626-9 to DES's Claims Unit in accordance with 04 NCAC 24A .0104(s), and shall list all grounds for the protest as prescribed under Rule .0203 of this Section.

History

Authority G.S. 96-4; 96-11.3; 96-11.4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .0103 Eff. March 1, 2017
Amended Eff. May 1, 2021; October 1, 2017.

04 NCAC 24D .0203 Grounds for Protesting List of Charges {#sec-04-ncac-24d-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0203}

An employer shall only file protests for:

(1) the reasons set forth in G.S. 96-11.3;

(2) clerical errors in the list of charges;

(3) charges resulting from individuals who were never employed by the employer; or

(4) the claimant has new separation from employment occurring between the date that the claimant's benefit year began and the last week ending date for which the claimant was paid benefits, and a base period employer did not have an opportunity to request noncharging on the subsequent separation.

History

Authority G.S. 96-4; 96-11.3; 96-11.4; 96-11.5
Eff. July 1, 2015
Recodified from 04 NCAC 24D .0105 Eff. March 1, 2017
Amended Eff. May 1, 2021; October 1, 2017.

04 NCAC 24D .0204 DES'S RESPONSIBILITIES UPON RECEIPT OF PROTEST to List of Charges {#sec-04-ncac-24d-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0204}

(a) DES shall review the employer's account charges and investigate the accuracy of the charges based on the reasons provided by the employer in the protest.

(b) Upon completion of its review, DES shall issue a written determination of its findings based on the reasons provided by the employer in the protest.

History

Authority G.S. 96-4; 96-11.4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .0106 Eff. March 1, 2017.

04 NCAC 24D .0205 Determination on Grounds Contained in Protest {#sec-04-ncac-24d-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0205}

DES's determination on the employer's protest to the list of benefit charges to its account shall contain:

(1) notice of whether the relief sought by the employer in the protest was granted or denied;

(2) any adjustments that have been made to the list of charges if the relief sought in the protest was granted, or the reasons for denial if the relief sought in the protest was denied;

(3) the date the determination was mailed or sent to the employer by electronic transmission;

(4) the employer's right to appeal the determination consistent with 04 NCAC 24C .0203;

(5) the time period within which an appeal shall be filed; and

(6) instructions for filing an appeal with DES's Claims Unit pursuant to 04 NCAC 24A .0104(s).

History

Authority G.S. 96-4; 96-11.3; 96-15
Eff. July 1, 2015
Recodified from 04 NCAC 24D .0107 Eff. March 1, 2017
Amended Eff. July 1, 2018; October 1, 2017.

04 NCAC 24D .0301 Adequacy Threshold {#sec-04-ncac-24d-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0301}

(a) An employer who establishes a pattern of failing to provide a timely response or adequate response to the Request for Separation Information (Form NCUI 500AB) under 04 NCAC 24B .0107, shall not be relieved of charges for resulting erroneous unemployment insurance benefit payments.

(b) In determining the timeliness of an employer response, DES shall consider the following:

(1) whether the response was received within 14 days pursuant to G.S. 96-15; and

(2) whether the employer had good cause for failing to respond within the 14 day period.

(1) what information was requested;

(2) whether the response to the request is sufficient to satisfy the request;

(3) whether an employer should have provided DES with copies of relevant handbooks, policies, warnings, recordings, documents, or other information related to the claim; and

(4) whether the employer's responses provide enough facts to enable an authorized DES representative to make a correct legal determination without having to contact the employer to obtain additional information.

(d) An employer who fails to submit timely or adequate responses to two or two-percent, whichever is greater, of the total requests for separation information (Form NCUI 500AB) under G.S. 96-11.4 during the reporting cycle, shall not be relieved of erroneous payments in the following charging cycle as defined under 04 NCAC 24A .0105.

(e) DES shall review each employer's account every reporting cycle to determine whether the employer has a pattern of failing to respond timely or adequately to requests for separation information under G.S. 96-11.4, and shall issue an Adequacy Threshold Determination at the conclusion of the reporting year cycle if the employer has met the criteria defined under Paragraph (d) of this Rule.

History

Authority G.S. 96-4; 96-11.3; 96-11.4; 96-15; 23 U.S.C. 3303
Eff. July 1, 2015.

04 NCAC 24D .0302 Adequacy Threshold Determination {#sec-04-ncac-24d-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0302}

(a) The Adequacy Threshold Determination shall include:

(1) the effect of the determination on the employer's account;

(2) the reasons for the determination;

(3) the date the determination was mailed or sent by electronic transmission to the employer;

(4) instructions for protesting the determination; and

(5) the time period within which a protest shall be filed.

(b) An employer may protest its Adequacy Threshold Determination and shall file its written request with DES's Claims Unit pursuant to 04 NCAC 24A .0104(m).

(1) The request shall include the following:

(A) the name of the employing unit;

(B) the address of the employing unit;

(D) a statement of the question involved and reasons for the request; and

(E) the name, address, and official position of the individual making the request.

(2) The written request shall be filed within 15 days after the date that the Adequacy Threshold Determination notice was sent to the employer, and the timeliness requirements of 04 NCAC 24A .0106 shall apply.

(c) Following receipt of the written request, the Claims Unit shall review the employer's request for review and issue a written determination. The determination shall notify the employing unit of whether its application was granted or denied, and explain the reasons for the ruling and what information was considered.

(d) No further right of appeal from an unfavorable written determination of a protest of an Adequacy Threshold Determination shall exist unless and until an Adequacy Penalty Determination, as defined under Rule .0303 of this Section is issued at the conclusion of each corresponding charging cycle.

History

Authority G.S. 96-4; 96-11.3; 96-11.4; 96-15; 26 U.S.C. 3303
Eff. July 1, 2015
Amended Eff. October 1, 2017.

04 NCAC 24D .0303 Adequacy Penalty Determination {#sec-04-ncac-24d-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0303}

(a) DES shall issue a written Adequacy Penalty Determination at the end of each charging cycle to notify the employer of charges to its account for erroneous unemployment benefit payments identified during the charging cycle if the payments resulted from untimely or inadequate responses as set forth in 04 NCAC 24D .0301 to requests for information regarding a claimant's separation from employment or status, if the employer met or exceeded the adequacy threshold in the prior reporting cycle.

(b) The Adequacy Penalty Determination shall include the following:

(1) a listing containing the specific claims that would have resulted in a relief from charges as a result of erroneous unemployment insurance payments that were later reversed on appeal;

(2) instructions for protesting the Adequacy Penalty Determination; and

(3) the date that the Adequacy Penalty Determination is mailed or sent to the employer by electronic transmission.

(c) An employer may protest its Adequacy Penalty Determination and shall file its written request with DES's Claims Unit pursuant to 04 NCAC 24A .0104(m).

(1) The request shall include:

(A) the name of the employing unit;

(B) the address of the employing unit;

(D) a statement of the question involved and reasons for the request; and

(E) the name, address, and official position of the individual making the request.

(2) The written request shall be filed within 15 days after the date that the Adequacy Penalty Determination was mailed or provided to the employer by electronic transmission, and the timeliness requirements of 04 NCAC 24A .0106 shall apply.

(3) Following receipt of the written request, the Claims Unit shall review the employer's request and issue a written determination. The determination shall notify the employing unit of whether its application was granted or denied, explain the reasons for the ruling and identify the information considered, and contain instructions for appealing a denial to DES's Appeals Section pursuant to 04 NCAC 24A .0104(m).

History

Authority G.S. 96-11.3; 96-11.4; 96-15; 26 U.S.C. 3303
Eff. July 1, 2015
Amended Eff. October 1, 2017.

04 NCAC 24D .0304 Appealing Adequacy Penalty Determinations {#sec-04-ncac-24d-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0304}

(a) An employer may file an appeal of its Adequacy Penalty Determination and request a hearing. The appeal shall be filed with DES's Claims Unit pursuant to 04 NCAC 24A .0104(m).

(b) The appeal shall be filed within 15 days after the date that the Adequacy Penalty Protest Determination was sent to the employer, and the timeliness requirements of 04 NCAC 24A .0106 shall apply.

(c) Appeal hearings from Adequacy Penalty Determinations shall be conducted as set forth in Section .0200 of Subchapter 24C.

History

Authority G.S. 96-11.3; 96-11.4; 96-15; 26 U.S.C. 3303
Eff. July 1, 2015
Amended Eff. October 1, 2017.

04 NCAC 24D .0401 Voluntary Election by Employers {#sec-04-ncac-24d-.0401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0401}

(a) Any employer electing coverage under G.S. 96-9.8 of the Employment Security Law shall make the election by completing the Employer Status Report (Form NCUI 604), available on DES's website.

(b) The information provided in the Employer Status Report (Form NCUI 604) shall be provided in the same manner as required under Rule .0602 of this Subchapter.

(c) Voluntary election shall not be granted if DES determines that potential benefit payments would exceed the taxes received from the employer.

(d) Employers who satisfy the criteria for voluntary election of coverage pursuant to G.S. 96-9.8 shall have a contributory unemployment tax account, and shall not have a reimbursable account.

History

Authority G.S. 96-4; 96-9.8; 26 U.S.C. 3306
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24D .0402 Election to Reimburse in Lieu of Contributions {#sec-04-ncac-24d-.0402 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0402}

(a) A new qualifying employer under G.S. 96-9.6 electing to pay reimbursements for benefits, rather than contributions, shall make the election by writing a letter stating their election to DES's Tax Administration Section as provided in 04 NCAC 24A .0104(x) within 30 days after the employer receives written notification from the Division that it is eligible to make an election as defined under G.S. 96-9.6.

(b) A qualifying employer under G.S. 96-9.6 electing to pay reimbursements for benefits, rather than contributions, shall within 30 days before the January 1 effective date, make the election by sending a letter stating their election to DES's Tax Administration Section pursuant to 04 NCAC 24A .0104(x).

History

Authority G.S. 96-4; 96-9.6; 96-9.8; 26 U.S.C. 3309
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24D .0403 Payment of Employer Taxes {#sec-04-ncac-24d-.0403 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0403}

(a) Taxes shall be due and payable to the Division of Employment Security and sent to DES's administrative office in Raleigh, North Carolina, or delivered to an agent of DES designated to accept payments as provided in 04 NCAC 24A .0104(y).

(b) Timeliness of payments shall be determined pursuant to 04 NCAC 24A .0106.

History

Authority G.S. 96-4; 96-9.15
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24D .0501 Records of EmployERs {#sec-04-ncac-24d-.0501 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0501}

(a) Each employer shall keep accurate employment and payroll records. These records shall be maintained for five years after the calendar year in which wages for services are paid and shall include the following:

(1) the name and correct address of the employer;

(2) the name and address of each division, branch, or establishment operated, owned, or maintained by the employer at different locations in North Carolina; and

(3) the following information for each individual performing services for the employer:

(A) the individual's name;

(B) the individual's address;

(i) if an individual performing services for an employer does not have a social security number, the employer shall request that the individual produce a receipt issued by the Social Security Administration, showing that the individual has filed an application for a social security number;

(ii) the employer shall copy and retain a copy of the receipt, and the individual must retain the receipt;

(D) the dates on which the individual performed services for the employer;

(E) the actual number of hours worked each day and total number of hours worked each week;

(F) daily attendance record, including times that the individual did not work for reasons other than lack of work;

(G) the state or states in which the individual performed services;

(i) the base of operations if any of the services are performed outside North Carolina, and are not incidental to the services performed in North Carolina; or

(ii) if there is no base of operations, then the place from which services are directed or controlled; and

(iii) the individual's state of residence;

(H) the amount of wages paid to the individual for each separate payroll period, if paid weekly, or if not paid weekly, by calendar weeks;

(i) date of payment of the wages; and

(ii) amounts or remuneration paid to each individual for each separate payroll period other than "wages," as defined in G.S. 96-1(b)(28);

(I) amounts paid to individuals as allowances or reimbursements for travel or other business expenses, dates of payments, and the amounts of expenditures actually incurred and documented by the individual;

(J) whether, during any payroll period the individual worked less than full time, and if so, the hours and dates worked;

(K) reasons for an individual's separation from work;

(L) any contract between the employer and the worker;

(M) where the employer considers the worker to be an independent contractor or otherwise not an "employee" under the Employment Security Law, all records, documentation and evidence which supports that classification; and

(N) federal and state tax returns for the periods when the worker was employed.

(b) In addition to the records required in Paragraph (a) of this Rule, each employer shall keep the following:

(1) the records that establish and reflect ownership and any changes of ownership of the employer;

(2) the address where the headquarters of the employer is located;

(3) the mailing address of the employer; and

(4) the address at which the records are available for inspection or audit by representatives of DES.

(1) the addresses of owners; or

(2) in the event the employer is a corporation or an unincorporated organization, the records shall show the addresses of directors, officers, and any individuals on whom subpoenas, legal processes, or citations may be served in North Carolina.

History

Authority G.S. 96-4; 96-9.15; 96-10; 26 U.S.C. 3306
Eff. July 1, 2015.

04 NCAC 24D .0502 Wage Records {#sec-04-ncac-24d-.0502 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0502}

(a) Wages paid for services excluded from the definition of "employment" as defined in G.S. 96-1(b)(12) shall be separately reflected in the employer's records to indicate the following:

(1) the time of service; and

(2) remuneration for services that is separate from taxable wages.

(b) Where there are pay periods in which an individual performs services excluded from the term "employment," and any service which is "employment," the employer's record shall reflect the hours spent in the excluded service and the hours spent in "employment."

(c) If any remuneration other than monetary wages is paid to or is received by an individual related to services performed by the individual, the records shall show the total amount of cash wages and the cash value of any other remuneration paid by the employer.

(d) If any part of an individual's wages is not paid in cash, the reasonable cash value of the remuneration other than cash shall be deemed for all relevant purposes as follows:

(1) the amount that is agreed upon between the employer and the individual if:

(A) the terms of the agreement are reported to DES; and

(B) DES determines that the agreed value or amount is reasonable pursuant to IRS Publication 15-B; or

(2) the amount DES determines if:

(A) the amount agreed upon is unreasonable; or

(B) the employer and the individual fail to agree upon an amount; or

(D) the employer fails to show the cash value of the noncash remuneration prior to the due date of contributions with respect to the wages.

(3) DES shall determine an amount by reviewing documents, tax values, internet sites and other available information that reflects the market value.

(e) This Rule incorporates material found in the IRS Publication 15-B by reference and includes subsequent amendments and editions of the referenced material in accordance with G.S. 150B-21.6. Copies of the incorporated material found in IRS Publication 15-B are located at 700 Wade Avenue, in Raleigh, North Carolina and may be obtained at no cost to the public by request by contacting DES as specified under 04 NCAC 24A .0201.

History

Authority G.S. 96-1(b)(28); 96-4; 26 U.S.C. 3306; IRS Pub. 15-B
Eff. July 1, 2015.

04 NCAC 24D .0503 Allowances and Reimbursement Advances {#sec-04-ncac-24d-.0503 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0503}

(a) Allowances, advances of reimbursements paid to an individual in employment for traveling, and other bona fide expenses incurred or reasonably expected to be incurred in the business of the individual's employer shall not be treated as wages, provided:

(1) a separate payment is made for the expenses; or

(2) itemized accounting records are kept indicating the separate amounts where a single payment covers both wages and expenses combined; and

(3) the amount of payments for expenses excluded from wages shall not exceed the amounts allowable as deductible expenses by income tax regulations under the United States Internal Revenue Code, 26 U.S.C. 62(2) and 26 U.S.C. 162(a)(2). Where the United States Internal Revenue Service (IRS) has not made a determination, DES shall make an independent determination.

(b) Where an employee must pay traveling and other expenses out of commissions or salary and these amounts are not accounted for separately, the entire amount of commissions or salary shall be considered wages, unless the employer submits itemized records which show that a certain percentage of commissions or salary is expenses.

(1) The money value for room and board shall not be included in wages if the room and board is provided to the employee for the convenience of the employer.

(A) If the room and board has been excluded from wages by the IRS for income tax withholdings, FICA and FUTA, it shall be considered to be for the convenience of the employer and excluded from wages.

(c) This rule incorporates 26 U.S.C. 62(2) "Adjusted Gross Income Defined" and 26 U.S.C. 162(a)(2) "Traveling Expenses" by reference and includes subsequent amendments and editions of the referenced material in accordance with G.S. 150B-21.6. Copies of the incorporated material found in 26 U.S.C. 62(2) and 26 U.S.C. 162(a)(2) are located at 700 Wade Avenue, in Raleigh, North Carolina, and may be obtained by request at no cost to the public by contacting DES as specified under 04 NCAC 24A .0201.

History

Authority G.S. 96-4; 150B-21.6; 26 U.S.C. 62(2); U.S.C. 162(a)(2).
Eff. July 1, 2015.

04 NCAC 24D .0504 Manner of Recordkeeping {#sec-04-ncac-24d-.0504 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0504}

(a) Each employer shall maintain records as prescribed in this Section.

(b) All records shall be kept and maintained in a manner that preserves the integrity of all reports that the employing unit is required to file with DES.

(1) Records shall be accessible to authorized representatives of DES within the geographical boundaries of the State of North Carolina.

(2) When records are not maintained, or are not available within North Carolina, the employing unit shall pay to DES the expenses and costs incurred when a representative of DES is required to travel outside the State of North Carolina to inspect or audit the employing unit's records or provide for delivery of the required records for inspection or audit to DES via mail or electronic transmission.

(3) Where records are delivered via electronic transmission, the employer shall provide DES with all necessary information to access the content of the electronic transmission.

(c) Where any part of an employing unit’s accounting records are maintained by an automated data processing system, the employing unit shall provide the following:

(1) audit trails with all supporting documentation;

(2) general accounting books with any ledgers containing source references that coincide with financial reports for reporting periods; and

(3) a description of the automatic data processing portion of the employing unit's accounting system.

(d) Each employing unit, when requested by DES, shall furnish a job description of duties performed by any individual or group of individuals who are performing or have performed services for the employing unit.

(e) Records prescribed by this Subchapter shall be preserved for five years after the calendar year in which wages for services are paid.

History

Authority G.S. 96-4; 96-10; 26 U.S.C. 3306
Eff. July 1, 2015.

04 NCAC 24D .0601 General Format of Reports and Forms and Methods of Submission {#sec-04-ncac-24d-.0601 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0601}

(a) The following shall file the Employer's Quarterly Tax and Wage Report (NCUI 101) using compact disks, or electronic transmission via the internet at des.nc.gov, or paper returns.

(1) employers with 10 or more employees in any one calendar quarter; and

(2) other entities, including agents reporting on behalf of employers, who file reports for a client employer with a total of 10 or more employees in any one calendar quarter.

(b) The Employer's Quarterly Tax and Wage Reports shall contain the:

(1) quarter for which the wages are being reported;

(2) employer's account number;

(3) tax rate assigned by DES;

(4) date that the NCUI 101 was due to DES;

(5) total amount of taxable wages paid to employees in accordance with G.S. 96-9.3;

(6) total amount of wages that exceed the taxable wages;

(7) total amount of tax due for the quarter;

(8) total amount of interest due for the quarter:

(9) amount of late filing penalty in accordance with G.S. 96-10, if applicable;

(10) amount of late payment penalty in accordance with G.S. 96-10, if applicable;

(11) name, social security number, and gross wages of each employee;

(12) name, title, telephone number, and signature of the individual submitting the NCUI 101 on behalf of the employer; and

(13) date that form is submitted to DES.

(c) Employers, including agents, who file an Employer's Quarterly Tax and Wage Report for a client employer with less than 10 total employees in any one calendar quarter shall use compact disks, electronic transmissions via DES's website, or paper returns.

(d) Agents reporting on behalf of employers with less than 10 employees may submit compact disks, electronic transmissions via DES's website, or paper returns that contain information from multiple employers.

History

Authority G.S. 96-4; 96-9.15
Eff. July 1, 2015
Amended Eff. August 1, 2020.

04 NCAC 24D .0602 Status Reports {#sec-04-ncac-24d-.0602 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0602}

(a) Each employing unit shall complete and file an Employer Status Report (Form NCUI 604) with DES within 10 days of becoming subject to the Employment Security Law. The Employer Status Report is located on DES's website, and shall include the following:

(1) the employing unit's federal identification number, if any;

(2) the employing unit's North Carolina Department of Revenue's withholding identification number, if any;

(3) all previously assigned unemployment insurance tax identification or account numbers;

(4) the employing unit's legal name;

(5) the employing unit's trade name;

(6) the employing unit's mailing address, telephone, and fax numbers;

(7) the physical address and county for each of the employing unit's North Carolina locations;

(8) if the employing unit has no locations in this State, the primary employee's home address;

(9) the principal activity or service performed by the employing unit in North Carolina;

(10) the name and address of each of the employing unit's owners;

(11) the name, telephone number, and email address of an individual authorized to act on behalf of the employing unit;

(12) the type of business ownership;

(13) the number of employees expected within 12 months of the date that Form NCUI 604 is submitted to DES;

(14) the date the employing unit first hired one or more workers in North Carolina;

(15) whether the employing unit in this State is part of a larger organization and is primarily engaged in providing support services to that organization;

(16) whether the employing unit is an employment service company as defined in G.S. 96-1(14);

(17) for general employers:

(A) whether the employing unit has or expects to have a quarterly payroll of one thousand five hundred dollars ($1,500) or more and if so, the date that this occurred or is expected to occur; and

(B) whether the employing unit has or expects to employ at least one worker in 20 different calendar weeks during a calendar year and if so, the date that this occurred or is expected to occur;

(18) for agricultural employers:

(A) whether the employing unit has or expects to have a quarterly payroll of twenty thousand dollars ($20,000) or more, and if so, the date that this occurred or is expected to occur; and

(B) whether the employing unit has or will employ 10 or more workers in 20 different weeks during a calendar year, and if so, the date that this occurred or is expected to occur;

(19) for domestic employers, whether the employing unit has or will pay one thousand dollars ($1,000) or more in a calendar quarter for domestic services in a private home, college club, fraternity, or sorority, and if so, the date that this occurred or is expected to occur;

(20) for non-profit organizations, whether the employing unit has or will employ 4 or more workers in 20 different weeks during a calendar year, and if so, the date that this occurred or is expected to occur;

(21) for employing units of government, whether the entity is local, state, or federal;

(22) whether the employing unit wants to voluntarily cover its workers for unemployment insurance even if it is not subject to the Employment Security Law;

(23) whether the employing unit has ever paid taxes pursuant to the Federal Unemployment Tax Act, and if so for which years the taxes were paid;

(24) whether the employing unit has acquired, transferred assets, or merged with another business, or made any other change in the ownership of the business, and if so:

(A) the former entity's legal name;

(B) the former entity's trade name;

(D) the former entity's North Carolina Unemployment Insurance Tax Identification number;

(E) the date on which the employing unit acquired the former entity, or changed its business;

(F) whether the employing unit acquired all or a portion of the former entity, and if a portion, the percent acquired;

(G) whether the former entity was operating when it was acquired by the employing unit, and if not, the date that the former entity closed;

(H) whether the former entity was in bankruptcy when it was acquired by the employing unit; and

(I) whether the former entity continues to have employees in North Carolina.

(25) whether there are workers who perform services for the employing unit, and who the employing unit considers to be self-employed or independent contractors;

(26) the name, signature, and official position of the individual filing the Form NCUI 604 on behalf of the employing unit; and

(27) the date that the individual completed Form NCUI 604 and submitted it to DES.

(b) An employing unit that ceases business, continues operations without employees, transfers, leases, or sells all or any part of the assets of its business, or changes the business name, business entity, business location, telephone number, or mailing address of the business shall give notice to DES within 10 days by completing and filing a Change in Status Report (Form NCUI 101A), which is available on DES's website. Form NCUI 101A shall state:

(1) the employing unit's name;

(2) the employing unit's mailing address;

(3) the employing unit's trade name;

(4) the employing unit's North Carolina Unemployment Insurance Tax Identification number;

(5) whether the employing unit sold or otherwise transferred part or all of the business, and if so:

(A) the name, mailing address, and telephone number of the entity to which the business was sold or otherwise transferred;

(B) the trade name of the entity to which the business was sold or otherwise transferred;

(C) whether the entire business operations, including equipment, merchandise, raw materials, and employees were sold, transferred, or leased to a new owner, and if so, the date of the sale, transfer or lease;

(6) whether a partnership was formed or changed, including the effective date of the formation or change, and an explanation of what occurred;

(7) whether the business was incorporated, including the effective date of incorporation;

(8) whether the business ceased all operations in North Carolina, including the date that all operations ceased;

(9) whether the business is operating without employees, including the last date on which the business had any employees;

(10) whether the business name changed, and if so, the new name of the business and a copy of the corporate minutes or amended charter on file with the North Carolina Department of the Secretary of State;

(11) whether there was a change in the address or telephone number, and if so, the changes to the address or telephone number;

(12) whether there was a change in the employing unit's contact for tax matters, and if so, the new agent's name, address, and telephone number, if applicable; and

(13) the name and signature of the individual submitting the Change in Status Report to DES on behalf of the employing unit.

(c) An employing unit that acquires all or any part of the assets of another business shall complete and file an Employer Status Report (Form NCUI 604) within 10 days of the acquisition.

History

Authority G.S. 96-4; 96-10; 96-11.7
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24D .0603 Quarterly Reports from Taxed Employers {#sec-04-ncac-24d-.0603 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0603}

(a) Each employer, other than a domestic employer who has elected to report and pay annually under G.S. 96-9.15(f), shall file with DES, within the month during which contributions for any period become due, an Employer's Quarterly Tax and Wage Report (Form NCUI 101) for the preceding calendar quarter that shall indicate the following:

(1) the total amount of remuneration paid for employment, or proof that no remuneration was paid during the quarter;

(2) the total amount of wages paid for employment;

(3) the amount of wages paid to each individual employee; and

(4) the name and social security number of each individual to whom the wages were paid and the federal identification number, if one exists.

History

Authority G.S. 96-4; 96-9.6; 96-9.15; 96-10
Eff. July 1, 2015.

04 NCAC 24D .0604 Annual Reports from Domestic Employers {#sec-04-ncac-24d-.0604 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0604}

(a) A request by a domestic employer to report wages paid, and pay contributions on an annual basis shall be made in writing and delivered to DES pursuant to 04 NCAC 24A .0104. There is no special form or format required for the written request.

(b) Each qualified domestic employer who has made an election as referenced in Paragraph (a) of this Rule shall file with DES, a domestic Employer's Annual Tax and Wage Report (Form NCUI 101-C), that shall include all information specified under Rule .0603 of this Section and subtotaled for each quarter during the calendar year in which wages were paid.

History

Authority G.S. 96-4; 96-9.15; 96-10
Eff. July 1, 2015.

04 NCAC 24D .0701 Transfer of Experience {#sec-04-ncac-24d-.0701 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0701}

History

Status: repealed
Authority G.S. 96-4; 96-10; 96-11.7
Eff. July 1, 2015
Repealed Eff. July 1, 2018.

04 NCAC 24D .0702 Requirements for Transfer of Experience {#sec-04-ncac-24d-.0702 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0702}

(a) A successor employer shall use the following information when requesting a partial transfer of experience rating:

(1) the total three-year taxable payroll ending June 30th prior to the last computation date for the transferring employer; and

(2) the total three-year taxable payroll ending June 30th prior to the last computation date for the transferring employer, relating to the severable portion acquired.

(b) Notwithstanding Paragraph (a) of this Rule, an alternate three-year payroll may be used when the severed or retained unit was not operated by the transferring employer during the three-year period ending June 30th prior to the last computation date.

(c) A successor employer that acquires the experience rating account, either total or partial, shall be liable for accrued benefits and acquire related rights based on the transferring employer's employment prior to the acquisition. Benefit charges to the transferring or successor employer shall be made in accordance with the percentage used to transfer the experience rating account, based on wages paid prior to the transfer.

(d) The requirements of this Section shall apply to transfers mandated by law, and those requiring DES's approval pursuant to G.S. 96-11.7.

(e) DES shall issue a written determination of whether there was a partial or total transfer of an experience rating account when a request for a transfer of experience rating account is made by a successor employer.

(f) A successor employer's completion and submission of an Application for Partial Transfer of Experience Rating Account (Form NCUI 603) for a transfer pursuant to G.S. 96-11.7(b) within two years of the date that part of the organization, trade, or business was transferred, with the information described in Paragraph (a) of this Rule and by any means set forth in 04 NCAC 24A .0104(o) shall satisfy the requirements of this Rule.

(g) The successor employer's completion and submission of Form NCUI 603 for a transfer pursuant to G.S. 96-11.7(c) within 30 days of the mailing date of the written determination that part of the organization, trade, or business was transferred, with the information described in Paragraph (a) of this Rule, and by any means set forth in 04 NCAC 24A .0104(o) shall satisfy the requirements of this Rule.

(h) Form NCUI 603 shall contain:

(1) the date that part of the organization, trade, or business was transferred;

(2) the percent of the payroll transferred to the successor;

(3) the percent of the payroll retained by the predecessor;

(4) whether the successor employer is related to the predecessor employer;

(5) the predecessor employer's name and account or federal ID number;

(6) the name, title, and signature of individual signing the form on behalf of the predecessor employer;

(7) the date that individual signed the form on behalf of the predecessor employer;

(8) the successor employer's name and account number;

(9) the name, title, and signature of individual signing the form on behalf of the successor employer; and

(10) the date that individual signed the form on behalf of the successor employer.

(i) A successor employer that disagrees with a determination that there was a partial or total transfer of an experience rating account, or with the tax rate set forth in the determination, may file a written protest of the determination and request a hearing.

(1) The protest shall be filed with DES's Tax Administration Section within 30 days from the date that the determination is mailed pursuant to 04 NCAC 24A .0104(o), as for protests of a Tax Rate Assignment.

(2) Hearings requested pursuant to this Section shall be conducted as set forth in 04 NCAC 24F .0303.

History

Authority G.S. 96-4; 96-10; 96-11.7
Eff. July 1, 2015
Amended Eff. August 1, 2020.

04 NCAC 24D .0703 Late Notice of Transfer {#sec-04-ncac-24d-.0703 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0703}

(a) The following definitions shall apply in this Rule:

(1) A related transfer is an acquisition by related party as defined in G.S. 96-11.7(c).

(2) An "unrelated transfer" is any business transfer recognized in G.S. 96-11.7 except that of G.S. 96-11.7(c).

(b) A successor employer shall notify DES of an unrelated transfer within two years of the date that part of the organization, trade, or business was transferred in accordance with G.S. 96-11.7(b) and 04 NCAC 24D .0702. If a successor employer does not notify DES within two years of the date that part of the organization, trade, or business was transferred, and later requests a redetermination of its tax rate, DES shall not approve the transfer, and shall notify the employer in writing.

(c) A successor employer shall notify DES of a related transfer within 10 days of the date that part of the organization, trade, or business was transferred in accordance with G.S. 96-11.7(c) and pursuant to 04 NCAC 24D .0702. If a successor employer does not notify DES of a related transfer within 10 days of the date that part of the organization, trade, or business was transferred, and later requests a redetermination of its tax rate, DES shall recalculate the tax rate back to the date of acquisition, or January 1 of the year in which it received notice of the transfer, whichever is later.

History

Authority G.S. 96-4; 96-11.7
Eff. August 1, 2020.

04 NCAC 24D .0801 Application for Compromise {#sec-04-ncac-24d-.0801 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0801}

(a) An employing unit may file a request for compromise of its tax debt with DES.

(b) A request for compromise shall include the following:

(1) the name and address of the employing unit;

(2) the date the request to compromise is made;

(3) the date the requested compromise is requested to be effective;

(4) stated reasons for the request to compromise;

(5) evidence to support the claim or reasons for the request;

(6) the amount and terms offered by the employer to settle the debt; and

(7) the signature of a duly authorized representative of the employer.

(c) The employer shall provide all information requested by the Department pursuant to Section .0500 of this Subchapter for the determination of the compromise.

(d) The request for compromise shall be filed with DES's Tax Administration Section pursuant to 04 NCAC 24A .0104(w).

History

Authority G.S. 96-4; 96-10; 96-10.1
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24D .0901 Special Tax Investigations {#sec-04-ncac-24d-.0901 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .0901}

(a) When it is discovered by a representative of DES that a claimant is alleging that he or she was an employee and the employer is alleging that the claimant was not an employee, the matter shall be referred to DES's Assistant Secretary in writing.

(b) The Assistant Secretary, on behalf of DES, shall refer the matter to the Tax Administration Section for an investigation. Upon receipt of the findings of the investigation, the Assistant Secretary shall issue a Result of Investigation by the Tax Administration Section. The Result of Investigation shall be in writing and mailed to each party to the controversy pursuant to 04 NCAC 24A .0103.

(c) The Result of Investigation shall provide notice of each party's rights for filing an appeal to obtain a hearing before the Board of Review, and the 10-day time period from the date of mailing within which an appeal shall be filed pursuant to 04 NCAC 24A .0104(bb) and G.S. 96-15(c).

(d) Appeal hearings pursuant to this Section shall be upon order of the Board of Review and conducted pursuant to 04 NCAC 24F .0303.

History

Authority G.S. 96-4
Eff. July 1, 2015
Amended Eff. August 1, 2020; July 1, 2018.

04 NCAC 24D .1001 Request for Redetermination of Tax Rate {#sec-04-ncac-24d-.1001 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1001}

(a) An employer may request a review and redetermination of its tax rate after receiving notice of the tax rate.

(b) An employer requesting a review and redetermination of its tax rate shall file its written request with DES's Tax Administration Section as set forth in 04 NCAC 24A .0104(o).

(c) The request for a review and redetermination shall be filed prior to May 1 following the effective date of the contribution rate pursuant to G.S. 96-9.2(d).

History

Authority G.S. 96-4; 96-9.2
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24D .1002 Division's Obligations {#sec-04-ncac-24d-.1002 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1002}

(a) DES shall review the employing unit's request to review and redetermine its tax rate and all available facts, and shall issue a written ruling. The ruling shall be mailed to the employing unit's address as set forth in 04 NCAC 24A .0103 and include the following:

(1) whether the application was granted or denied;

(2) the applicable legal authority, with specific citations, for the ruling;

(3) the mailing date of the notice;

(4) a statement containing the employer's right to appeal the notice; and

(5) the time period within which an appeal may be filed.

(b) The employing unit may file a written appeal of the ruling and request a hearing.

(1) The appeal shall be filed with DES's Tax Administration Section within 30 days of the mailing date of the redetermination ruling pursuant to 04 NCAC 24A .0104(o).

(2) Hearings requested pursuant to this Section shall be conducted as set forth in 04 NCAC 24F .0303.

History

Authority G.S. 96-4; 96-9.2
Eff. July 1, 2015
Amended Eff. August 1, 2020; July 1, 2018.

04 NCAC 24D .1003 Continued Payments Required {#sec-04-ncac-24d-.1003 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1003}

The employer shall continue to pay contributions at the rate assigned pending any hearing on an application for review and redetermination of tax rate until finally adjudicated. If the rate assigned is subsequently changed by a ruling of the Board of Review or the courts, the employer shall be entitled to a refund, or be liable for additional contributions.

History

Authority G.S. 96-4; 96-9.2; 96-10
Eff. July 1, 2015.

04 NCAC 24D .1101 Notice to Employer of Referral to Top {#sec-04-ncac-24d-.1101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1101}

(a) Consistent with 31 U.S.C. 3716, DES shall notify the employer by mail of its intent to refer the debt to the Treasury Offset Program (TOP) at least 60 days before submitting the debt to TOP.

(b) The notice shall include:

(1) the employer's name;

(2) the type of debt;

(3) the total amount of the referred debt;

(4) the total amount of the employer's debt owed to DES;

(5) the total amount of fees, as applicable;

(6) the amount of assessed penalties, as applicable;

(7) a citation to the legal authority that permits collection of the debt through TOP;

(8) a statement of DES's intention to collect the debt through administrative offset;

(9) a statement that the employer may request a copy of DES's records that support the debt;

(10) a statement of the employer's right to request that DES reevaluate the debt;

(11) the time period and procedure for requesting a reevaluation pursuant to 04 NCAC 24A .0104(k);

(12) a statement that failure to request a reevaluation within the required time shall result in referral of the debt;

(13) a statement of the employer's right to request to enter into a written repayment agreement with DES;

(14) instructions for paying the debt;

(15) a mailing address where payments shall be sent;

(16) a mailing address and facsimile number to request a reevaluation of the debt;

(17) a telephone number for the employer to seek information regarding the notice; and

(18) the date that the notice was mailed to the employer.

(c) Employers choosing to repay the debt after receiving notice shall make payment to DES in accordance with 04 NCAC 24A .0104(y).

History

Authority G.S. 96-4; 96-9.15; 96-18; 31 CFR 285; 31 U.S.C. 3716
Eff. July 1, 2018.

04 NCAC 24D .1102 Employer Reevaluation of Debt {#sec-04-ncac-24d-.1102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1102}

(a) An employer requesting a reevaluation of its debt shall submit a written request to DES's Tax Administration Section pursuant to 04 NCAC 24A .0104(k).

(1) The written request shall explain why the debt should not be referred to the Treasury Offset Program (TOP) for collection.

(2) The written request shall be accompanied by documents or other clear and convincing evidence that shows:

(A) the identity of the employer to whom the debt is assigned is incorrect; or

(B) the amount of the debt is inaccurate.

(b) The Assistant Secretary or designee shall consider the evidence submitted by the employer.

(1) whether the debt shall be referred to TOP; and

(2) reasons for the decision.

History

Authority G.S. 96-4; 96-18; 31 CFR 285; 31 U.S.C. 3716
Eff. July 1, 2018.

04 NCAC 24D .1103 Setoff Debt Collection Act Notice to Employer {#sec-04-ncac-24d-.1103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1103}

(a) Consistent with G.S. 105A-8, DES shall provide written notice of receipt to the debtor employer within 10 days after receiving the debtor's refund.

(b) The notice shall include:

(1) the employer's name;

(2) the type of debt;

(3) the amount of the refund received by DES;

(4) the total amount of the employer's debt owed to DES;

(5) the total amount of fees, as applicable;

(6) the amount of assessed penalties, as applicable;

(7) a citation to the legal authority that permits collection of the debt through setoff;

(8) a statement of DES's intention to apply the refund against the debt;

(9) an explanation that the debt is the basis for the agency's claim to the debtor's refund;

(10) a statement of the employer's right to contest the debt by filing a written request for a hearing;

(11) the time period and procedure for requesting a hearing pursuant to 04 NCAC 24A .0104(i);

(12) a statement that failure to request a hearing within the required time shall result in setoff of the debt;

(13) a statement of the employer's right to enter into a written repayment agreement with DES;

(14) instructions for paying the debt;

(15) a mailing address where payments shall be sent;

(16) the date that the notice was mailed to the employer; and

(17) a telephone number for the employer to seek information regarding the notice.

(c) Employers choosing to repay the debt after receiving notice shall make payment to DES in accordance with 04 NCAC 24A .0104(y).

History

Authority G.S. 96-4; 105A-8
Eff. July 1, 2018.

04 NCAC 24D .1104 Employer Setoff Debt Collection Act Hearings {#sec-04-ncac-24d-.1104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1104}

(a) An employer debtor may file an appeal from a notice to claim its State income tax refund pursuant to a North Carolina Department of Revenue Offset Letter in accordance with 04 NCAC 24A .0104(i).

(b) Rule 04 NCAC 24A .0106 shall apply in determining timeliness of an appeal.

(c) Hearings pursuant to G.S. 105A-8(b) shall be conducted consistent with the procedures prescribed in 04 NCAC 24F .0303.

History

Authority G.S. 96-4; 105A-8
Eff. July 1, 2018.

04 NCAC 24D .1201 Request for Seasonal Determination {#sec-04-ncac-24d-.1201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1201}

(a) Each employer desiring a seasonal determination shall request an Application for Seasonal Determination (Form NCUI 611) from DES's Tax Administration Section by telephone, mail, facsimile, or email as provided in 04 NCAC 24A .0104(t).

(b) Each employer shall complete and submit the Application for Seasonal Determination (Form NCUI 611) to the Tax Administration Section as provided in 04 NCAC 24A .0104(t).

(1) the employing unit's name and physical address;

(2) years of operation in North Carolina;

(3) location of each seasonal pursuit;

(4) description of each seasonal pursuit;

(5) an explanation of why the seasonal pursuit being requested cannot be conducted throughout the year;

(6) beginning and ending dates of each seasonal pursuit for the last four years;

(7) the name of the individual requesting the determination;

(8) the official position of the individual requesting the determination on behalf of the employing unit; and

(9) a telephone number.

(d) The completed Application for Seasonal Determination shall be filed at least 20 days before the beginning date of the period of production operations for which the determination is requested.

History

Authority G.S. 96-4; 96-16
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24D .1202 Written Determination {#sec-04-ncac-24d-.1202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1202}

(a) DES shall issue a written determination granting or denying the request upon making its determination pursuant to G.S. 96-16(c). The determination shall notify the employer of the following:

(1) the specific seasonal period assigned by DES;

(2) the effective date of the determination; and

(3) the specific filing requirements for seasonal employers.

(b) A determination that denies the request for a seasonal designation shall state the reasons for the denial.

(c) The determination shall contain notice of each party's right to appeal the determination and request a hearing, the date the determination was mailed, and the time period within which an appeal shall be filed.

(d) The employer may file its appeal of a denial of a request for seasonal pursuit designation with DES's Tax Administration Section as prescribed in 04 NCAC 24A .0104(t).

(e) Hearings shall be conducted as set forth in 04 NCAC 24F .0303.

History

Authority G.S. 96-4; 96-16
Eff. July 1, 2015
Amended Eff. July 1, 2018.

04 NCAC 24D .1203 Display Required {#sec-04-ncac-24d-.1203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1203}

(a) Each employer shall display no less than two Notice to Workers of a Seasonal Determination forms in separate locations (Form NCUI 543) on its premises. Form NCUI 543 shall be sent to employers when approved for Seasonal Pursuit status by mail and shall contain:

(1) notice that a seasonal determination was requested by the employer and issued by DES; and

(2) instructions for workers employed by the employer to protest the determination within 10 days.

(b) The Notice to Workers of a Seasonal Determination (Form NCUI 543) shall be provided by DES and shall be displayed on the employer's premises in such places as:

(1) entry ways used by workers to enter and exit the employer's premises;

(2) in or near an area where a record of time worked is required to be used or frequented by workers;

(3) a bulletin board in places where workers gather; or

(4) other locations within the place of employment visible to employees.

History

Authority G.S. 96-4; 96-16
Eff. July 1, 2015.

04 NCAC 24D .1204 Wage Records and Reports Requirement {#sec-04-ncac-24d-.1204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1204}

(a) Any pursuit that DES determines to be seasonal shall maintain payroll records such that the seasonal wages paid to workers during the active periods of the seasonal pursuit may be distinguished from any non-seasonal wages that are paid to those workers.

(b) Any employer engaged in a seasonal pursuit shall submit quarterly wage reports pursuant to Rule .0603 of this Subchapter, showing the seasonal wages paid to workers during the active periods assigned by DES.

(c) Within 15 days of the date that DES mails notice of a seasonal period, the employer shall complete and submit to DES a Breakdown of Wages Previously Reported for Workers to Show Seasonal and Non-Seasonal Wages (Form NCUI 542) with seasonal wages in the current base period and in intervening quarters between the base period and completed calendar quarters preceding the first day of the active period, which shall include the following:

(1) each worker's social security number, and name; and

(2) each worker's seasonal wages, non-seasonal wages and total wages for each calendar quarter.

(d) Any wages earned by seasonal workers outside the seasonal period assigned by DES shall be reported as non-seasonal wages, even though they may have been earned for seasonal work.

History

Authority G.S. 96-4; 96-16
Eff. July 1, 2015.

04 NCAC 24D .1301 NOTICE to employer {#sec-04-ncac-24d-.1301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1301}

(a) DES shall serve notice and execution of levy on employer to collect past due unemployment insurance taxes, penalties, interest, and costs.

(b) Notice shall be written and provided to the employer by U.S. mail.

(1) that DES is in possession of judgments and executions that were properly docketed and indexed by the clerks of the superior court;

(2) the county of the superior court where the judgments and executions are docketed;

(3) that DES mailed previous notice of the debt and the date DES mailed notice to the employer;

(4) the amount owed by the employer;

(5) the name of any other individual or entity that will receive notice of the debt;

(6) the statutory authority for service of execution of levy by DES;

(7) the relief sought by DES; and

(8) the name, address and telephone number of an authorized representative of DES who may be contacted regarding the debt.

History

Authority G.S. 1-359; 96-4; 96-10; 96-18
Eff. July 1, 2015.

04 NCAC 24D .1302 NOTICE to GARNISHEE {#sec-04-ncac-24d-.1302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1302}

(a) DES shall serve notice and execution of levy on third parties in order to collect past due unemployment insurance taxes, penalties, interest, and costs.

(b) Notice shall be written and provided to the garnishee by U.S. mail.

(1) the name of the indebted employer;

(2) that DES is in possession of judgments and executions that were properly docketed and indexed by the clerks of the superior court;

(3) the county of the superior court where the judgments and executions are docketed;

(4) that the employer has received previous notice of the debt;

(5) the amount owed by the employer;

(6) statutory authority for service of execution of levy;

(7) relief sought and how to remit payment; and

(8) the name, address and telephone number of an authorized representative of DES who may be contacted regarding the debt.

History

Authority G.S. 1-359; 96-4; 96-10
Eff. July 1, 2015.

04 NCAC 24D .1401 OFFICIAL FORMS (recodified to 04 ncac 24A .0601 Eff. August 1, 2020) {#sec-04-ncac-24d-.1401 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24D .1401}

Subchapter E

04 NCAC 24E .0101 Confidentiality of Unemployment Insurance Information {#sec-04-ncac-24e-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24E .0101}

History

Status: repealed
Authority G.S. 96-4(d); 96-4(x); 20 CFR 603
Eff. May 1, 2013
Repealed Eff. July 1, 2015.

04 NCAC 24E .0102 Request for Documents and Records {#sec-04-ncac-24e-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24E .0102}

History

Status: repealed
Authority G.S. 96-4(d); 96-4(x); 20 CFR 603
Eff. May 1, 2013
Repealed Eff. July 1, 2015.

04 NCAC 24E .0103 Fees for Copies and Services {#sec-04-ncac-24e-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24E .0103}

History

Status: repealed
Authority G.S. 96-4(d); 96-4(x); 20 CFR 603
Eff. May 1, 2013
Repealed Eff. July 1, 2015.

04 NCAC 24E .0104 Payment of Fees {#sec-04-ncac-24e-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24E .0104}

History

Status: repealed
Authority G.S. 96-4(d); 96-4(x); 20 CFR 603
Eff. May 1, 2013
Repealed Eff. July 1, 2015.

Subchapter F

04 NCAC 24F .0101 Office Location for Board of Review {#sec-04-ncac-24f-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0101}

The administrative office of the North Carolina Department of Commerce, Board of Review is located at 700 Wade Avenue, in Raleigh, North Carolina. The mailing address is Post Office Box 28263, Raleigh, NC 27611. The office is open to the public during business hours, from 8:00 a.m. to 5:00 p.m., Monday through Friday, except for State holidays as set forth in 25 NCAC 01E .0901, including subsequent amendments and editions.

History

Authority G.S. 96-4; 96-15.3
Eff. July 1, 2018.

04 NCAC 24F .0102 Addresses for Notice and Electronic Notice {#sec-04-ncac-24f-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0102}

Rule 04 NCAC 24A .0103 shall apply for notice sent by the Board of Review.

History

Authority G.S. 96-4; 96-15; 96-15.3
Eff. July 1, 2018.

04 NCAC 24F .0103 Addresses for Filing Appeals, Exceptions, or Requests {#sec-04-ncac-24f-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0103}

Appeals, exceptions, and requests shall be filed with the Board of Review in accordance with 04 NCAC 24A .0104(l), (r), and (v).

History

Authority G.S. 96-4; 96-15; 96-15.3
Eff. July 1, 2018.

04 NCAC 24F .0104 Filing/Mailing Dates and Use of Forms {#sec-04-ncac-24f-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0104}

Rule 04 NCAC 24A .0106 shall apply in determining the timeliness of appeals, exceptions, and requests filed with the Board of Review.

History

Authority G.S. 96-4; 96-15; 96-15.3
Eff. July 1, 2018.

04 NCAC 24F .0105 Signatures {#sec-04-ncac-24f-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0105}

(a) Rule 04 NCAC 24A .0107 shall apply in authenticating a digital signature.

(b) Rule 04 NCAC 24A .0108 shall apply in determining signatures on reports and forms.

History

Authority G.S. 96-4; 96-9.15; 96-15; 96-15.3
Eff. July 1, 2018.

04 NCAC 24F .0106 Appeal Date {#sec-04-ncac-24f-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0106}

(a) A party shall be allowed to establish an appeal date earlier than a postal meter date, or the date of a document by presenting clear and convincing evidence.

(b) When a party alleges that it filed an appeal that the Board of Review never received, the party shall present clear and convincing evidence of a timely filing, which may be corroborated by testimony or physical evidence linked to the appeal in question.

(c) The Board of Review shall allow cross-examination in de novo hearings to establish the timeliness of an appeal, using the criteria set forth in 04 NCAC 24A .0106.

History

Authority G.S. 96-4; 96-15; 96-15.3
Eff. July 1, 2018.

04 NCAC 24F .0107 Timeliness Exception {#sec-04-ncac-24f-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0107}

Timeliness sanctions shall be waived by the Board of Review or its designee when the Board of Review, DES, or an agent state representative gives misleading information on appeal rights to a party, if the party:

(1) establishes what he or she was told was misleading and how he or she was misled, using the criteria set forth in 04 NCAC 24F .0106;

(2) identifies, if possible, the individual who misled him or her; and

(3) establishes that the Board of Review or DES did not provide the party with any written instructions contrary to the misleading information with service of the decision being appealed.

History

Authority G.S. 96-4; 96-15; 96-15.3
Eff. July 1, 2018.

04 NCAC 24F .0201 Requirements for Appeal Statement to Board of Review {#sec-04-ncac-24f-.0201 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0201}

A written statement of appeal from an Appeals Decision to the Board of Review shall comply with 04 NCAC 24A .0104(l)(5).

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015
Recodified from 04 NCAC 24C .0501 Eff. October 1, 2017
Amended Eff. July 1, 2018.

04 NCAC 24F .0202 Acknowledgment of Appeal {#sec-04-ncac-24f-.0202 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0202}

(a) The receipt of a party's appeal from an Appeals Decision shall be acknowledged in writing by the Board of Review or its designee and sent to all parties of record.

(b) The notice acknowledging receipt of an appeal shall inform each party of the following:

(1) the right to request oral arguments;

(2) the deadline to request oral arguments;

(3) the right to submit written arguments regarding the appeal;

(4) the deadline for submitting written arguments;

(5) that the party may submit a written request for a record of the hearing proceeding pursuant to G.S. 96-15(f); and

(6) the procedures for obtaining a record of the hearing, including recordings or transcripts.

History

Authority G.S. 96-4; 96-15; 20 CFR 603
Eff. July 1, 2015
Recodified from 04 NCAC 24C .0502 Eff. October 1, 2017
Amended Eff. July 1, 2018.

04 NCAC 24F .0203 Oral Arguments {#sec-04-ncac-24f-.0203 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0203}

(a) Oral arguments before the Board of Review shall be granted at the discretion of the Board of Review.

(b) A written request for oral arguments shall:

(1) be directed to the Board of Review pursuant to 04 NCAC 24A .0104(v).

(2) be received within 15 days of the date on the notice acknowledging receipt of an appeal from the Appeals Decision; and

(3) contain a statement that a copy of the request was mailed or personally delivered to the opposing party, if one exists.

(c) If the request is granted, the Board of Review shall give written notice to each interested party to appear for oral arguments.

(d) Notice to appear before the Board of Review to present oral arguments shall contain:

(1) the Higher Authority Decision docket number;

(2) the issue identification or Appeals Decision docket number;

(3) the identity of the party requesting oral arguments;

(4) the right of the non-requesting party to appear and present oral arguments;

(5) the date and time for oral arguments;

(6) the physical address of the location where oral arguments are scheduled to be held; and

(7) each party's right to legal representation.

(e) The notice to appear for oral arguments shall be provided to each party by mail or electronic transmission at least 14 calendar days before the date scheduled for arguments in accordance with 04 NCAC 24A .0103.

(f) Any request to reschedule oral arguments shall be for good cause as defined in 04 NCAC 24A .0105, and sent to the Board of Review pursuant to 04 NCAC 24A .0104(v), and to each party to the proceeding by personal service, mail, electronic transmission, or delivery service as defined under 04 NCAC 24A .0105. A request to reschedule oral arguments shall state each reason for the request.

History

Authority G.S. 96-4; 96-15
Eff. July 1, 2015
Recodified from 04 NCAC 24C .0503 Eff. October 1, 2017
Amended Eff. July 1, 2018.

04 NCAC 24F .0204 Legal Representation or Supervision by North Carolina Attorney Before the Board of Review {#sec-04-ncac-24f-.0204 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0204}

(a) An individual who is a party to a proceeding may represent himself or herself before the Board of Review.

(b) A partnership or association may be represented by any of its members.

(d) Any party may be represented by a legal representative as defined in 04 NCAC 24A .0105.

(e) Notices or certification of legal representation by an attorney licensed to practice law in this State shall be in writing and presented to the Board of Review to become part of the official record.

(f) Notices or certification of legal representation by an individual who is supervised by an attorney licensed to practice law in this State shall be in writing and presented to the Board of Review to become part of the official record, and shall contain:

(1) the name, business address, and telephone number of the supervising attorney;

(2) the supervising attorney's active North Carolina State Bar number; and

(3) the name, address, and telephone number of the person being supervised.

(g) When a party has a legal representative, all documents or information required to be provided to the party shall be provided only to the legal representative, unless otherwise requested in writing to the Board of Review.

(h) An address provided to the Board of Review for mailing or electronic transmission in a specific case shall not constitute a change of address with DES for purposes of 04 NCAC 24A .0102.

(i) Any information provided to a party's legal representative shall have the same force and effect as if it had been sent to the party.

History

Authority G.S. 96-4; 96-15; 96-17
Eff. July 1, 2015
Recodified from 04 NCAC 24C .0504 Eff. October 1, 2017
Amended Eff. July 1, 2018.

04 NCAC 24F .0205 Introduction of Evidence in Higher Authority Hearings {#sec-04-ncac-24f-.0205 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0205}

(a) The Board of Review shall allow each party 10 minutes from the time of the scheduled hearing to appear for the hearing.

(b) If the appealing party fails to appear for the hearing and a continuance had not been previously granted, the Board of Review shall issue a Higher Authority Decision dismissing the appeal.

(c) A party desiring to introduce documents or other non-testimonial evidence at a de novo hearing shall provide an authenticated copy plus one copy for the Board of Review to include in the official record of the hearing. A copy of any document or other evidence provided to the Board of Review shall be provided to the opposing party prior to the hearing.

(d) A party offering 20 or more documents into evidence shall prepare a list of the documents in the order of their presentation. The list shall be provided to the Board of Review and to each party before the hearing to become part of the official hearing record.

(e) If the Board of Review takes official notice of facts, whether under judicial notice or within the Board's specialized knowledge, the official notice and its source shall be stated on the record and noticed to the parties. Each party shall be given an opportunity to dispute the noticed fact by argument and submission of evidence.

History

Authority G.S. 96-4; 96-15; 96-15.3
Eff. July 1, 2015
Recodified from 04 NCAC 24C .0505 Eff. October 1, 2017
Amended Eff. July 1, 2018.

04 NCAC 24F .0206 Content of Higher Authority Decision {#sec-04-ncac-24f-.0206 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0206}

The Board of Review shall issue a written Higher Authority Decision that includes the following:

(1) the names of the members of the Board of Review who participated in the review;

(2) findings of fact, conclusions of law, and the decision of the Board of Review;

(3) instructions for filing an appeal of the Higher Authority Decision to the superior court and the date the Higher Authority Decision was mailed; and

(4) notice that claims filed on or after June 30, 2013 shall be subject to repayment of overpayment of benefits resulting from any decision that is later reversed on appeal.

History

Authority G.S. 96-4; 96-11.4; 96-15
Eff. July 1, 2015
Temporary Amendment Eff. March 1, 2016
Temporary Amendment Expired December 10, 2016
Amended Eff. April 1, 2017
Recodified from 04 NCAC 24C .0506 Eff. October 1, 2017.

04 NCAC 24F .0301 Appealing a Tax Matter {#sec-04-ncac-24f-.0301 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0301}

(a) A written appeal regarding monetary eligibility denying a protest to a Wage Transcript and Monetary Determination shall be filed with DES's Tax Administration Section pursuant to 04 NCAC 24A .0104(e).

(b) A written appeal of a Tax Liability Determination shall be filed with DES's Tax Administration Section pursuant to 04 NCAC 24A .0104(n).

(c) A written appeal of a Tax Rate Assignment shall be filed with DES's Tax Administration Section pursuant to 04 NCAC 24A .0104(o).

(d) A written appeal of an Audit Result shall be filed with DES's Tax Administration Section pursuant to 04 NCAC 24A .0104(p).

(e) A written appeal of a Tax Assessment shall be filed with DES's Tax Administration Section pursuant to 04 NCAC 24A .0104(q).

(f) Written Exceptions to a Tax Opinion shall be filed with the Board of Review pursuant to 04 NCAC 24A .0104(r).

History

Authority G.S. 96-4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .1101 Eff. October 1, 2017
Amended Eff. July 1, 2018.

04 NCAC 24F .0302 Scheduling Tax Hearings {#sec-04-ncac-24f-.0302 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0302}

(a) A notice of the hearing shall be mailed to each party at least 14 days before the hearing date.

(b) The hearing notice shall include the following:

(1) identify the determination, decision, or result being appealed;

(2) the name of the appealing party;

(3) the date and time of the hearing;

(4) if requested at the time of the filing of the appeal, the physical location of an in-person hearing;

(5) the telephone number at which each party will be called for a telephone hearing;

(6) each issue, with statutory reference, to be heard and decided;

(7) the name and contact information for the Board of Review or designated Hearing Officer;

(8) the manner in which witnesses may offer evidence and participate in the hearing;

(9) each party's right to obtain a legal representative as defined in 04 NCAC 24A .0105;

(10) instructions for requesting a rescheduling of the hearing;

(11) notice that a party may object to a telephone hearing and request an in-person hearing; and

(12) a statement of each party's right to request the issuance of a subpoena for the production of records or individuals to appear to testify, and instructions for how to do so.

History

Authority G.S. 96-4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .1102 Eff. October 1, 2017
Amended Eff. July 1, 2018.

04 NCAC 24F .0303 Telephone Hearings Before the Board of Review {#sec-04-ncac-24f-.0303 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0303}

History

Status: repealed
Authority G.S. 96-4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .1103 Eff. October 1, 2017
Amended Eff. July 1, 2018
Repealed Eff. May 1, 2021.

04 NCAC 24F .0304 In-Person Hearings {#sec-04-ncac-24f-.0304 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0304}

(a) Hearings shall be conducted in-person by the Board of Review, or a Board designee, as required by G.S. 96-4(q).

(b) Upon good cause, as defined in 04 NCAC 24A .0105(28), the Board of Review, upon its own accord, may designate alternate means of hearing, for example, by telephone, video, or web conferencing

(c) A party may object to the venue of hearing or alternate means of hearing designated by the Board. The Board will consider such objection if it is filed with the Board within 10 days of the issuance of a notice of hearing. The objection shall be in writing and provide good cause as to the reason for a request in a change of venue.

History

Authority G.S. 96-4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .1104 Eff. October 1, 2017
Amended Eff. May 1, 2021.

04 NCAC 24F .0305 Combination Telephone and in-Person Hearings Before the Board of Review {#sec-04-ncac-24f-.0305 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0305}

(a) The Board of Review or designated Hearing Officer may conduct an in-person/telephone hearing to avoid prejudice, to ensure security, to comply with standards for appeal promptness, or to expedite an appeal.

(b) A party may obtain an in-person/telephone hearing by filing a written objection to a telephone conference call hearing notice pursuant to 04 NCAC 24F .0303, or to an in-person hearing notice pursuant to 04 NCAC 24F .0304.

(1) The objection shall state each reason that the party objects to appearing in the manner listed in the hearing notice.

(2) The objecting party shall state the manner in which it, or its witnesses, request to appear for the hearing.

(3) This request shall be directed to the Board of Review or Hearing Officer designated in the hearing notice.

(c) The Board of Review or Hearing Officer shall consider a party's request to change its witnesses' appearance from a telephone or in-person hearing, and shall make a determination of whether the substantial rights of each party would be preserved by granting the party's request.

(d) The Board of Review or Hearing Officer may grant a request to change an appearance by telephone or in-person for good cause as defined in 04 NCAC 24A .0105. If the request is granted, the official hearing record shall include the written request for the change, reflect the Board of Review's or Hearing Officer's determination that the substantial rights of each party would be preserved by granting the request, and each reason for the determination.

(e) The objecting party shall appear in-person or by telephone as requested by the objecting party if the Board of Review or Hearing Officer grants the request.

(f) The Board of Review or Hearing Officer may deny a request to change a party's appearance at a telephone or in-person hearing if:

(1) the Board of Review or Hearing Officer believes that the requesting party's intent is to inconvenience the opposing party or delay the proceedings;

(2) the party or witnesses request to appear by telephone, and are less than 40 miles away from an in-person hearing location; or

(3) the request is made less than 24 hours before the hearing is scheduled to begin.

(g) If a party's request for a change to a telephone or in-person hearing is denied, the Board of Review or Hearing Officer shall state the grounds for denial on the record, include the written request in the official records, and state the reasons for the denial in the written decision.

(h) The Board of Review or Hearing Officer shall notify each party of the change prior to the hearing.

History

Authority G.S. 96-4; 96-15.3
Eff. July 1, 2018.

04 NCAC 24F .0306 Rescheduling a Tax Hearing {#sec-04-ncac-24f-.0306 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0306}

(a) The Board of Review may continue or adjourn a hearing at any time.

(b) A request for a continuance of a hearing made prior to the hearing date shall be in writing and shall specify the reasons for the request.

History

Authority G.S. 96-4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .1105 Eff. October 1, 2017.

04 NCAC 24F .0307 Subpoenas {#sec-04-ncac-24f-.0307 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0307}

(a) Subpoenas to compel the attendance of witnesses and the production of records for any tax hearing may be issued by the Board of Review or its designated Hearing Officer.

(1) A subpoena may be issued at the request of a party or on the Board of Review's or Hearing Officer's own motion.

(2) Any documentation showing service of the subpoena shall become part of the official hearing record.

(b) Any party's request for a subpoena to be issued by the Board of Review or Hearing Officer shall be in writing, sent to the Board of Review or Hearing Officer, and shall include:

(1) the name of the party requesting the subpoena;

(2) the claimant's name, if applicable;

(3) the employer's name, if applicable;

(4) the docket number of the case;

(5) the name, address, and telephone number of each person sought for appearance at the hearing;

(6) the specific identification of any document, recording, or item sought, including a detailed description of where the item is located;

(7) the name and address of the individual or party in possession of any item sought; and

(8) a statement of why the testimony or evidence to be subpoenaed is necessary for a proper presentation of the case.

(c) The request shall be granted only to the extent that the items or testimony sought appears relevant to the issues on appeal.

(d) Legal representatives shall issue subpoenas at their own expense and discretion.

(e) Subpoenas shall be issued at least five business days before the date of the scheduled hearing.

(g) Any party or person receiving a subpoena may serve a written objection to the issuance of the subpoena.

(1) The objection shall be directed to the Board of Review or Hearing Officer prior to the commencement of the hearing and provide reasons for the objection and the relief sought by the objecting party.

(2) The Board of Review or Hearing Officer shall rule on the objection and notify the parties before the hearing. The reasons for the ruling shall be in writing or stated on the record during the hearing.

History

Authority G.S. 96-4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .1106 Eff. October 1, 2017
Amended Eff. July 1, 2018.

04 NCAC 24F .0308 The Tax Opinion {#sec-04-ncac-24f-.0308 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0308}

(a) Following the conclusion of a tax hearing, the Board of Review shall issue a tax opinion with respect to the appeal filed.

(b) The tax opinion shall set forth:

(1) a statement of the case;

(2) any findings of fact;

(3) conclusions of law;

(4) the final order with regard to the opinion rendered;

(5) the date the opinion was mailed;

(6) instructions for filing an appeal; and

(7) the time period within which an appeal shall be filed.

History

Authority G.S. 96-4
Eff. July 1, 2015
Recodified from 04 NCAC 24D .1107 Eff. October 1, 2017.

04 NCAC 24F .0309 Conduct of Tax Hearings by the Board of Review {#sec-04-ncac-24f-.0309 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0309}

(a) The Board of Review shall allow each party 10 minutes from the time of the scheduled hearing to appear for the hearing.

(b) If the appealing party fails to appear for the hearing and a continuance had not been previously granted, the Board of Review shall issue a Tax Opinion dismissing the appeal.

(d) A party offering 30 or more documents into evidence shall prepare a list of documents in the order of their presentation. The list shall be provided to the Board of Review and to each party before the hearing to become part of the official hearing record.

History

Authority G.S. 96-4; 96-15.3
Eff. July 1, 2018.

04 NCAC 24F .0310 Burden of Proof in Hearings Before the Board of Review {#sec-04-ncac-24f-.0310 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0310}

The burden of proof shall rest with the appealing party in any hearing on an appeal set forth in 04 NCAC 24F .0301.

History

Authority G.S. 96-4; 96-15.3
Eff. July 1, 2018.

04 NCAC 24F .0311 Admission of Out-of-State Attorney to Appear Before Board of Review {#sec-04-ncac-24f-.0311 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24F .0311}

(a) Pursuant to G.S. 84-4.1, attorneys residing in and licensed to practice law in another state may seek to be admitted to practice before the Board of Review to represent a client. Attorneys admitted pursuant to 04 NCAC 24C .0303 for the same matter are not required to seek admission pursuant to this Rule.

(b) An out-of-state attorney seeking to practice before the Board of Review, or the North Carolina attorney with whom the out-of-state attorney associates pursuant to G.S. 84-4.1(5), shall file a motion with the Board of Review that complies with the requirements of G.S. 84-4.1.

(c) A proposed Order Permitting Out-Of-State Attorney to Appear Pro Hac Vice shall be provided to the Board of Review with the motion.

(d) Following review of the motion, the Board of Review shall issue an order granting or denying the motion.

(e) Pro hac vice admission granted to practice before the Board of Review shall allow continued representation before the Board of Review in all administrative proceedings regarding the same matter. The Board of Review has the discretionary authority to deny a motion for pro hac vice admission even if the motion complies with the requirements of G.S. 84-4.1.

(f) Upon receipt of an order granting a motion for pro hac vice admission to practice before the Board of Review, the admitted out-of-state attorney or the associated North Carolina attorney shall pay the fees required by G.S. 84-4.1 to the North Carolina State Bar and General Court of Justice, and file a statement with the Board of Review documenting payment of the fees and the submission of any pro hac vice admission registration statement required by the North Carolina State Bar. A copy of the motion, Order, registration statement, and documentation reflecting payment of the fees shall be provided to the Board of Review to be included in the official hearing record.

History

Authority G.S. 84-4.1; 96-4; 96-17
Eff. July 1, 2018.

Subchapter G

04 NCAC 24G .0101 Temporary Waiver of Certain Eligibility Requirements {#sec-04-ncac-24g-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24G .0101}

History

Status: expired
Authority G.S. 96-4; 96-14.1; 96-14.9; 96-15.01; 166A-19.30; 20 C.F.R. 604.4; Families First Coronavirus Response Act, Pub. L. No. 116-127, Division D, 1402 (2020); E.O. 118, Governor Roy Cooper, 2020
Emergency Adoption Eff. April 14, 2020
Emergency Adoption Expired Eff. June 30, 2020.

04 NCAC 24G .0102 Notice That Employers Must Give to Employees as a Result of Coronavirus {#sec-04-ncac-24g-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24G .0102}

History

Status: expired
Authority G.S. 96-4; 166A-19.30; Families First Coronavirus Response Act, Pub. L. No. 116-127, Division D, 1402 (2020); E.O. 118, Governor Roy Cooper, 2020
Emergency Adoption Eff. April 14, 2020
Temporary Adoption Eff. July 24, 2020
Temporary Adoption Expired Eff. May 14, 2021.

04 NCAC 24G .0103 Temporary Waiver of Benefit Charges to Employer Accounts {#sec-04-ncac-24g-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24G .0103}

History

Status: expired
Authority G.S. 96-4; 166A-19.30; Families First Coronavirus Response Act, Pub. L. No. 116-127, Division D, 1402 (2020); E.O. 118, Governor Roy Cooper, 2020
Emergency Adoption Eff. April 14, 2020
Temporary Adoption Eff. July 24, 2020
Temporary Adoption Expired Eff. May 14, 2021.

04 NCAC 24G .0104 Temporary Covid-19 Suitable Work Provisions {#sec-04-ncac-24g-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 24G .0104}

History

Status: expired
Authority G.S. 96-2; 96-4; 96-14.11(b); 96-15(a)
Emergency Adoption Eff. June 26, 2020
Temporary Adoption Eff. September 25, 2020
Temporary Adoption Expired Eff. July 12, 2021.

Chapter 25 Innovation Council

04 NCAC 25 .0101 Definitions {#sec-04-ncac-25-.0101 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0101}

For the purposes of the rules in this Chapter, the definitions found in G.S. 169-1, and the following definitions, shall apply to this Section:

(1) "Executive Director" means the Executive Director of the North Carolina Innovation Council or an authorized designee of the Executive Director.

(2) "Expression of Interest" shall mean a method for potential applicants to contact the NC Innovation Council through its website to document their interest in submitting an application to be a Sandbox participant.

(3) "Monitoring and Evaluation Plan" means a written plan submitted by a Sandbox applicant that requires the applicant to periodically measure the success or risks of the innovative product or service during and at the end of the Sandbox period.

(4) "Nonprofit corporation" as defined in G.S. 55A-1-40(17).

(5) "Control person" means an entity or individual who has the power to influence, direct, or control the activities of a publicly traded company. Control persons can be directors, officers, shareholders, affiliates, or any other person with authority over the public company's management and operations.

(6) "DUNS Number" means a data universal numbering system or DUNS number, a unique, nine-digit series or numerals that identifies a business. Dun & Bradstreet, Inc. (D&B) creates the number, which generates a business profile in its database and provides a company's name, phone number, address, number of workers and line of business, along with other relevant corporate information.

History

Authority G.S. 169-1; 169-4
Eff. March 1, 2025.

04 NCAC 25 .0102 Nonprofit Partners {#sec-04-ncac-25-.0102 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0102}

(a) Nonprofit organizations wishing to assist applicants or participants as a nonprofit partner shall submit an application to the Council. Applications may be found on the Council's website at www.innovation.nc.gov.

(b) Nonprofit organization applications shall include the following:

(1) The formal legal name of the organization applying to be a nonprofit partner;

(2) If applicable, the nonprofit applicant must provide documentation of registration of associated trade names or Doing Business As (DBA);

(3) The name and address of the registered agent;

(4) Proof that the organization is a nonprofit organization duly authorized by the North Carolina Office of the Secretary of State and provide a North Carolina Certificate of Good Standing;

(5) A single point of contact must be designated for all correspondence, including the individual's name, role, phone number, and email address;

(6) A list of individuals that are directors of the board, partners, managers, and other individuals who are legally responsible for the governance of the entity, including their names, titles, expertise related to the product or service, and whether they have been convicted of, or are currently under investigation for, fraud or State or federal securities law violations;

(7) A summary of how the nonprofit organization's mission is aligned with the Sandbox program, to be used by the Council in a published list of nonprofit partners; and

(8) A description of the nonprofit organization's capabilities, including its data security capabilities and practices as required by law to ensure the confidentiality of information submitted by Sandbox applicants and participants.

(c) The Council may request additional information from the applicant pertaining to their application and eligibility to participate in the Sandbox based on the criteria set forth in Paragraph (b) of this Rule.

(d) Within 30 business days of receipt of a nonprofit organization's application, the Executive Director shall review the application for completeness. Applications that the Executive Director has determined have met the application submittal requirements shall be forwarded to all Council members for review. If an application is incomplete, the Executive Director shall request that any missing information from the nonprofit organization be submitted within 14 business days of the request.

(e) At the next Council meeting that is at least 14 business days after the Council has received a complete application, the Council shall discuss the application to determine the next action. Upon the motion of any member, the Council shall enter a closed session, pursuant to G.S. 143-318.11(a)(1) or G.S. 132-1.2(1)(a)-(c)a. - c., to discuss the application, however, all votes on an application shall be in an open session.

(f) Within 14 business days of a Council vote on an application, the Executive Director shall notify the nonprofit organization in writing of the Council's decision. If the Council denied the nonprofit organization's application, the written notification shall include the specific reasons for the denial.

(g) Upon the motion of any member, at a duly called meeting of the Council, the Council may rescind its approval of a nonprofit partner by a majority vote of the Council.

(h) A nonprofit partner whose approval is denied or rescinded by the Council may not reapply to be a nonprofit partner for a period of two years from the date of the Council vote. Any application submitted during the debarment period will be rejected for consideration by the Council.

History

Authority G.S. 169-4; 169-5
Eff. March 1, 2025.

04 NCAC 25 .0103 Nonprofit Partners Application Denial {#sec-04-ncac-25-.0103 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0103}

Reasons for denial of a nonprofit application shall include at least one of the following:

(1) Perceived or actual conflicts of interest;

(2) Failure to provide proof that the organization is a nonprofit organization duly authorized by the North Carolina Office of the Secretary of State;

(3) Failure to provide a current North Carolina Certificate of Good Standing;

(4) Failure to implement and utilize data security practices, as required by law, that ensure the confidentiality of information submitted by Sandbox applicants and participants;

(5) Failure to illustrate, as determined by the Council, the organization's capabilities or expertise in FinTech, InsurTech, blockchain technologies, or other new or emerging technology products or services; and

(6) Failure to provide any required missing information related to the application, or any additional information upon request of the Executive Director within 14 business days, as set forth in 04 NCAC 25 .0102(c).

History

Authority G.S. 169-4; 169-5
Eff. March 1, 2025.

04 NCAC 25 .0104 Expression of Interest to Participate {#sec-04-ncac-25-.0104 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0104}

(a) An applicant may contact the Council to request a consultation regarding the Sandbox prior to submitting a formal application. An applicant may also request to present the innovative product or service at a Council meeting. All requests to present will be approved by the Council based on a determination of whether the expression of interest indicates that the applicant intends to propose a FinTech, InsurTech, blockchain or other new or emerging technology for participation in the Sandbox. Each request shall be submitted through the Expression of Interest to Participate form on the Council 's website at www.innovation.nc.gov.

(b) The applicant must provide basic contact information for the entity or business, the industry type (finance or insurance), and a brief description of the proposed product or service that would be tested in the Sandbox.

(c) The Executive Director or a designee will acknowledge receipt of a submission within five business days. The Executive Director will provide the completed Expression of Interest to Participate form to the Council. If the applicant has requested to present, and the Council has approved the request, the proposed applicant will be allotted time to present at the next regularly scheduled Council meeting. If a consultation has been requested, the Executive Director will facilitate a meeting with either the Chair or Co-Chair of the Council within 14 business days after submission.

History

Authority G.S. 169-4
Eff. March 1, 2025.

04 NCAC 25 .0105 Regulatory Sandbox Applications {#sec-04-ncac-25-.0105 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0105}

(a) An applicant for the Regulatory Sandbox shall provide to the Council an application that includes applicant information, product or service information, a business plan, and a monitoring and evaluation plan for the proposed product or service. The application can be found on the Council's website at www.innovation.nc.gov.

(b) The applicant information should include the following:

(1) Confirmation that the applicant or its parent company are subject to the jurisdiction of the State; this shall be established by any of the following applicable documentation: Articles of Organization, Certificate of Formation, Certificate of Authority, Certificate of Organization, Articles of Formation, or other applicable company formation documents.

(2) Proof that the applicant has a physical location within the State from where the waiver project will be developed and performed, and where all records, documents, and data will be maintained, shall be established by providing:

(A) The name and address of the registered agent;

(B) The physical address of the applying entity's headquarters;

(D) The legal name of the applicant to participate in the Sandbox and, if the entity applying is a subsidiary of a parent entity, the legal name of the parent entity; and

(E) If applicable, the applicant must provide documentation of registration of associated trade names or doing business as assumed names.

(3) A single point of contact must be designated for all correspondence, including the individual's name, role, phone number, and email address.

(4) A list of individuals that are directors of the board, partners, managers, other individuals who are legally or financially responsible, or liable for the governance of the entity. The list of individuals shall include their names, titles, expertise related to the product or service, and whether they have been convicted of, are currently charged with, or are aware that they are under investigation for, fraud or other violations of State or federal law.

(5) Details of criminal convictions of the applicant and any individuals identified in Subparagraph (b)(4) of this Rule.

(6) If available, the entity's and any parent entity's Dun and Bradstreet Data Universal Numbering System (D-U-N-S) Number.

(7) A list of each government agency, if any, that the applicant knows regulates the applicant's business.

(8) The applicant's number of employees and, if the entity is a subsidiary of a parent company, the parent entity's number of employees.

(9) The number of the applicant's employees that are residents of North Carolina.

(10) The name of any entity, be it nonprofit organization, for profit organization, professional, or individual assisting with the application process.

(11) The name of any partner organization or individual(s) assisting with the design and implementation of the product or service.

(12) A description of the product or service the applicant seeks to provide through the Sandbox, including statements regarding:

(A) How the product or service is subject to licensing, legal prohibition, or other authorization requirements outside the Regulatory Sandbox, or whether the product or service is not subject to any regulation;

(B) Each law or regulation the applicant seeks to have waived while participating in the Regulatory Sandbox;

(D) What risks may exist for consumers who use the product or service;

(E) A description of the methods that will be used to protect consumers or businesses;

(F) A statement outlining a process to resolve complaints during the Sandbox period;

(G) A description of the methods and controls to ensure consumers are residents of the State; and

(H) Applicable only to products and services related to money transmitters, a description of how they will ensure customers are physically present in the State at the time of transaction.

(13) A business plan for the intended product or service, which shall include the following information:

(A) A description of the proposed implementation plan, including estimated time periods for beginning and ending;

(B) A description of how the applicant will end the Sandbox offering and protect consumers if the demonstration fails;

(D) Proposed sales methods, methods of pricing, and the target market;

(E) Proposed consumer disclosures required by G.S. 169-8 and applicable State agencies;

(F) Copy of the proposed consumer contract for the applicant's product or service;

(G) The expected distribution of consumers across rural, urban, and suburban areas of the State;

(H) The maximum number of consumers or businesses expected to utilize the product or service;

(I) The expected revenue; and

(J) The availability of capital for the product or service.

(14) A monitoring and evaluation plan, including a definition of risk metrics to be evaluated and the frequency of measurement, and a description of compensating controls that assist in managing risk and harm to consumers and the Sandbox participant.

(A) The applicable State agency, upon approval of the Sandbox applicant, will provide input and request modifications to the proposed monitoring and evaluation plan to ensure the proper metrics and risks are monitored related to the waiver.

(B) The approved monitoring and evaluation plan will be included in the waiver agreement.

(15) The applicant may provide any additional information the applicant determines to be relevant to the review and consideration of the Sandbox application.

(16) All Sandbox applicants are required to pay a $50 application fee that must be received in a format determined by the Council.

(17) Council may request additional information from the applicant pertaining to their application and eligibility to participate in the Sandbox based on the criteria set forth in paragraph (b) of this Rule.

History

Authority G.S. 169-4; 169-6, 169-8
Eff. March 1, 2025.

04 NCAC 25 .0106 SANDBOX APPLICATION Review {#sec-04-ncac-25-.0106 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0106}

(a) The Executive Director or designee shall review the application for completeness according to the criteria set forth in 04 NCAC 25 .0105. If there is missing or incomplete information in the application, the Executive Director shall request the additional information from the applicant. When the Executive Director determines that an application is complete based on the established criteria, they shall notify the applicant and refer the complete application to the applicable State agencies and the Council for review. If the applicant is deemed ineligible due to an incomplete application, the Executive Director shall notify the applicant of their ineligibility, and reasons for ineligibility, and provide notice of such denial to the Council.

(b) Upon receipt from the Executive Director of a Sandbox application, the applicable State agency or agencies shall provide a review of the Sandbox application to the Council in writing, including a recommendation of any reporting requirements or restrictions of the Sandbox applicant. If the agency or agencies do not provide a written review within 45 business days, the Council, in its discretion, may deem the Sandbox application acceptable. If the applicable State agency or agencies cannot complete the review of the Sandbox application within 45 business days, the agency or agencies may request additional time for review by submitting a written request to the Executive Director. Upon receipt of a written request for additional time from an agency, the Executive Director shall inform the Council of the request, and the Council may, in its discretion, allow additional time for review.

(1) Potential risks and benefits of the innovative product or service to the State, industry, and consumers;

(2) The statutes and rules that the applicant is seeking a waiver of;

(3) The applicant's monitoring and evaluation plan;

(4) Recommendations regarding consumer caps, limitations, reporting requirements, and disclosure statements;

(5) A recommendation on the amount of a bond or cash deposit required from the applicant;

(6) Whether the applicable State agency recommends that the application be granted or denied; and

(7) The recommended length of waiver if less than 24 months.

(d) As part of its review of a complete application, the Council, the Executive Director, or the applicable State agency may request a presentation or additional information from the applicant.

(e) After receipt of the applicable State agency's written statement of its review of a completed application, the Council shall discuss the completed application at the next meeting of the Council. At the meeting:

(1) There shall be an opportunity for members of the public to comment on the complete application;

(2) There shall be an opportunity for the applicant to present the product or services to the Council;

(3) There shall be an opportunity for any Council member to request clarification or additional information;

(4) Any Council member may make a motion to enter a closed session, pursuant to G.S. 143-318.11 or G.S. 132-1.2, to discuss the application; and

(5) The vote to approve or deny an application shall be made in open session.

(f) If the Council approves an application, the approval, with any conditions, including any consumer caps, bond

requirements, reporting requirements, notice requirements or fees, shall be set out in a written document, the waiver agreement. Upon review and acceptance by the applicable State agency, this document will be the Council's waiver and, along with the applicable statutes and rules, shall govern the applicant's participation in the Sandbox.

(g) A waiver granted by the Council is not effective until all fees have been paid and all conditions of the waiver have been met.

(h) If the Council denies a complete application, the Executive Director will disseminate the Council's determinations for denial and must provide the reasons for the denial to the applicant in writing within 10 business days of the Council's vote denying the application.

History

Authority G.S. 169-4; 169-6
Eff. March 1, 2025.

04 NCAC 25 .0107 Sandbox Operations {#sec-04-ncac-25-.0107 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0107}

(a) The Sandbox waiver agreement will be developed by the Executive Director within 15 business days of the Sandbox participant's waiver approval, and will be provided to the Council Chair and applicable State agency for review and approval. The Council Chair and applicable State agency will notify the Executive Director in writing within five business days if the waiver agreement is approved. If changes or modifications are required, the Executive Director has two business days to incorporate the prescribed changes into the waiver agreement.

(b) The waiver agreement shall include the following information:

(1) Sandbox waiver time period, when the waiver begins and when the waiver expires;

(2) Approved monitoring and evaluation plan;

(3) Approved business plan including all requirements listed in 04 NCAC 25 .0105(b)(13);

(4) Approved notice to consumer participants, informing of consumer rights, risks, and the complaint and appeals processes;

(5) A statement acknowledging that the applicant will be subject to all laws and regulations pertaining to the applicant's offering after conclusion of the demonstration;

(6) Amount of consumer protection bond or cash deposit required;

(7) Amount of Sandbox participation fee; and

(8) Approved wind down plan.

(c) Sandbox applicants must pay a participation fee, due upon execution of the waiver agreement, based on the number of employees the entity or parent entity, as appropriate, has and the expected revenue of the innovative product as set out below:

(d) During the period of Sandbox participation, the Sandbox participant shall submit reports, to the Executive Director, pursuant to the approved monitoring and evaluation plan. The Executive Director, Council or applicable State agency may request interim or additional reports.

(e) The Sandbox participant may request to raise consumer caps set in the waiver agreement. This request shall be submitted in writing to the Executive Director.

(f) A request to raise consumer caps shall include:

(1) An updated business plan demonstrating financial capability;

(2) An updated assessment of risks and potential for consumer harm;

(3) A current monitoring and evaluation plan report;

(4) Additional information supporting raised caps; and

(5) The new maximum consumer caps being sought.

(g) The Council or applicable state agency may request additional information relevant to the request.

(h) A request to raise caps shall be forwarded to the applicable State agency for a recommendation on whether to approve or deny the request. Recommendations shall be made within 20 business days after the receipt of the request. If the applicable State agency cannot review the request within 20 business days, the applicable State agency may submit in writing to the Executive Director the prescribed timeline for completing the review.

(i) Within 20 business days of receiving the recommendation from the applicable State agency, the Council shall make a determination, granting or denying the request to raise caps. If the request is denied, at the direction of the Council, the Executive Director shall provide written reasons for the denial.

(j) A Sandbox participant's request for an extension of the Sandbox waiver for the purpose of obtaining a license or other authorization required by law shall be made to the Executive Director in writing no less than 30 business days prior to expiration of the waiver and shall include: a current monitoring and evaluation report, a statement of the reasons for the extension, and any modifications or changes to the innovative product or service needed for the extension. The Executive Director shall forward the request to the Council and applicable State agency.

History

Authority G.S. 169-4; 169-6
Eff. March 1, 2025.

04 NCAC 25 .0108 Sandbox Participant Request for Extension {#sec-04-ncac-25-.0108 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0108}

(a) A Sandbox participant may request an extension, no later than 30 business days before the end of the Sandbox period, of not more than 12 months, for the purpose of obtaining a license or other authorization required by law to offer the Sandbox product or service in the open market.

(b) The written request for an extension shall be made to the Executive Director and shall include:

(1) A current monitoring and evaluation report;

(2) A statement of the reasons for the extension; and

(3) A statement of any modifications or changes required for the innovative product or services during the extension period.

(c) Upon receipt from the Executive Director of a request for an extension, the applicable State agency or agencies shall provide a determination for the request to the Council in writing. If the agency or agencies do not provide a determination within 10 business days, the Council, in its discretion, may deem the request for an extension acceptable. If the applicable State agency or agencies cannot complete the review of the extension request within 10 business days, the agency or agencies may request additional time for review by submitting a written request to the Executive Director. Upon receipt of a written request for additional time from an agency, the Executive Director shall inform the Council of the request, and the Council may, in its discretion, allow additional time for review.

(d) The Executive Director will notify the Sandbox participant of approval or denial within five business days of the end of the Sandbox period.

History

Authority G.S. 169-4; 169-6
Eff. March 1, 2025.

04 NCAC 25 .0109 Disciplinary Guidelines {#sec-04-ncac-25-.0109 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0109}

(a) Sandbox participants may be subject to disciplinary actions for any of the following:

(1) Failure to respond to consumer complaints according to the waiver agreement;

(2) Failure to resolve consumer complaints according to the waiver agreement;

(3) Failure to submit required reports;

(4) Security breaches impacting consumer data;

(5) Potential harm for the consumer or public has been identified;

(6) Changes in the product or service delivery not approved by the applicable State agency;

(7) Sandbox participant or designee attempt to conceal a violation or mislead the applicable State agency; or

(8) Other relevant circumstances, including fraud or any violation of criminal or consumer protection laws.

(b) Applicable State agencies shall notify the Executive Director in writing when they have identified cause for exercising their authority to limit or change a Sandbox participant's waiver or the innovative product or service operation, including enforcement activities pursuant to G.S. 169-4(a)(4) c., d. and G.S.169-7(a). The applicable State agencies must provide this notice prior to exercising their authority. The Executive Director or designee shall deliver this finding to the Chair or Co-Chair of the Council within five business days of receipt.

(c) Within 15 business days of notifying the Council to exercise their authority, the applicable State agency shall provide a written statement of disciplinary actions to the Executive Director specifying the reasons for imposing limitations or changes to the waiver or innovative product or service, and what actions are to be imposed, along with the timeline for the Sandbox participant to implement the actions. The Executive Director or designee shall deliver this finding to the Chair or Co-Chair of the Council within five business days of receipt.

(d) The Chair or Co-Chair may call a meeting with the applicable State agency as needed to review the disciplinary actions.

(e) The Executive Director, at the direction of the Chair or Co-Chair, will deliver the statement of disciplinary actions to the Sandbox applicant.

History

Authority G.S. 169-4; 169-7
Eff. March 1, 2025.

04 NCAC 25 .0110 Early Termination Notice and Close Out Plan Report {#sec-04-ncac-25-.0110 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0110}

(a) When a Sandbox participant's business objectives fail before the end of the Sandbox testing period, a written notice of early termination shall be provided, pursuant to G.S. 169-7(e), to the applicable State agency and the Executive Director, at least 30 business days prior to the planned termination of the Sandbox product or service and shall include:

(1) An updated monitoring and evaluation report;

(2) A description of why the product or service failed;

(3) A description of the proposed steps the Sandbox participant will need to terminate the innovative product or service to ensure that consumers have not been harmed;

(4) A copy of the consumer notice of termination of the product or service; and

(5) The proposed date for termination.

(b) The proposed termination steps must be approved by the applicable State agency before the Sandbox participant may notify consumers and begin winding down operations. The applicable State agency and the Sandbox participant will collaborate to determine a termination date that will ensure consumers are informed and rights are protected during this process.

History

Authority G.S. 169-4; 169-7
Eff. March 1, 2025.

04 NCAC 25 .0111 Conclusion of Sandbox Period and Business Operations {#sec-04-ncac-25-.0111 omnilex-key=us-nc-regs-official--title-04--04 NCAC 25 .0111}

(a) If the Sandbox participant cannot obtain regulatory compliance within 90 days following the expiration of the Sandbox period, the participant shall wind down operations with existing consumers within 90 days after the conclusion of the Sandbox period, as directed by the applicable State agency.

(b) Written notification to consumers, by way of electronic notification email or a letter sent via first class mail, regarding the conclusion of the initial or extended Sandbox period, must be provided by the Sandbox participant within 30 business days of conclusion and include:

(1) Date the notice was sent;

(2) The expiration date of the Sandbox period;

(3) Summary of outstanding activities, actions, fees for products, or services the consumer utilized;

(4) Any steps the consumer needs to take to close out their liabilities; and

(5) The name, title, email, and telephone number of a contact person(s) whom the consumer may contact after the conclusion of the Sandbox period.

(c) A final report shall be submitted to the Executive Director in writing, in a format approved by the Council, by the Sandbox participant within 90 days after the conclusion of the Sandbox period, and shall include:

(1) A final monitoring and evaluation report;

(2) A final report of consumer complaints and actions taken to remediate the complaints during the Sandbox period;

(3) Financial reports, including a report detailing all money owed by consumers based on agreements made before the conclusion of the Sandbox period;

(4) A statement outlining all additional steps the Sandbox applicant must take to wind down the innovative product or service;

(5) A written statement outlining all additional duties owed to consumers arising from the innovative product or service, including the name, contact information and role of any third party, acceptable to the applicable State agency, the Sandbox participant has arranged to fulfill those duties, and copies of contracts or agreements binding the fulfillment of said duties to consumers; and

(6) A written statement describing any insights into current regulations and their impact on the innovative product or service; and

(7) If the Sandbox participant has ongoing duties after the expiration of the Sandbox period, it shall submit an updated final report once all ongoing duties have been completed. The applicable State agency shall verify that all ongoing duties have been completed. The State agency will confirm and will advise the Council of their satisfaction of all outstanding duties and responsibilities.

(d) The Sandbox participant shall remain liable for any consumer harm resulting from its Sandbox participation or winding down regardless of whether a third party assists in the winding down.

(e) The Executive Director, at the request of the Council, shall issue a closeout letter to the Sandbox participant informing them of the official close out date, that all outstanding duties have been reconciled, and the records retention terms and conditions, as per the waiver agreement.

History

Authority G.S. 169-4; 169-7
Eff. March 1, 2025.