14B NCAC | Title 14B NCAC — Public Safety

Chapter 01 Department Rules

Subchapter A

14B NCAC 01A .0101 Name: Address: Hours of Operation

History

Status: expired
Authority G.S. 15B-3; 18B-500; 58-27.32; 122C-408; 143B-10; 143B-473; 143B-474; 143B-475; 143B-476; 143B-477; 143B-490; 143B-500; 150B-12(h)
Eff. February 1, 1976
Amended Eff. November 1, 1998; July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01A .0101 Eff. June 1, 2013 (14B NCAC 01A .0101)
Transferred from 14A NCAC 01A .0102 Eff. June 1, 2013 (14B NCAC 01A .0102)
Transferred from 14A NCAC 01A .0103 Eff. June 1, 2013 (14B NCAC 01A .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01A .0102 Purpose of Department

History

Status: expired
Authority G.S. 15B-3; 18B-500; 58-27.32; 122C-408; 143B-10; 143B-473; 143B-474; 143B-475; 143B-476; 143B-477; 143B-490; 143B-500; 150B-12(h)
Eff. February 1, 1976
Amended Eff. November 1, 1998; July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01A .0101 Eff. June 1, 2013 (14B NCAC 01A .0101)
Transferred from 14A NCAC 01A .0102 Eff. June 1, 2013 (14B NCAC 01A .0102)
Transferred from 14A NCAC 01A .0103 Eff. June 1, 2013 (14B NCAC 01A .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01A .0103 Organization

History

Status: expired
Authority G.S. 15B-3; 18B-500; 58-27.32; 122C-408; 143B-10; 143B-473; 143B-474; 143B-475; 143B-476; 143B-477; 143B-490; 143B-500; 150B-12(h)
Eff. February 1, 1976
Amended Eff. November 1, 1998; July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01A .0101 Eff. June 1, 2013 (14B NCAC 01A .0101)
Transferred from 14A NCAC 01A .0102 Eff. June 1, 2013 (14B NCAC 01A .0102)
Transferred from 14A NCAC 01A .0103 Eff. June 1, 2013 (14B NCAC 01A .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01A .0104 Secretary of Public Safety

(a) In the event of an emergency which requires two or more state agencies to be involved, the secretary is designated as the official who is empowered to coordinate the state's response to the emergency. The secretary may designate any agency as a lead agency to be in charge of the state's response.

(b) The secretary may delegate any authority assigned to him to any member of his department.

(c) Notwithstanding any other provisions of this Title or any rule of any division of the Department of Crime Control and Public Safety, the Secretary may review any action or failure to take action by any member of any division and may hold such hearings and gather such information in connection therewith as he deems necessary for the proper function of the department.

History

Authority G.S. 143B-10; 143-476
Eff. February 1, 1976
Amended Eff. July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01A .0104 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01A .0105 Affirmative Action Program

History

Status: expired
Authority G.S. 126-16; 143B-10
Eff. February 1, 1976
Amended Eff. December 1, 1979
Transferred from 14A NCAC 01A .0105 Eff. June 1, 2013
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

Subchapter B

14B NCAC 01B .0101 Petition for Rulemaking Hearings

History

Status: expired
Authority G.S. 150B-16
Eff. February 1, 1976
Amended Eff. December 1, 1979
Transferred from 14A NCAC 01B .0101 Eff. June 1, 2013 (14B NCAC 01B .0101)
Transferred from 14A NCAC 01B .0102 Eff. June 1, 2013 (14B NCAC 01B .0102)
Transferred from 14A NCAC 01B .0103 Eff. June 1, 2013 (14B NCAC 01B .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01B .0102 Contents of Petition

History

Status: expired
Authority G.S. 150B-16
Eff. February 1, 1976
Amended Eff. December 1, 1979
Transferred from 14A NCAC 01B .0101 Eff. June 1, 2013 (14B NCAC 01B .0101)
Transferred from 14A NCAC 01B .0102 Eff. June 1, 2013 (14B NCAC 01B .0102)
Transferred from 14A NCAC 01B .0103 Eff. June 1, 2013 (14B NCAC 01B .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14b NCAC 01B .0103 Disposition of Petitions

History

Status: expired
Authority G.S. 150B-16
Eff. February 1, 1976
Amended Eff. December 1, 1979
Transferred from 14A NCAC 01B .0101 Eff. June 1, 2013 (14B NCAC 01B .0101)
Transferred from 14A NCAC 01B .0102 Eff. June 1, 2013 (14B NCAC 01B .0102)
Transferred from 14A NCAC 01B .0103 Eff. June 1, 2013 (14B NCAC 01B .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01B .0201 Notice Mailing List

History

Status: expired
History Note Authority G.S. 150B-12
Eff. February 1, 1976
Amended Eff. December 1, 1979
Transferred from 14A NCAC 01B .0201 Eff. June 1, 2013 (14B NCAC 01B .0201)
Transferred from 14A NCAC 01B .0202 Eff. June 1, 2013 (14B NCAC 01B .0202)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01B .0202 Additional Information

History

Status: expired
History Note Authority G.S. 150B-12
Eff. February 1, 1976
Amended Eff. December 1, 1979
Transferred from 14A NCAC 01B .0201 Eff. June 1, 2013 (14B NCAC 01B .0201)
Transferred from 14A NCAC 01B .0202 Eff. June 1, 2013 (14B NCAC 01B .0202)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01B .0301 Request to Participate

History

Status: expired
Authority G.S. 150B-12; 150B-12(e); 150B-13
Eff. February 1, 1976
Amended Eff. July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01B .0301 Eff. June 1, 2013 (14B NCAC 01B .0301)
Transferred from 14A NCAC 01B .0302 Eff. June 1, 2013 (14B NCAC 01B .0302)
Transferred from 14A NCAC 01B .0303 Eff. June 1, 2013 (14B NCAC 01B .0303)
Transferred from 14A NCAC 01B .0304 Eff. June 1, 2013 (14B NCAC 01B .0304)
Transferred from 14A NCAC 01B .0305 Eff. June 1, 2013 (14B NCAC 01B .0305)
Transferred from 14A NCAC 01B .0306 Eff. June 1, 2013 (14B NCAC 01B .0306)
Transferred from 14A NCAC 01B .0307 Eff. June 1, 2013 (14B NCAC 01B .0307)
Transferred from 14A NCAC 01B .0308 Eff. June 1, 2013 (14B NCAC 01B .0308)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01B .0302 Contents of Request

History

Status: expired
Authority G.S. 150B-12; 150B-12(e); 150B-13
Eff. February 1, 1976
Amended Eff. July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01B .0301 Eff. June 1, 2013 (14B NCAC 01B .0301)
Transferred from 14A NCAC 01B .0302 Eff. June 1, 2013 (14B NCAC 01B .0302)
Transferred from 14A NCAC 01B .0303 Eff. June 1, 2013 (14B NCAC 01B .0303)
Transferred from 14A NCAC 01B .0304 Eff. June 1, 2013 (14B NCAC 01B .0304)
Transferred from 14A NCAC 01B .0305 Eff. June 1, 2013 (14B NCAC 01B .0305)
Transferred from 14A NCAC 01B .0306 Eff. June 1, 2013 (14B NCAC 01B .0306)
Transferred from 14A NCAC 01B .0307 Eff. June 1, 2013 (14B NCAC 01B .0307)
Transferred from 14A NCAC 01B .0308 Eff. June 1, 2013 (14B NCAC 01B .0308)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01B .0303 Receipt of Request: Specific Time Limits

History

Status: expired
Authority G.S. 150B-12; 150B-12(e); 150B-13
Eff. February 1, 1976
Amended Eff. July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01B .0301 Eff. June 1, 2013 (14B NCAC 01B .0301)
Transferred from 14A NCAC 01B .0302 Eff. June 1, 2013 (14B NCAC 01B .0302)
Transferred from 14A NCAC 01B .0303 Eff. June 1, 2013 (14B NCAC 01B .0303)
Transferred from 14A NCAC 01B .0304 Eff. June 1, 2013 (14B NCAC 01B .0304)
Transferred from 14A NCAC 01B .0305 Eff. June 1, 2013 (14B NCAC 01B .0305)
Transferred from 14A NCAC 01B .0306 Eff. June 1, 2013 (14B NCAC 01B .0306)
Transferred from 14A NCAC 01B .0307 Eff. June 1, 2013 (14B NCAC 01B .0307)
Transferred from 14A NCAC 01B .0308 Eff. June 1, 2013 (14B NCAC 01B .0308)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14b NCAC 01B .0304 Written Submissions

History

Status: expired
Authority G.S. 150B-12; 150B-12(e); 150B-13
Eff. February 1, 1976
Amended Eff. July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01B .0301 Eff. June 1, 2013 (14B NCAC 01B .0301)
Transferred from 14A NCAC 01B .0302 Eff. June 1, 2013 (14B NCAC 01B .0302)
Transferred from 14A NCAC 01B .0303 Eff. June 1, 2013 (14B NCAC 01B .0303)
Transferred from 14A NCAC 01B .0304 Eff. June 1, 2013 (14B NCAC 01B .0304)
Transferred from 14A NCAC 01B .0305 Eff. June 1, 2013 (14B NCAC 01B .0305)
Transferred from 14A NCAC 01B .0306 Eff. June 1, 2013 (14B NCAC 01B .0306)
Transferred from 14A NCAC 01B .0307 Eff. June 1, 2013 (14B NCAC 01B .0307)
Transferred from 14A NCAC 01B .0308 Eff. June 1, 2013 (14B NCAC 01B .0308)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01B .0305 Hearing Office: Powers and Duties

History

Status: expired
Authority G.S. 150B-12; 150B-12(e); 150B-13
Eff. February 1, 1976
Amended Eff. July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01B .0301 Eff. June 1, 2013 (14B NCAC 01B .0301)
Transferred from 14A NCAC 01B .0302 Eff. June 1, 2013 (14B NCAC 01B .0302)
Transferred from 14A NCAC 01B .0303 Eff. June 1, 2013 (14B NCAC 01B .0303)
Transferred from 14A NCAC 01B .0304 Eff. June 1, 2013 (14B NCAC 01B .0304)
Transferred from 14A NCAC 01B .0305 Eff. June 1, 2013 (14B NCAC 01B .0305)
Transferred from 14A NCAC 01B .0306 Eff. June 1, 2013 (14B NCAC 01B .0306)
Transferred from 14A NCAC 01B .0307 Eff. June 1, 2013 (14B NCAC 01B .0307)
Transferred from 14A NCAC 01B .0308 Eff. June 1, 2013 (14B NCAC 01B .0308)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01B .0306 Statement of Reasons for Decision

History

Status: expired
Authority G.S. 150B-12; 150B-12(e); 150B-13
Eff. February 1, 1976
Amended Eff. July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01B .0301 Eff. June 1, 2013 (14B NCAC 01B .0301)
Transferred from 14A NCAC 01B .0302 Eff. June 1, 2013 (14B NCAC 01B .0302)
Transferred from 14A NCAC 01B .0303 Eff. June 1, 2013 (14B NCAC 01B .0303)
Transferred from 14A NCAC 01B .0304 Eff. June 1, 2013 (14B NCAC 01B .0304)
Transferred from 14A NCAC 01B .0305 Eff. June 1, 2013 (14B NCAC 01B .0305)
Transferred from 14A NCAC 01B .0306 Eff. June 1, 2013 (14B NCAC 01B .0306)
Transferred from 14A NCAC 01B .0307 Eff. June 1, 2013 (14B NCAC 01B .0307)
Transferred from 14A NCAC 01B .0308 Eff. June 1, 2013 (14B NCAC 01B .0308)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14b NCAC 01B .0307 Record of Proceedings

History

Status: expired
Authority G.S. 150B-12; 150B-12(e); 150B-13
Eff. February 1, 1976
Amended Eff. July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01B .0301 Eff. June 1, 2013 (14B NCAC 01B .0301)
Transferred from 14A NCAC 01B .0302 Eff. June 1, 2013 (14B NCAC 01B .0302)
Transferred from 14A NCAC 01B .0303 Eff. June 1, 2013 (14B NCAC 01B .0303)
Transferred from 14A NCAC 01B .0304 Eff. June 1, 2013 (14B NCAC 01B .0304)
Transferred from 14A NCAC 01B .0305 Eff. June 1, 2013 (14B NCAC 01B .0305)
Transferred from 14A NCAC 01B .0306 Eff. June 1, 2013 (14B NCAC 01B .0306)
Transferred from 14A NCAC 01B .0307 Eff. June 1, 2013 (14B NCAC 01B .0307)
Transferred from 14A NCAC 01B .0308 Eff. June 1, 2013 (14B NCAC 01B .0308)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14A NCAC 01B .0308 Temporary Rules

History

Status: expired
Authority G.S. 150B-12; 150B-12(e); 150B-13
Eff. February 1, 1976
Amended Eff. July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01B .0301 Eff. June 1, 2013 (14B NCAC 01B .0301)
Transferred from 14A NCAC 01B .0302 Eff. June 1, 2013 (14B NCAC 01B .0302)
Transferred from 14A NCAC 01B .0303 Eff. June 1, 2013 (14B NCAC 01B .0303)
Transferred from 14A NCAC 01B .0304 Eff. June 1, 2013 (14B NCAC 01B .0304)
Transferred from 14A NCAC 01B .0305 Eff. June 1, 2013 (14B NCAC 01B .0305)
Transferred from 14A NCAC 01B .0306 Eff. June 1, 2013 (14B NCAC 01B .0306)
Transferred from 14A NCAC 01B .0307 Eff. June 1, 2013 (14B NCAC 01B .0307)
Transferred from 14A NCAC 01B .0308 Eff. June 1, 2013 (14B NCAC 01B .0308)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01B .0401 Subjects of Declaratory Rulings

Any person substantially affected by a statute administered or rule promulgated by the Secretary of the Department of Crime Control and Public Safety may request a declaratory ruling as to either the manner in which a statute or rule applies to a given factual situation, if at all, or whether a particular agency rule is valid.

History

Authority G.S. 150B-17
Eff. February 1, 1976
Amended Eff. December 1, 1979
Transferred from 14A NCAC 01B .0401 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01B .0402 Submission of Request for Ruling

All requests for declaratory rulings shall be written and mailed to the Secretary, Department of Crime Control and Public Safety, P.O. Box 27687, Raleigh, N.C. 27611. The container of the request should bear the notation: REQUEST FOR DECLARATORY RULING. The request must include the following information:

(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 reason therefore.

History

Authority G.S. 150B-17
Eff. February 1, 1976
Amended Eff. December 1, 1979
Transferred from 14A NCAC 01B .0402 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01B .0403 Disposition of Requests

(a) When the Secretary of the Department of Crime Control and Public Safety deems it appropriate to issue a declaratory ruling, he shall issue such declaratory ruling within sixty days of receipt of the petition.

(b) A declaratory ruling proceeding may consist of written submissions, an oral hearing, or other procedure as may be appropriate in the circumstances of the particular request as determined by the secretary.

(c) Whenever the secretary believes "for good cause" that the issuance of a declaratory ruling is undesirable, he may refuse to issue such ruling. When good cause is deemed to exist, he will notify the petitioner of his decision in writing, stating the reasons for the denial of the declaratory ruling.

(d) For purposes of Subpart (c) of this Rule, the Secretary of the Department of Crime Control and Public Safety 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 to the factors specified in the request for a declaratory ruling a full consideration 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 rulemaking record;

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

History

Authority G.S. 150B-17
Eff. February 1, 1976
Amended Eff. December 1, 1979
Transferred from 14A NCAC 01B .0403 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01B .0404 Record of Decision

A record of all declaratory rulemaking proceedings will be maintained in the Office of the Secretary of Crime Control and Public Safety for as long as the ruling is in effect and for five years 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 declaratory rulemaking proceedings will be available for public inspection during the regular office hours of the Department of Crime Control and Public Safety.

History

Authority G.S. 150B-17
Eff. February 1, 1976
Amended July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01B .0404 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14b NCAC 01B .0405 Definition

For purposes of Rule .0404 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 Crime Control and Public Safety changes the declaratory ruling prospectively for good reasons; or until any court sets aside the ruling in litigation between the Department of Crime Control and Public Safety 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
Amended Eff. December 1, 1979
Transferred from 14A NCAC 01B .0405 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01B .0501 Request for Hearing

History

Status: expired
Authority G.S. 150A-23
Eff. February 1, 1976
Amended Eff. July 1, 1988; December 1, 1979
Transferred from 14A NCAC 01B .0502 Eff. June 1, 2013
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

Subchapter C

14B NCAC 01C .0101 Delegation of Authority by the Governor

The Governor is given the duty to formulate rules, policies or guidelines as may be necessary to establish a plan under which temporary state law enforcement assistance will be provided to cities and counties when local law enforcement officers refuse to fulfill their law enforcement responsibilities or submit mass resignations. The Governor is also authorized to determine the number of officers to be assigned in a particular case, if any, and the length of time they are to be assigned. Delegation of the authority of the Governor to any state department is allowed. The Governor has delegated to the Secretary of the Department of Crime Control and Public Safety the authority to establish rules, policies or guidelines and to determine the number of officers to be assigned in each particular case and the length of time they are to be assigned.

History

Authority G.S. 160A-288.1; 153A-212
Eff. December 1, 1979
Transferred from 14A NCAC 01C .0101 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01C .0102 Requirements of Request for Assistance

Requests for assistance must be in writing and include the following information:

(1) the local law enforcement agency involved;

(2) the conduct engaged in by the local law enforcement officers, i.e. strike, slowdown, mass resignations, or other conduct which shows a refusal to fulfill their law enforcement responsibilities;

(3) the signature(s) of the appropriate local official(s) specifying that the local governing body has legally approved such a request and agrees to abide by these Rules;

(4) if the request is from a county governing board, the request must specify that the assistance was upon the advice of the sheriff of the county.

History

Authority G.S. 160A-288.1; 153A-212
Eff. December 1, 1979
Transferred from 14A NCAC 01C .0103 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01C .0103 Service of Request for Assistance

(a) The request for assistance must be addressed and sent as follows: Request for Assistance, Secretary of the Department of Crime Control and Public Safety, P.O. Box 27687, Raleigh, N.C. 27611. The request should be mailed or sent by the most expeditious means possible.

(b) If the situation requires immediate action, the secretary may be informed of the request by telephone and a copy of the written request delivered to any North Carolina State Highway Patrol Office for transmittal to the secretary. The highway patrol shall immediately notify the secretary of the receipt of such written request.

History

Authority G.S. 160A-288.1; 153A-212
Eff. December 1, 1979
Transferred from 14A NCAC 01C .0104 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01C .0201 Criteria for Assignment of State Officers

(a) Upon receipt of the written request for assistance or upon notification by the highway patrol of such receipt, the secretary, in his discretion and in consultation with state law enforcement officials, may temporarily assign state law enforcement officers with state-wide authority to provide local law enforcement protection. The secretary in his discretion shall determine the state law enforcement agency or agencies who should assign state officers, the number of state officers assigned and the length of time of the assignment.

(b) The secretary shall always consider the health, safety and welfare of the population in the affected area when determining the number and duration of the assignment. The secretary may consider any of the following factors in determining the needs of the local population:

(1) number of local law enforcement officers who refused to perform their duties or submitted mass resignations;

(2) the apparent need for assistance;

(3) the length of time the officers are likely to continue their present conduct;

(4) the crime rate in the area;

(5) the availability of other local law enforcement resources;

(6) the availability of state law enforcement resources;

(7) the type of law enforcement work engaged in by the local law enforcement officer;

(8) the steps being taken by the local governing body to arrive at a solution to the problem;

(9) any other factor which the secretary considers relevant to this determination.

History

Authority G.S. 160A-288.1; 153A-212
Eff. December 1, 1979
Transferred from 14A NCAC 01C .0201 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01C .0301 State Officers Are Employees of the State

While providing assistance to a city or county, a state law enforcement officer shall be considered an employee of the state for all purposes, including compensation and fringe benefits.

History

Authority G.S. 160A-288.1; 153A-212
Eff. December 1, 1979
Transferred from 14A NCAC 01C .0301 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01C .0302 Orders to State Officers

While providing assistance to a city or county, a state officer shall be subject to the lawful operational commands of his superior state officers. The state officer will not be under the control of or subject to the orders of the local law enforcement officers or the local governing board.

History

Authority G.S. 160A-288.1; 153A-212
Eff. December 1, 1979
Transferred from 14A NCAC 01C .0302 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01C .0303 Deployment of State Officers

The ranking representative of each state law enforcement agency providing assistance shall consult with city and county officials prior to deployment of the state officers under his command. The procedures for deploying and the method of deployment are decisions to be made by the state law enforcement agency providing assistance, subject to the orders of the secretary.

History

Authority G.S. 160A-288.1; 153A-212
Eff. December 1, 1979
Transferred from 14A NCAC 01C .0303 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 01C .0401 Agreement to Pay Costs

History

Status: repealed
Authority G.S. 160A-288.1; 153A-212
Eff. December 1, 1979
Transferred from 14A NCAC 01C .0401, .0402 Eff. June 1, 2013
Repealed Eff. January 1, 2019.

14B NCAC 01C .0402 Statement of Costs

History

Status: repealed
Authority G.S. 160A-288.1; 153A-212
Eff. December 1, 1979
Transferred from 14A NCAC 01C .0401, .0402 Eff. June 1, 2013
Repealed Eff. January 1, 2019.

Subchapter D

14B NCAC 01D .0101 Purpose

History

Status: expired
Authority G.S. 143B-10; 143B-475
Eff. December 1, 1979
Amended Eff. July 1, 1988
Transferred from 14A NCAC 01D .0401 Eff. June 1, 2013 (14B NCAC 01D .0101)
Transferred from 14A NCAC 01D .0402 Eff. June 1, 2013 (14B NCAC 01D .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 01D .0102 Grievance

History

Status: expired
Authority G.S. 143B-10; 143B-475
Eff. December 1, 1979
Amended Eff. July 1, 1988
Transferred from 14A NCAC 01D .0401 Eff. June 1, 2013 (14B NCAC 01D .0101)
Transferred from 14A NCAC 01D .0402 Eff. June 1, 2013 (14B NCAC 01D .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

Chapter 02 The National Guard

14B NCAC 02 .0101 Location and Hours of Operation

(a) The headquarters for the North Carolina National Guard (NCNG) is the Office of the Adjutant General which is located in the North Carolina Military Center on Reedy Creek Road in Raleigh. A list of state-wide locations of National Guard armories may be obtained from the Secretary of Crime Control and Public Safety or the Adjutant General upon request.

(b) All offices are open to the public for conducting business during normal business hours and during time of emergency as called by the Governor or the President.

History

Authority G.S. 127A-31
Eff. February 1, 1976
Amended Eff. September 1, 1980
Transferred from 14A NCAC 02 .0101 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14b NCAC 02 .0102 Purposes and Policies

(a) The National Guard has a dual role as a state military force, subject to the call of the Governor, and a national reserve force, subject to the call of the President. It is equipped and funded largely by the federal government but is administered by the Adjutant General. It is the responsibility of the state to raise and train the troops according to federal standards.

(b) The National Guard is the only military force under the control of the state for use in exercising its sovereignty. The Army and Air National Guard are integral parts and first-line reserve components of the United States Army and the United States Air Force.

(c) Rules and regulations which delineate the policies and procedures for the North Carolina National Guard are promulgated by the North Carolina General Statutes and by departments of the Army and Air Force through the National Guard Bureau.

History

Authority G.S. 127A-3; 127A-29
Eff. February 1, 1976
Transferred from 14A NCAC 02 .0102 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 02 .0103 Functions

The primary functions of the National Guard are as follows:

(1) training units capable of immediate mobilization in times of national emergencies;

(2) providing military support to state and federal civil authorities during times of disaster or other emergencies; e.g., assisting during civil disturbances, hurricanes, tornadoes and flood evacuation and patrolling stricken areas.

History

Authority G.S. 127A-16
Eff. February 1, 1976
Transferred from 14A NCAC 02 .0103 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 02 .0104 Organizational Structure

(a) The North Carolina National Guard is composed of the Army National Guard and the Air National Guard. The military head of the division of the National Guard is the Adjutant General who shall hold the rank of major general. The Adjutant General is appointed by the Governor in his capacity as Commander in Chief of the State Militia, in consultation with the Secretary of the Department of Crime Control and Public Safety and serves at the pleasure of the Governor:

(1) In all administrative and operational matters affecting the militia while under state control, the Adjutant General is responsible to and subject to the direction and supervision of the Secretary of the Department of Crime Control and Public Safety.

(2) The Adjutant General insures compliance with such federal laws and regulations and with all state laws and orders of the Governor not inconsistent with those federal laws and regulations.

(b) The full-time staff of the North Carolina National Guard is a mix of state and federal employees, all of whom are under the direction and control of the Adjutant General.

(c) The organization of the National Guard, including the composition of all units thereof, is the same as that which is or may hereafter be prescribed for the regular army or air force subject in time of peace to such general exceptions as may be authorized by the United States Secretary of Defense.

History

Authority G.S. 127A-19; 127A-29
Eff. February 1, 1976
Amended Eff. May 1, 1988; September 1, 1980
Transferred from 14A NCAC 02 .0104 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 02 .0105 Rentals

(a) Real estate, owned by the State of North Carolina and under the control of the Department of Crime Control and Public Safety, may be made available to Department of Defense agencies or activities, other federal agencies, state and local governmental agencies and private organizations or individuals, in that order, when the installations or facilities are not required for National Guard purposes and when, in the judgment of the department secretary or his representative, the intended use of such real estate is not inimical to the department's interests.

(b) The responsibility for determining the availability of real estate for temporary (three days maximum) use for other than National Guard activities and for executing a rental agreement is the function of the senior commander of the installation. The Office of the Adjutant General must approve requests for facilities in excess of three days. Rental Agreement for Temporary Use of NCNG Real Estate will be utilized for all transactions involving use of National Guard property. See also .0105(5) of this Subsection.

History

Authority G.S. 127A-118; 143B-10(j)
Eff. February 1, 1976
Amended Eff. September 1, 1980
Transferred from 14A NCAC 02 .0106 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 02 .0106 Basic Membership Information

Qualification requirements for membership in the North Carolina National Guard and enlistment or appointment procedures may be obtained by contacting any NCNG unit or the Office of the Adjutant General. Department of the Army and Department of the Air Force prescribe membership criteria appropriate to their respective counterparts within the National Guard. Information available will include, but is not limited to, age, education, physical condition, military obligation incurred, training requirements and pay.

History

Authority G.S. 127A-32; 127A-37; Title 10, U.S. Code
Eff. February 1, 1976
Transferred from 14A NCAC 02 .0107 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

Chapter 03 Emergency Management

14B NCAC 03 .0101 Location and Hours of Operation

History

Status: expired
Authority G.S. 143B-10; 143B-474; 166A-5
Eff. December 1, 1979
Amended Eff. July 1, 1983
Transferred from 14A NCAC 04 .0101 Eff. June 1, 2013 (14B NCAC 03 .0101)
Transferred from 14A NCAC 04 .0102 Eff. June 1, 2013 (14B NCAC 03 .0102)
Transferred from 14A NCAC 04 .0103 Eff. June 1, 2013 (14B NCAC 03 .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 03 .0102 Purposes and Objectives

History

Status: expired
Authority G.S. 143B-10; 143B-474; 166A-5
Eff. December 1, 1979
Amended Eff. July 1, 1983
Transferred from 14A NCAC 04 .0101 Eff. June 1, 2013 (14B NCAC 03 .0101)
Transferred from 14A NCAC 04 .0102 Eff. June 1, 2013 (14B NCAC 03 .0102)
Transferred from 14A NCAC 04 .0103 Eff. June 1, 2013 (14B NCAC 03 .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 03 .0103 Definitions

History

Status: expired
Authority G.S. 143B-10; 143B-474; 166A-5
Eff. December 1, 1979
Amended Eff. July 1, 1983
Transferred from 14A NCAC 04 .0101 Eff. June 1, 2013 (14B NCAC 03 .0101)
Transferred from 14A NCAC 04 .0102 Eff. June 1, 2013 (14B NCAC 03 .0102)
Transferred from 14A NCAC 04 .0103 Eff. June 1, 2013 (14B NCAC 03 .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 03 .0104 Organization

History

Authority G.S. 143B-10; 143B-474; 166A-5
Eff. December 1, 1979
Amended Eff. July 1, 1983
Transferred from 14A NCAC 04 .0104 Eff. June 1, 2013
RRC Objection May 19, 2016 and rule returned to agency on June 17, 2016.

14B NCAC 03 .0201 Forms and Manuals

History

Status: expired
Authority G.S. 143B-10; 143B-474; 143B-601; 166A-5; 166A-19.12
Eff. December 1, 1979
Amended Eff. July 1, 1983
Transferred from 14A NCAC 04 .0201 Eff. June 1, 2013 (14B NCAC 03 .0201)
Transferred from 14A NCAC 04 .0202 Eff. June 1, 2013 (14B NCAC 03 .0202)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 03 .0202 Where to Obtain Manuals/Forms and Assistance

History

Status: expired
Authority G.S. 143B-10; 143B-474; 143B-601; 166A-5; 166A-19.12
Eff. December 1, 1979
Amended Eff. July 1, 1983
Transferred from 14A NCAC 04 .0201 Eff. June 1, 2013 (14B NCAC 03 .0201)
Transferred from 14A NCAC 04 .0202 Eff. June 1, 2013 (14B NCAC 03 .0202)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 03 .0301 Local Emergency Management

History

Status: expired
Authority G.S. 166A-19.12; 166A-19.15; 166A-19.71
Eff. December 1, 1979
Amended Eff. July 1, 1983
Transferred from 14A NCAC 04 .0301 Eff. June 1, 2013
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 03 .0401 Purpose

(a) The purpose of this section is to prescribe requirements pertaining to the North Carolina Department of Public Safety's Division of Emergency Management administered North Carolina Search and Rescue System.

(b) This Section applies to all persons or entities of the North Carolina Search and Rescue Program made parties pursuant to G.S. 166A-66(a)(9).

History

Authority G.S. 166A-66
Eff. April 1, 2023.

14B NCAC 03 .0402 Abbreviations and Definitions

As used in this Section the following abbreviations and terms mean:

(1) "Activation" means the status of a system resource placed at the direction, control, and funding of NCEM as part of the NC SAR System.

(2) "All-hazards Disaster Response Model" means a response methodology where system resources provide all applicable capability to respond to any threat or hazard that is impacting the State or is forecasted to impact the State as determined by the NCEM Director.

(3) "Authority Having Jurisdiction" (AHJ) means those local, state, or federal entities having a duty to act over a specific aspect of search and rescue in a specific geographic area.

(4) "Contract Response Team" means a regional all-hazards disaster response team as defined in G.S. 166A-65 capable of conducting urban search and rescue, swiftwater rescue, and wide area search operations with self-sustaining logistical support allowing for responses into disaster areas.

(5) "County to County Mutual Aid" means public safety resource sharing between local governments under the conditions of the NC Statewide Mutual Aid Agreement or another similar agreement between local governments.

(6) "Federal Emergency Management Agency" (FEMA) means an agency of the United States Department of Homeland Security with the responsibility to coordinate the federal response to Presidentially-declared disasters that has occurred in the United States.

(7) "FEMA Public Assistance Program" means a federal reimbursement grant program that provides federal funding to help communities respond to and recover from disasters.

(8) "Functionally equivalent" means an item or group of items that can be used in the same basic manner as another item or items to perform a task to the same standard.

(9) "Local Emergency Management Coordinator" (LEMC) means the County Emergency Management Coordinator as defined in G.S. 166A-19.15 who is responsible for all local disaster preparedness, response, and recovery activities in a specific county.

(10) "NC All-Hazards Incident Management Team" (NCAHIMT) mean the North Carolina Division of Emergency Management's program responsible for supporting local and state incident management during disaster response activities.

(11) "North Carolina Search and Rescue System" (NC SAR System) means the NC Search and Rescue Program established in Article 6 of Chapter 166A of the North Carolina General Statutes. The NC SAR System includes five individual programs: Urban Search and Rescue, Swiftwater Rescue, Helicopter Rescue, Mountain Rescue, and Wilderness Search and Rescue.

(12) "North Carolina Search and Rescue Team Advisory Committee" (NC SAR TAC) means an advisory committee established in Article 6 of Chapter 166A of the North Carolina General Statutes to advise the Secretary of the North Carolina Department of Public Safety on the establishment of the North Carolina Search and Rescue System.

(13) "North Carolina Division of Emergency Management" (NCEM) means a division of the North Carolina Department of Public Safety established in G.S. 143B-1000 with the responsibility to coordinate the mitigation, planning, preparedness, response, and recovery to a disaster or emergency that has or could is forecasted to occur in the State as determined by the NCEM Director.

(14) "North Carolina Emergency Management Operations Chief" (NCEM OSC) means the Assistant Director of Operations for the North Carolina Division of Emergency Management.

(15) "North Carolina Emergency Management Director" (NCEM Director) means the Director of the North Carolina Division of Emergency Management.

(16) "National Incident Management System" (NIMS) means a federal policy that provides a systematic, proactive approach guiding government agencies at all levels, nongovernmental organizations, and the private sector to work to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity, to reduce the loss of life or property and harm to the environment.

(17) "On-duty" means when a person is acting as an agent of their Sponsoring or Participating Agency or of the NC Division of Emergency Management as part of the NC Search and Rescue System.

(18) "Participating Agency" means an entity that assists a Sponsoring Agency with the formation of a search and rescue team by providing personnel or equipment.

(19) "Program costs" means training, equipment, personnel, or administrative expenses incurred by a Sponsoring or Participating Agency during activities of the NC SAR System.

(20) "Resource typing" means a document defining and categorizing, by capability, the system resources requested, deployed, and used in incidents.

(21) "Responsible Party" means the entity whose actions or inactions caused an event as determined by the authority having jurisdiction requiring system resources to respond and incur costs.

(22) "Sensitive information" means any information, to include audio recordings, images, and video recordings, obtained during an activation that has not been released to the public by the AHJ.

(23) "Specialty Rescue Team" means a group of response personnel who provide technical search and rescue capability as part of the North Carolina Search and Rescue System that is not a contract response team as defined in G.S. 166A-65.

(24) "Sponsoring Agency" means a local or tribal unit of government or a corporation with an active response agreement with a local unit of government that organizes and coordinates a search and rescue team in the North Carolina Search and Rescue System. This entity serves as the lead agency for teams comprised of multiple agencies.

(25) "State Emergency Operations Plan" (SEOP) means a document maintained under the authority of G.S. 166A-19.12(2) that details how the State of North Carolina will respond to a disaster or emergency requiring State assistance utilizing an All-Hazards Disaster Response Model.

(26) "State Mission Assignment" (State Mission) means a NCEM approved request for assistance to deploy system resources at the request of a local unit of government.

(27) "System agreements" means contracts, memoranda of agreements, or memoranda of understanding between NCEM and Contract Response Teams for the purposes of establishing and maintaining the NC SAR System.

(28) "System personnel" means human resources from a Contract Response or Specialty Rescue Team or human resources employed by the Division of Emergency Management with a responsibility for search and rescue response.

(29) "System resource" means personnel or equipment from a or specialty rescue team that is participating in the NC Search and Rescue System with the North Carolina Division of Emergency Management for search and rescue response.

History

Authority G.S. 166A-65; 166A-66; 166A-67; 166A-69
Eff. April 1, 2023.

14B NCAC 03 .0403 dispatch of a contract response team to a search and rescue team or specialty rescue team mission

(a) North Carolina Search and Rescue System's (NC SAR System) system resources shall employ the All-Hazards Disaster Response Model.

(b) The North Carolina Division of Emergency Management (NCEM) shall maintain direction and control of any deployed system resources that have been deployed through action of NCEM until a time that they have been demobilized or the system resource is needed by the Sponsoring Agency.

(c) Any resource of the NC SAR System remains a local resource when not deployed by NCEM and may deploy under their local authorities or agreements notwithstanding any action by the State. Participation in the NC SAR System shall not limit or supersede their local authorities, responsibilities, or agreements when the system resource is deploying under those authorities or agreements.

(d) The County Local Emergency Management Coordinator (LEMC) shall have the authority to request system resources. Local law enforcement agencies, fire departments, rescue squads, and any other local AHJ shall route requests for activation of NC SAR System resources to their LEMC who will make the request for support to NCEM.

History

Authority G.S. 166A-66
Eff. April 1, 2023.

14B NCAC 03 .0404 on-site operations of SysTEM Resources

All search and rescue system resources shall operate in accordance with the following standards of response:

(1) FEMA National Incident Management System standards which are adopted and are incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and can be found at no cost at: https://www.fema.gov/sites/default/files/2020-07/fema_nims_doctrine-2017.pdf;

(2) following all direction from NCEM personnel acting pursuant to G.S. 166A-19.12(1) when deploying as a system resource;

(3) when responding in support of law enforcement operations, system resources shall coordinate activities with the law enforcement authorities to ensure their actions support any potential criminal investigation; and

(4) system resources shall not release any sensitive information to the public or media during operations without the consent of the local, state, or federal authority having jurisdiction consistent with Chapter 132 of the North Carolina General Statutes.

History

Authority G.S. 166A-66
Eff. April 1, 2023.

14B NCAC 03 .0405 Standards for administration of a contract response team, including procedures for reimbursement of response costs

(a) Contract Response Teams and Specialty Rescue Teams shall maintain the following personnel records and have them available for audit:

(1) responder medical history;

(2) emergency contact information;

(3) current pay and benefit rates, including overtime rates; and

(4) policies for overtime pay if deploying paid persons.

(b) System personnel shall be in an on-duty status as an emergency management worker as defined in G.S. 166A-19.60(e) during all training and responses.

(d) System resources shall maintain all system personnel training, certification, and credentials as outlined in Rule .0409 in this Section.

(e) System resources shall maintain all inventory and maintenance records for deployable equipment.

(f) Resource records shall be available for review by NCEM officials to ensure compliance.

(g) Within 90 days of demobilization from a State mission, system resources shall submit receipts, expense reports, and supporting documentation of actual costs to NCEM for reimbursement consistent with the FEMA Public Assistance Program and Policy Guide which is adopted and incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and is available at no cost at: https://www.fema.gov/sites/default/files/documents/fema_pappg-v4-updated-links_policy_6-1-2020.pdf.

History

Authority G.S. 166A-19.60; 166A-66
Eff. April 1, 2023.

14B NCAC 03 .0406 recovering the costs of a search and rescue team or specialty rescue team mission

(a) NCEM shall seek reimbursement from the Responsible Party for system response costs in cases of negligence or intentional disaster.

(b) NCEM shall bill the Responsible Parties costs to include personnel and equipment costs consistent with current protocols established for the recovery of cost of activation of a response team for a hazardous materials emergency response set out in G.S. 166A-27 or civil liability of persons who willfully ignore a warning in an emergency pursuant to G.S. 166A-19.62.

History

Authority G.S. 166A-27; 166A-66; 166A-19.62
Eff. April 1, 2023.

14B NCAC 03 .0407 Procedures for bidding and contracting for search and rescue team and specialty rescue team mission

(a) Eligibility for participation as a Contract or Specialty Rescue Team:

(1) Sponsoring agencies shall:

(A) be a local unit of government, State-recognized tribal government, or a corporation with an active response agreement with a local or tribal unit of government;

(B) maintain participation in the statewide mutual aid agreement; and

(2) Participating agencies shall ensure all personnel possess the qualifications as outlined in Rule .0409 of this Section.

(b) Eligibility for participation as personnel.

(1) Personnel shall be from the NC SAR System, NCEM All-Hazards Incident Management Team Program, or an employee of NCEM. If not an employee of NCEM, each member's Sponsoring Agency shall have an active system agreement that outlines the conditions of their participation.

(2) NCEM shall ensure all personnel possess the qualifications as outlined in Rule .0409 of this Section.

(c) Contract Response Teams – Within 18 months of the first day of the contractual performance, NCEM shall electronically distribute a bid announcement via electronic mail to all system resources and local emergency management coordinators for interested parties to return a letter of interest. NCEM shall distribute an electronic bid package to all interested parties that shall be returned to NCEM.

(1) Contract Response Teams shall be limited to seven regionally based all hazard response taskforces. Each taskforce will be assigned a primary response region in the state.

(2) The bidding agency and any participating agencies shall be located in that specified response region.

(3) A review committee shall be established by the NCEM Director or designee. This committee will open all completed sealed bid packages and evaluate them based on an agreed upon criteria as outlined in Rule .0408 of this Section at a date set by the NCEM Director or designee.

(4) The committee shall develop a bid package review summary that includes their recommendations for selections that will be sent to the NCEM Operations Section Chief for concurrence before being reviewed and approved by the NCEM Director.

(5) Agencies who are successful in the bid process will be notified and system agreements shall be drafted and executed.

(6) NCEM shall draft, execute, and maintain a system agreement with the sponsoring agency for the resource to maintain participation in the NC SAR System.

(A) NCEM shall execute and maintain a system agreement with the sponsoring agency that outlines the scope of work that the team shall follow to enable reimbursement of eligible training, equipment, and administrative costs associated with maintaining a Contract Response Team. The system agreement shall be limited to the contract period.

(B) Funds reimbursed through this agreement shall go directly to cover program costs and be utilized by the Sponsoring and Participating agencies.

(C) The Sponsoring Agency shall maintain all records of any NC SAR System spending and shall not comingle funds or use NC SAR System funding for any other purpose.

(D) Each Sponsoring Agency is responsible to draft, execute, and maintain agreements with each participating agency that is supporting their bid for a Contract Response Team with personnel, equipment, or funding. The Sponsoring Agency may include any participating agency resources in their bid package.

(E) Resources shall maintain a response agreement with NCEM that outlines the activation process and the reimbursement process for costs of state missions.

(d) Specialty Rescue Teams - NCEM shall enter into response agreements with Sponsoring Agencies to establish specialty rescue teams to ensure statewide response capability in established NC SAR System program areas.

(1) These program areas shall be:

(A) Swiftwater Search and Rescue;

(B) Wilderness / Land Search and Rescue;

(D) Helicopter Search and Rescue

(2) NCEM shall support system resources with training and equipment within the confines of available funding. Participation as a Specialty Rescue Team is considered at will by either party to the extent that agreements can be terminated with or without cause by either party with a 30-day notice.

(3) Each Sponsoring Agency shall enter into a response agreement specific to each established program area with NCEM. The resource will then enter into a system agreement with NCEM that shall be referred to as a Specialty Rescue Team response agreement.

(4) Specialty Rescue Teams shall demonstrate their ability to deploy a self-sufficient team outside their jurisdiction to be eligible to participate in the NC SAR System. Specialty Rescue Teams shall provide all support requirements for their deployed personnel and equipment for a period of 72 hours from deployment without outside support.

(5) Each Sponsoring Agency of a Specialty Rescue Team shall draft, execute, and maintain agreements with each Participating Agency that is supporting the Sponsoring Agency in maintaining a Specialty Response Team with personnel, equipment, or funding.

History

Authority G.S. 166A-65; 166A-66; 166A-67
Eff. April 1, 2023.

14B NCAC 03 .0408 Criteria for evaluating bids for CONTRACT RESPONSE TEAM

(a) Bidding agencies shall:

(1) submit via courier, United States Mail, or hand deliver a bid package signed by an authorized representative of a local unit of government, State recognized tribal government, or corporation that maintains an active response agreement with a local or tribal unit of government;

(2) provide a plan for the bidding entity to deploy the required number of personnel for a period of up to 14 days when not required for a local response. This may be as a single entity or as a collaboration of multiple agencies in the specified response region. If a collaboration of multiple agencies, the sponsoring or the bidding agency shall maintain cooperative agreements with all supporting agencies. For the purposes of the bid submission, the bidding entity shall provide a letter of support from all supporting agencies;

(3) provide a plan for the bidding entity to maintain the required number of personnel trained per Rule .0409 of this Section; and

(4) ensure all participating members possess the qualifications as outlined in Rule .0409 of this Section.

(b) Bids shall be evaluated on:

(1) geographic location of team base;

(2) ability to maintain required number of trained personnel to ensure response readiness;

(3) ability to maintain and care for any system provided equipment;

(4) availability of local equipment to support response activities;

(5) availability to maintain dedicated administrative staff to ensure management of administrative duties, training, and logistical requirements; and

(6) consistent with federal procurement rules as outlined in 2 CFR Part 200 which is adopted and incorporated by reference with subsequent changes or amendments pursuant to 150B-21.6 and can be found at no cost at: https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200; and

(7) consistent with State procurement rules as outlined in Chapter 5 of North Carolina Administrative Code which is adopted and incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and can be found at no cost at: http://reports.oah.state.nc.us/ncac.asp?folderName=\Title%2001%20-%20Administration\Chapter%2005%20-%20Purchase%20and%20Contract.

History

Authority G.S. 166A-66; 166A-67
Eff. April 1, 2023.

14B NCAC 03 .0409 Personnel, Training, And Equipment Standarards for CONTRACT RESPONSE TEAMs and Specialty Rescue Teams

(a) Requirements for all system personnel:

(1) personnel shall be no less than 18 years of age;

(2) personnel shall be an employee of a Sponsoring Agency, Participating Agency, or an employee of the North Carolina Division of Emergency Management. By participating in this program, system personnel remain employees of their Sponsoring or Participating Agency and at no time become a State employee entitled to State benefits unless they are an employee of NCEM;

(3) personnel shall maintain no less than 24 hours of search and rescue training annually;

(4) while participating in any program activity personnel shall be considered emergency management workers, as defined in G.S. 166A-19.60. and

(5) personnel shall possess the qualifications of character and general fitness requisite for a public servant and be of good moral character and entitled to the high regard and confidence of the public as evidenced by:

(A) not having been convicted by a local, state, federal, or military court of a felony;

(B) not having been convicted by a local, state, federal, or military court of a Class B Misdemeanor as defined in 12 NCAC 09A .0103(24)(b) which is adopted and incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 in the previous five years or the completion of any corrections supervision imposed by the courts, whichever is later;

(C) not having been convicted of an offense by a local, state, federal, or military court that would prohibit the possession of a firearm or ammunition, under 18 U.S.C. 922, which is hereby incorporated by reference with subsequent amendments and editions pursuant to G.S. 150B-21.6 can be found at no cost https://www.govinfo.gov/content/pkg/USCODE-2018-title18/pdf/USCODE-2018-title18-partI-chap44.pdf;

(D) being truthful in providing information to the appointing agency;

(E) not having pending or outstanding charges in a local, state, federal, or military court that, if convicted, would exclude eligibility under this Rule.

(6) make the following notifications:

(A) within seven days of the qualifying event, notify the Sponsoring Agency in writing of all criminal or traffic offenses for which the individual is charged or arrested;

(B) within seven days of the qualifying event, notify the Sponsoring Agency in writing of all criminal offenses for which the individual pleads no contest, pleads guilty, or of which the individual is convicted;

(C) within seven days of service, shall notify the Sponsoring Agency that he or she has been served by a judicial official;

(D) within seven days of the date the case was disposed of in court, the Sponsoring Agency, provided they have knowledge of system personnel's arrests or criminal charges and final dispositions, shall also notify NCEM of arrests or criminal charges and final disposition of the criminal charges against system personnel; and

(E) within seven days of the issuance of all Domestic Violence Protective Orders pursuant to G.S. 50B and Civil No Contact Orders pursuant to G.S. 50C, the sponsoring agency, provided they have knowledge of the order, shall also notify NCEM of these orders.

(b) Requirements for all system equipment:

(1) equipment shall be made available for inspections and ; inventory by NCEM personnel;

(2) system resources shall maintain any State-owned equipment per manufacturer's recommendations and immediately notify NCEM of any damage to State-owned and issued equipment; and

(3) upon separation, all system resources shall return all state property in no more than 30 days to NCEM.

(1) A Type I or Type II Urban Search and Rescue Team shall maintain a roster of 116 personnel who have successfully completed the North Carolina Urban Search and Rescue Structural Collapse Rescue Technician Course or the Federal Emergency Management Agency Structural Collapse Specialist Course.

(2) A Type III Urban Search and Rescue Team shall maintain a roster of 58 personnel who have successfully completed the NC USAR Structural Collapse Rescue Technician Course or the Federal Emergency Management Agency Structural Collapse Specialist Course.

(3) North Carolina Division of Emergency Management shall be responsible for providing qualified structures specialists, medical team managers, and canine search specialists for any urban search and rescue team as part of this program if required for a response.

(d) Urban Search and Rescue Team Equipment Requirements:

(1) Urban Search and Rescue Teams shall maintain a functionally equivalent cache of equipment based on the appropriate team type with the Emergency Management Accreditation Program Urban Search and Rescue Cache List which is adopted and incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 as outlined in the latest published standard by the Emergency Management Accreditation Program located at no cost at https://emap.org/index.php/root/assessor-resources/87-emap-cache-list.

(2) Equipment shall be maintained in a manner ready to be used and with a means to transport all required equipment.

(e) Swiftwater Rescue Team Personnel and Training Requirements:

(1) Any Type I Swiftwater Rescue Team shall maintain a minimum roster of 32 personnel who have successfully completed Swiftwater Rescue Technician level training that meets requirements of Chapters 5, 11, and 12 of National Fire Protection Associations (NFPA) 1006 which is adopted and incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and can be found at https://www.nfpa.org/codes-and-standards/all-codes-and-standards/list-of-codes-and-standards/detail?code=1006 at a cost of ninety one dollars ($91.00). From the complete roster, the team shall maintain the following number of personnel trained in position specific advanced roles:

(A) eight personnel who have completed the North Carolina Swiftwater Flood Rescue Boat Operator Course;

(B) two personnel who have completed either the North Carolina Swiftwater / Flood Rescue Team Leader Course or North Carolina Urban Search and Rescue Task Force Leader Course; and

(C) two personnel who have completed either the North Carolina Swiftwater / Flood Rescue Team Communications Specialist Course or North Carolina Urban Search and Rescue Communications Specialist Course.

(2) Any Type II Swiftwater Rescue Team shall maintain a minimum roster of 24 personnel who have successfully completed Swiftwater Rescue Technician level training that meets training requirements of Chapters 5, 11, and 12 of NFPA 1006. From the complete roster, the team shall maintain the following number of personnel trained in position specific advanced roles:

(A) four personnel who have completed the North Carolina Swiftwater Flood Rescue Boat Operator Course;

(B) two personnel who have completed either the North Carolina Swiftwater Flood Rescue Team Leader Course or North Carolina Urban Search and Rescue Task Force Leader Course; and

(C) two personnel who have completed either the North Carolina Swiftwater Flood Rescue Team Communications Specialist Course or North Carolina Urban Search and Rescue Communications Specialist Course.

(3) Any Type III Swiftwater Rescue Team shall maintain a minimum roster of 16 personnel who have successfully completed Swiftwater Rescue Technician level training that meets training requirements from Chapters 5, 11, and 12 of NFPA 1006. From the complete roster, the team shall maintain the following number of personnel trained in position specific advanced roles:

(A) two personnel who have completed the North Carolina Swiftwater Flood Rescue Boat Operator Course;

(B) two personnel who have completed either the North Carolina Swiftwater Flood Rescue Team Leader Course or North Carolina Urban Search and Rescue Task Force Leader Course; and

(f) Swiftwater Rescue Team Equipment Requirements:

(1) Any Type I Swiftwater Rescue Team shall maintain an equipment cache of no less than:

(A) six 800 MHz portable radios programed with the NC VIPER Radio System template;

(B) sixteen portable radios capable for internal team communications;

(D) sixteen each of dry suits with a liner, personal floatation devices with not less than 22lbs of floatation, helmet with headlamp, rescue knife, pealess whistle, boat motor key, water rescue throw bag, and pair of water rescue boots;

(E) two each thermal imaging cameras and handheld spotlights;

(F) two State of North Carolina road atlases;

(G) six global positioning system receivers;

(H) two forcible entry kits to include a Halligan, axe, sledgehammer, and bolt cutters per kit;

(I) two chain saws;

(J) four inflatable ridged boats not less than four meters in length with not less than six total outboard motors;

(K) one rope rescue kit to include 20 locking carabiners, four full body harnesses, two knot passing pulleys, 12 tandem prusiks, eight pulleys, two 200 foot life safety rope in a bag, two 300 foot life safety rope in a bag, line thrower, and six sections of each 5 foot, 12 foot, 15 foot, 20 foot nylon tubular webbing;

(L) two decontamination kits to include one 2.5 gallon pressure sprayer, one five gallon bucket, one 40 gallon work box, one 110 volt submersible pump, two 25 foot sections of garden hose, garden hose wye adaptor, a 110 volt submersible pump, cleaning solution per dry suit manufacturer recommendations, and one 1.5 inch to .75 inch male garden hose adapter;

(M) six non-venting fuel cells with fuel lines;

(N) two self-bailing rafts;

(O) four boat field repair kits to include a patch and five clamshells per kit;

(P) twelve paddles;

(Q) shelter system for 16 personnel that can be assembled in under 30 minutes time and does not require power for assembly;

(R) sixteen each of a sleeping kit such as a cot, pad, or sleeping bag;

(S) two each of two kilowatt or larger generators with portable lights; and

(T) two electric air pumps, four manual inflation pumps, and eight compressed air cylinders with fill systems to inflate boats or rafts.

(2) Any Type II Swiftwater Rescue Team shall maintain an equipment cache of no less than:

(A) four 800 MHz portable radios programed with the NC VIPER Radio System template;

(B) ten portable radios capable for internal team communications;

(D) ten each of dry suits with a liner, personal floatation devices with not less than 22lbs of floatation, helmet with headlamp, rescue knife, pealess whistle, boat motor key, water rescue throw bag, and pair of water rescue boots;

(E) two each thermal imaging cameras and handheld spotlights;

(F) two State of North Carolina road atlases;

(G) four global positioning system receivers;

(H) one forcible entry kits to include a Halligan, axe, sledgehammer, and bolt cutters per kit;

(I) two chain saws;

(J) two inflatable ridged boats not less than 4 meters in length with not less than three total outboard motors;

(K) one rope rescue kit to include 20 locking carabiners, four full body harness, two knot passing pulleys, 12 tandem prusiks, eight pulleys, two 200 foot life safety rope in a bag, two 300 foot life safety rope in a bag, line thrower, and six sections of each 5 foot, 12 foot, 15 foot, 20 foot nylon tubular webbing;

(L) one decontamination kits to include one 2.5 gallon pressure sprayer, one five gallon bucket, one 40 gallon work box, one 110 volt submersible pump, two 25 foot sections of garden hose, garden hose wye adaptor, a 110 volt submersible pump, cleaning solution per dry suit manufacturer recommendations, and one 1.5 inch to .75 inch male garden hose adapter;

(M) four non-venting fuel cells with fuel lines;

(N) one self-bailing raft;

(O) two boat field repair kits to include a patch and five clamshells per kit;

(P) six paddles;

(Q) shelter system for ten personnel that can be assembled in under 30 minutes time and does not require power for assembly;

(R) ten each of a sleeping kit such as a cot, pad, or sleeping bag;

(S) two each of two kilowatt or larger generators with portable lights; and

(T) two electric air pumps, four manual inflation pumps, and eight compressed air cylinders with fill systems to inflate boats or rafts.

(3) Any Type III Swiftwater Rescue Team shall maintain an equipment cache of no less than:

(A) six 800 MHz portable radios programed with the NC VIPER Radio System template;

(B) six portable radios capable for internal team communications;

(D) six each of dry suits with a liner, personal floatation devices with not less than 22lbs of floatation, helmet with headlamp, rescue knife, pealess whistle, boat motor key, water rescue throw bag, and pair of water rescue boots;

(E) one State of North Carolina road atlas;

(F) two global positioning system receivers;

(G) one forcible entry to include a Halligan, axe, sledgehammer, and bolt cutters per kit;

(H) one chain saw;

(I) one inflatable ridged boats not less than 4 meters in length with not less than two total outboard motors;

(J) one rope rescue kit to include 20 locking carabiners, two full body harness, two knot passing pulleys, 12 tandem prusiks, four pulleys, 200 foot life safety rope in a bag, 300 foot life safety rope in a bag, line thrower, and three sections of each 5 foot, 12 foot, 15 foot, 20 foot nylon tubular webbing;

(K) one decontamination kits to include one 2.5 gallon pressure sprayer, one five gallon bucket, one 40 gallon work box, one 110 volt submersible pump, two 25 foot sections of garden hose, garden hose wye adaptor, a 110 volt submersible pump, cleaning solution per dry suit manufacturer recommendations, and one 1.5 inch to .75 inch male garden hose adapter;

(L) two non-venting fuel cells with fuel lines;

(M) one self-bailing raft;

(N) one boat field repair kits to include a patch and five clamshells per kit;

(O) three paddles;

(P) shelter system for 16 personnel that can be assembled in under 30 minutes time and does not require power for assembly;

(R) sixteen each of a sleeping kit such as a cot, pad, or sleeping bag;

(S) one each of two kilowatt or larger generators with portable lights; and

(T) one electric air pumps, one manual inflation pumps, and two compressed air cylinders with fill system to inflate boats or rafts.

(g) Helicopter search and rescue technicians shall:

(1) be a member of the Urban Search and Rescue, Swiftwater Rescue, Wilderness Search and Rescue, or Mountain Rescue Programs with a letter of support from their sponsoring agency;

(2) complete the North Carolina Division of Emergency Management Helicopter Rescue Indoctrination Course; and

(3) attend scheduled training on no less than a quarterly basis to maintain their qualification as a helicopter rescue technician.

(h) Helicopter Rescue Team Equipment Requirements

(1) Helicopter search and rescue technicians shall maintain all issued equipment in accordance with the manufacturer recommendations.

(2) Helicopter search and rescue technicians shall inspect their issued equipment prior to and after each use and report any damage per manufacturer recommendations to the Aviation Life Safety Equipment Officer.

(i) Wilderness Search and Rescue Team Requirements

(1) A wilderness search and rescue team shall maintain a roster of no less than eight personnel that have completed the NC Land Search Field Team Member Course or other wilderness search course that meets the current requirements of the American Society for Testing and Materials F2209 standard which is adopted and incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and can be found at: https://www.astm.org/f2209-20.html at a cost of fifty seven dollars ($57.00).

(2) A wilderness search and rescue team shall maintain a team equipment cache of no less than eight of the following:

(A) field pack able to carry required equipment;

(B) multi-purpose knife;

(D) safety glasses;

(E) pealess whistle;

(F) grid reader for 1:24000 scale;

(G) compass;

(H) two light sources with spare batteries;

(I) set of rain gear to include a jacket with a hood and a pair of pants;

(J) tracking stick no less than 42 inches long;

(K) watch;

(L) equipment needed to start a fire such as waterproof matches or fire starting steel;

(M) measuring device capable of measuring no less than 18 inches;

(N) paper and pen or pencil;

(O) FEMA ICS 214 form which is adopted and incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and can be found at: https://training.fema.gov/emiweb/is/icsresource/assets/ics%20forms/ics%20form%20214,%20activity%20log%20(v3.1).pdf at no cost;

(P) fifty foot of cordage;

(Q) eight zip ties; and

(R) signaling mirror.

(3) A wilderness search and rescue team shall maintain a rescue equipment cache of no less than the following:

(A) two global positioning system receivers; and

(B) two first aid kits to include two tourniquets, eight four inch square gauze pads, two two inch gauze rolls, two rolls of paper tape one inch by ten yards, two rolls of moleskin patches two inch by five yards, two emergency survival blankets, two triangle bandages, one SAM splint 36 inches in length, five pairs of nitrile gloves, one CPR micromask, and one trauma shear scissors.

(j) Mountain Rescue Team Requirements

(1) A mountain rescue team shall maintain a roster of no less than eight personnel that have completed the NC Mountain Rescue Operations Course. Of those eight personnel, two personnel shall have also completed the NC Mountain Rescue Technician Course.

(2) A mountain rescue team shall maintain a team equipment cache of no less than eight of following:

(A) field pack able to carry required equipment;

(B) multi-purpose knife;

(D) grid reader for 1:24000 scale;

(E) equipment needed to start a fire such as waterproof matches or fire starting steel;

(F) compass;

(G) two light sources with spare batteries;

(H) set of rain gear to include a jacket with a hood and a pair of pants;

(I) watch;

(J) paper and pen or pencil; and

(K) FEMA ICS 214 form;

(3) A mountain rescue team shall maintain a rescue equipment cache of no less than the following:

(A) two global positioning system receivers;

(B) ten screw gate carabiners;

(D) eight pre-sewn runners;

(E) eight sets of matching prussik pairs;

(F) four 30 foot cords suitable for anchor and litter rigging;

(G) eight mountaineering harnesses;

(H) two rappel type friction devices;

(I) two each of single and double micro pulleys;

(J) two 150 foot ropes with a rating equal to or greater than 20 kilonewtons;

(K) two 250 foot ropes with a rating equal to or greater than 20 kilonewtons;

(L) eight pairs of snow shoes;

(M) eight pairs of trekking poles;

(N) four ice screws;

(O) eight pairs of slip-on boot traction devices;

(P) four pairs of crampons;

(Q) a patient litter such as a military type stokes basket or sked system; and

(R) two 800 MHz portable radios programed with the NC VIPER Radio System template.

History

Authority G.S. 166A-66; 166A-67; 166A-68
Eff. April 1, 2023.

14B NCAC 03 .0410 Proceedures for auditing CONTRACT RESPONSE TEAMs and Specialty Rescue Teams

(a) Teams shall be audited by NCEM no less than every three years to ensure compliance with program requirements. Teams shall provide the following for review by NCEM personnel within five days upon request:

(1) administrative records such as internal team plans and procedures, training records, personnel records, equipment maintenance records, and any fiscal records pertaining to the Contract Response or Specialty Rescue Team;

(2) equipment cache to include ensuring all required equipment is present, operational, and in a deployment ready condition; and

(3) access to functional exercises that demonstrate the ability of the resource to muster, deploy, and function.

(b) Within 30 days of the audit, NCEM personnel shall complete, file, and email to the Sponsoring Agency an audit report documenting the audit team's findings.

History

Authority G.S. 166A-66; 166A-67
Eff. April 1, 2023.

14B NCAC 03 .0501 Purpose

(b) This section applies to all persons or entities of the North Carolina Hazardous Materials Regional Response Team Program made parties pursuant to G.S. 166A-22.

History

Authority G.S. 166A-22
Eff. March 1, 2024.

14B NCAC 03 .0502 Abbreviations and Definitions

As used in this section, the following abbreviations and terms mean:

(1) "Activation" means the status of a program resource placed at the direction, control, and funding of NCEM as part of the NC RRT Program.

(2) "All-hazards Disaster Response Model" means a response methodology where program resources provide all capability to respond to any threat or hazard that is impacting the state or is forecasted to impact the State as determined by the NCEM Director.

(3) "Authority Having Jurisdiction" (AHJ) means those local, State, tribal or federal entities having a duty to act over a specific aspect of hazardous materials in a specific geographic area.

(4) "County to County Mutual Aid" means public safety resource sharing under the conditions of the NC Statewide Mutual Aid Agreement or another similar agreement between political subdivisions.

(5) "Federal Emergency Management Agency" (FEMA) is an agency of the United States Department of Homeland Security with the responsibility to coordinate the federal response to a Presidentially-declared disaster that has occurred in the United States and that overwhelms the resources of local and State authorities.

(6) "FEMA Public Assistance Program" means a federal reimbursement grant program that provides federal funding to help communities respond to and recover from disasters.

(7) "Functionally equivalent" means an item or group of items that can be used in the same basic manner as another item or items to perform a task to the same standard.

(8) "Incident Commander" (IC) means the individual responsible for all incident activities, including the development of strategies and tactics and the ordering and release of resources. The IC has overall authority and responsibility for conducting incident operations and is responsible for the management of all incident operations at the incident site.

(10) "North Carolina Hazardous Materials Regional Response Team Technical Advisory Committee" (NC RRT TAC) means an advisory committee established in Article 2 of Chapter 166A of the North Carolina General Statutes to advise the Secretary of the North Carolina Department of Public Safety and the North Carolina Division of Emergency Management on the management of hazardous materials emergencies.

(11) "North Carolina Division of Emergency Management" (NCEM) means a division of the North Carolina Department of Public Safety established in G.S. 143B-1000 with the responsibility to coordinate the mitigation, planning, preparedness, response, and recovery to a disaster or emergency that has or is forecasted to occur in the State as determined by the NCEM Director.

(12) "North Carolina Emergency Management Operations Chief" (NCEM OSC) means the Assistant Director of Operations for the North Carolina Division of Emergency Management.

(13) "North Carolina Emergency Management Director" (NCEM Director) means the Director of the North Carolina Division of Emergency Management.

(14) "National Incident Management System" (NIMS) means a federal policy that provides a systematic, proactive approach guiding government agencies at all levels, nongovernmental organizations, and the private sector to work to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity, to reduce the loss of life or property and harm to the environment.

(15) "On-duty" means when a person is functioning, paid or unpaid, as an agent of their Sponsoring Agency or of the NC Division of Emergency Management as part of the NC RRT Program.

(16) "Program agreements" means contracts, memoranda of agreements, or memoranda of understanding between NCEM and regional response teams for the purposes of establishing and maintaining the NC RRT Program.

(17) "Program costs" means training, equipment, personnel, or administrative expenses incurred by a Sponsoring Agency during activities of the NC RRT Program.

(18) "Program personnel" means human resources from a regional response team with an active program agreement with the Division of Emergency Management for hazardous materials response or human resources employed on a full-time or part-time basis by the Division of Emergency Management with a responsibility for hazardous materials response.

(19) "Program resource" means personnel or equipment from a regional response team that is participating in the NC RRT Program with an active program agreement with the North Carolina Division of Emergency Management for hazardous materials response.

(20) "Qualifying event" means an incident that system personnel have been charged, arrested, pleads no contest, pleads guilty, or is convicted of a crime that would require notification to the Sponsoring Agency.

(21) "Qualified personnel" means an individual that meets the training and medical monitoring requirements established by 29 CFR 1910.120(a)(3) which are adopted and are incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and can be found at no cost at: https://www.osha.gov/laws-regs/regulations/standardnumber/1910/1910.120; National Fire Protection Association Standard 470 as it relates to Hazardous Materials Technicians which are adopted and are incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and can be found for ninety dollars ($90.00) at: https://www.nfpa.org/codes-and-standards/all-codes-and-standards/list-of-codes-and-standards/detail?code=470; and 29 CFR 1910.134 which are adopted and are incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and can be found at no cost at: https://www.osha.gov/laws-regs/regulations/standardnumber/1910/1910.134.

(22) "Resource typing" means a document defining and categorizing, by capability, the program resources requested, deployed, and used in incidents.

(23) "Responsible Party" means the entity whose actions or inactions caused a hazardous materials incident as determined by the authority having jurisdiction requiring program resources to respond and incur costs.

(24) "Sensitive information" means any information, to include but not limited to audio recordings, images, and video recordings, obtained during an activation that has not been released to the public by the AHJ.

(25) "Sponsoring Agency" means a local or tribal unit of government or a corporation with an active response agreement with a local unit of government, that organizes and coordinates a regional response team in the NC RRT Program.

(26) "State Emergency Operations Plan" (SEOP) means a document maintained under the authority of G.S. 166A-19.12(2) that details how the State of North Carolina will respond to a disaster or emergency requiring State assistance utilizing an established comprehensive, all-hazards approach All-Hazards Disaster Response Model.

(27) "State Mission Assignment" (State Mission) means a NCEM approved request for assistance to deploy program resources at the request of a local unit of government.

History

Authority G.S. 166A-22; 166A-23; 166A-25; 166A-26; 166A-27
Eff. March 1, 2024.

14B NCAC 03 .0503 dispatch of a Regional Response team

(a) Program resources shall employ the All-Hazards Response Model.

(b) NCEM shall maintain direction and control of any deployed program resources that have been deployed through action of NCEM until a time that they have been demobilized or the program resource is needed by the Sponsoring Agency.

(c) Any resource of the NC RRT Program remains a local resource and may deploy within their county under their local authorities or agreements, notwithstanding any action by the State.

Participation in the NC RRT Program shall not limit or supersede their local authorities, responsibilities, or agreements when the program resource is deploying under those authorities or agreements.

(d) Program resources shall be deployed by the State using a State Mission Assignment.

(e) The IC, LEMC, an NCEM official, Secretary of Public Safety, and the Governor shall have the authority to request program resources. The IC may be from local law enforcement agencies, fire departments, rescue squads, and any other local, state, or federal authority having jurisdiction.

History

Authority G.S. 166A-22; 166A-23
Eff. March 1, 2024.

14B NCAC 03 .0504 on-site operations of a Program RESOURCE

All NC RRT Program resources shall operate in accordance with the following standards of response:

(1) FEMA NIMS standards which are adopted and are incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and can be found at no cost at: https://www.fema.gov/sites/default/files/2020-07/fema_nims_doctrine-2017.pdf;

(2) following all direction from NCEM personnel acting pursuant to G.S. 166A-19.12(1) when deploying as a program resource;

(3) when responding in support of law enforcement operations, program resources shall coordinate activities with the law enforcement authorities to ensure their actions support any potential criminal investigation; and

(4) program resources shall not release any sensitive information to the public or media during operations without the consent of the local, State, or federal authority having jurisdiction consistent with Chapter 132 of the North Carolina General Statutes.

History

Authority G.S. 166A-22
Eff. March 1, 2024.

14B NCAC 03 .0505 Standards for administration of a Regional response team, including procedures for reimbursement of response costs

(a) Program resources shall maintain the following personnel records and have them available for audit by NCEM personnel:

(1) Responder medical history; and

(2) Emergency contact information.

(b) Program personnel shall be in an on-duty status as an emergency management worker as defined in G.S. 166A-19.60(e).

(d) Program resources shall maintain all program personnel training, certification, and credentials as outlined in Rule .0509 in this Section.

(e) Program resources shall maintain all inventory and maintenance records for deployable equipment.

(f) Program resource records must be available for review by NCEM officials.

(g) Within 45 days of demobilization from a state mission, system resources shall submit documentation receipts, expense reports, and supporting documentation of actual costs to NCEM for reimbursement consistent with the FEMA Public Assistance Program and Policy Guide which is adopted and incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and is available at no cost at: https://www.fema.gov/sites/default/files/documents/fema_pappg-v4-updated-links_policy_6-1-2020.pdf .

History

Authority G.S. 166A-19.60; 166A-22; 166A-23; 42 U.S.C. 5121 et seq; 44 CFR Part 206
Eff. March 1, 2024.

14B NCAC 03 .0506 recovering the costs of a Regional RESPONSE TEAM

NCEM shall seek reimbursement from the responsible party for system response costs.

(1) The authority having jurisdiction shall determine who the responsible party is for all State Missions. Determination as the responsible party shall not be a determination of contributory negligence or other potential liabilities of any third parties for some aspect of the incident.

(2) NCEM shall bill responsible parties' response costs to include personnel and equipment costs payable to NCEM for reimbursement consistent with FEMA Public Assistance Program and Policy Guide which is adopted and incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and is available at no cost at: https://www.fema.gov/sites/default/files/documents/fema_pappg-v4-updated-links_policy_6-1-2020.pdf.

(3) Responsible parties shall remit payment to NCEM within 30 days of receipt of the invoice via certified mail.

History

Authority G.S. 166A-22; 166A-27
Eff. March 1, 2024.

14B NCAC 03 .0507 Procedures for bidding and contracting for Regional Response TEAM

(a) Eligibility for participation as a Sponsoring Agency as a regional response team:

(1) be a local unit of government, tribal government, with an active response agreement with a local or tribal unit of government;

(2) maintain participation in the statewide mutual aid agreement; and

(3) ensure all personnel possess the qualifications as outlined in Rule .0509 of this Section.

(b) Regional response teams – Within 18 months of a new contract period, NCEM shall distribute a bid announcement to all program resources and local emergency management coordinators for interested parties to return a letter of interest. NCEM shall distribute a bid package to all interested parties that shall be returned to NCEM.

(1) Regional response teams shall be limited to seven regionally based teams. Each team will be assigned a primary response region in the state.

(2) The bidding agency agencies shall be in that specified response region.

(3) The NCEM Director or designee shall establish a review committee. This committee will open all completed sealed bid packages and evaluate them based on the criteria outlined in Rule .0508 of this Section at a date to be set by the NCEM Director or designee.

(4) The committee shall develop a bid package review summary that includes their recommendations for selections that will be sent to the NCEM Operations Chief for concurrence before being reviewed and approved by the NCEM Director.

(5) Agencies that are successful in the bid process will be notified and program agreements shall be drafted and executed.

(6) NCEM shall draft, execute, and maintain a program agreement with the Sponsoring Agency for the program resource to maintain participation in the program.

(A) NCEM shall execute and maintain a program agreement with the Sponsoring Agency that outlines the scope of work that the team shall follow to enable reimbursement of eligible training, equipment, administrative, and personnel costs associated with maintaining and deploying a regional response team. The program agreement shall be limited to the four-year contract period with an optional one-year extension.

(B) Funds reimbursed through this agreement shall go directly to cover program costs and be utilized by the Sponsoring Agency for the purposes of this program.

(C) The Sponsoring Agency shall maintain all records of any program spending and shall not comingle funds or use program funding for any other purpose other than for the purposes of this program.

History

Authority G.S. 166A-22; 166A-23
Eff. March 1, 2024.

14B NCAC 03 .0508 Criteria for evaluating bids for CONTRACT RESPONSE TEAM

(a) Bidding agency shall:

(1) submit an offer via courier, United States Mail, or hand delivered to the NCEM State Emergency Operations Center by an authorized representative of a local unit of government, tribal government, or corporation that maintains an active response agreement with a local or tribal unit of government;

(2) provide a plan for the bidding entity to deploy the required personnel;

(3) provide a plan for the bidding entity to maintain the required number of personnel trained per Rule .0509 of this Section; and

(4) ensure all participating members possess the qualifications outlined in Rule 0509 of this Section.

(b) Bids shall be evaluated on:

(1) geographic location of team base;

(2) ability to maintain the required number of trained personnel to ensure response readiness;

(3) ability to maintain and care for any program-provided equipment;

(4) availability of local equipment to support response activities;

(5) availability to maintain dedicated administrative staff to ensure management of administrative duties, training, and logistical requirements;

(6) experience responding to hazardous materials incidents as a technician-level entry capability;

(7) consistent with federal procurement rules as outlined in 2 CFR Part 200 which is adopted and incorporated by reference with subsequent changes or amendments pursuant to 150B-21.6 and can be found at no cost at: https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200; and

(8) consistent with State procurement rules as outlined in 01 NCAC 05 which is adopted and incorporated by reference with subsequent changes or amendments pursuant to G.S. 150B-21.6 and can be found at no cost at: http://reports.oah.state.nc.us/ncac.asp?folderName=\Title%2001%20-%20Administration\Chapter%2005%20-%20Purchase%20and%20Contract.

History

Authority G.S. 166A-22; 166A-23
Eff. March 1, 2024.

14B NCAC 03 .0509 Personnel, Training, And Equipment Standards for Regional RESPONSE TEAM Requirements for all Program personnel:

(a) Requirements for all system personnel

(1) Qualified personnel shall be no less than 18 years of age;

(2) Qualified personnel shall be an employee of a Sponsoring Agency or an employee of the North Carolina Division of Emergency Management. By participating in this program, program personnel remain employees of their Sponsoring Agency and at no time become State employees entitled to State benefits unless they are an employee of NCEM;

(3) Qualified personnel shall maintain no less than 48 hours of hazardous material training annually consistent with 29 CFR 1910.120(e);

(4) Qualified personnel shall possess the qualifications of character and general fitness requisite for a public servant and be of good moral character and entitled to the high regard and confidence of the public, as evidenced by not having been convicted by a local, state, federal, or military court of:

(A) a felony;

(B) a crime or unlawful act defined as a Class 1A, Class1, or Class 2 misdemeanor within the five-years prior or four or more crimes or unlawful acts as defined as a Class 1A, Class 1, or Class 2 misdemeanor regardless of the date of conviction;

(C) not having been convicted of an offense that would prohibit the possession of a firearm or ammunition, under 18 U.S.C. 922, which is hereby incorporated by reference with subsequent amendments and editions under G.S. 150B-21.6 can be found at no cost https://www.govinfo.gov/content/pkg/USCODE-2018-title18/pdf/USCODE-2018-title18-partI-chap44.pdf;

(D) being truthful in providing information to the appointing agency;

(E) not having pending or outstanding charges that, if convicted, would exclude eligibility under this Rule.

(5) make the following notifications:

(A) within seven days of the qualifying event, notify the Sponsoring Agency in writing of all criminal or traffic offenses for which the individual is charged or arrested;

(B) within seven days of the qualifying event, notify the Sponsoring Agency in writing of all criminal offenses for which the individual pleads no contest, pleads guilty, or convicted;

(C) within seven days of criminal summons pursuant to the provisions of Article 17 of Chapter 15A of the G.S., shall notify the Sponsoring Agency that he or she has been served by a judicial official;

(D) within seven days of the date the case was disposed of in court, the Sponsoring Agency, provided they have knowledge of program personnel's arrests or criminal charges and final dispositions, shall also notify the NCEM of arrests or criminal charges and final disposition of the criminal charges against program personnel; and

(E) within seven days of the issuance of all Domestic Violence Protective Orders pursuant to G.S. 50B and Civil No Contact Orders pursuant to G.S. 50C, the Sponsoring Agency, provided they have the knowledge of the order, shall also notify NCEM of these orders.

(b) Requirements for all system equipment:

(1) equipment shall be made available for inspections and inventory by NCEM personnel;

(2) program resources shall maintain any state-owned equipment per manufacturer's recommendations and immediately notify NCEM of any damage to state owned and issued equipment; and

(3) upon separation, all parties to a program agreement shall return all state property within 30 days to NCEM.

(1) Regional Response Teams shall maintain at all times a minimum of 28 qualified personnel;

(2) Regional Response Teams shall maintain any additional support personnel as required for a technician-level entry team. These personnel must additionally meet the requirements of 29 CFR 1910.120, which is adopted and incorporated by reference with subsequent changes or amendments under G.S. 150B-21.6 as outlined in the latest published standard by the EPA and can be found at: https://www.ecfr.gov/current/title-29/subtitle-B/chapter-XVII/part-1910/subpart-H/section-1910.120 at no cost, to operate on a hazardous materials incident scene but are not required to be qualified to make entry into a hazardous or potentially hazardous environments;

(3) NCEM shall be responsible to provide any additional technical specialists required to support Regional Response Team operations;

(4) Regional Response Teams shall respond with qualified personnel who are capable of providing a regional response to hazardous materials incidents requiring technician-level entry capability as that term is and as defined in G.S. 166A-21; and

(5) Regional Response Teams shall limit its hazardous materials response team activity to that within the safety and training levels specified by 29 CFR 1910.120.

(d) Regional Response Team Equipment Requirements:

(1) Regional response teams shall maintain a functionally equivalent cache of equipment required in the FEMA Resource Typing Document for a Type II Hazardous Materials Response Team, which is adopted and incorporated by reference with subsequent changes or amendments under G.S. 150B-21.6 as outlined in the latest published standard by FEMA and can be found at: https://rtlt.preptoolkit.fema.gov/Public/Resource/View/4-508-1248?q=hazardous%20materials at no cost.

(2) Equipment shall be maintained in a state of readiness and with a means to transport all required equipment.

History

Authority G.S. 166A-21; 166A- 22; 166A-23
Eff. March 1, 2024.

14B NCAC 03 .0601 Purpose

The purpose of this Rule is to provide guidance to government agencies, and the engineering, surveying, construction, agriculture, mapping, and geospatial industries in the State, on when to use the United States Survey Foot and the International Foot.

History

Authority G.S. 102-1; 102-1.1; 102-1.2; 102-1.3; 102-2; 102-8; 102-9
Eff. February 1, 2026.

14b NCAC 03 .0602 Required foot conversion

When State Plane Coordinates and heights (elevation) are provided in feet, the conversion between the foot and meter shall be based on the coordinate system used for determining the coordinates or height. This requirement applies to horizontal plane and vertical coordinates, and to all values associated with or derived from these coordinates. That includes, but is not limited to, distance, elevation, height, area, and volume, along with values computed from the foot, such as the chain, pole, rod, mile, square mile, and acre. The following foot conversion shall be used:

(1) The International Foot, 1 foot = 0.3048 meter exactly, when coordinates are based on the North American Terrestrial Reference Frame of 2022 (NATRF2022) as described in G.S. 102-1.2, and for all subsequent coordinate systems adopted by the North Carolina Geodetic Survey or its successor.

(2) The International Foot, 1 foot = 0.3048 meter exactly, when heights are based on the North American-Pacific Geopotential Datum of 2022 (NAPGD2022), and for all subsequent coordinate systems adopted by the North Carolina Geodetic Survey or its successor.

(3) The U.S. Survey Foot, 1 foot = 1200/3937 meter exactly or 1 foot = 0.304800609601219 meter approximately, when coordinates are based on the North American Datum of 1983 (NAD 83) or the North American Datum of 1927 (NAD 27) as described in G.S. 102-1.1 or 102-1.

(4) The U.S. Survey Foot, 1 foot = 1200/3937 meter exactly or 1 foot = 0.304800609601219 meter approximately, when heights are based on the North American Vertical Datum of 1988 (NAVD 88) or the National Geodetic Vertical Datum of 1929 (NGVD29).

History

Authority G.S. 102-1; 101-1.1; 102-1.2; 102-1.3; 102-2; 102-8; 102-9
Eff. February 1, 2026.

Chapter 04 Civil Air Patrol

14B NCAC 04 .0101 Name: Address: Hours of Operation

History

Status: expired
Authority G.S. 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0101 Eff. June 1, 2013 (14B NCAC 04 .0101)
Transferred from 14A NCAC 06 .0102 Eff. June 1, 2013 (14B NCAC 04 .0102)
Transferred from 14A NCAC 06 .0103 Eff. June 1, 2013 (14B NCAC 04 .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0102 Purpose

History

Status: expired
Authority G.S. 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0101 Eff. June 1, 2013 (14B NCAC 04 .0101)
Transferred from 14A NCAC 06 .0102 Eff. June 1, 2013 (14B NCAC 04 .0102)
Transferred from 14A NCAC 06 .0103 Eff. June 1, 2013 (14B NCAC 04 .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0103 Organization

History

Status: expired
Authority G.S. 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0101 Eff. June 1, 2013 (14B NCAC 04 .0101)
Transferred from 14A NCAC 06 .0102 Eff. June 1, 2013 (14B NCAC 04 .0102)
Transferred from 14A NCAC 06 .0103 Eff. June 1, 2013 (14B NCAC 04 .0103)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0201 Applicability of Procedures

History

Status: expired
Authority G.S. 97-2; 97-29; Chapter 143, Article 12A; 143B-475, 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0201 Eff. June 1, 2013 (14B NCAC 04 .0201)
Transferred from 14A NCAC 06 .0202 Eff. June 1, 2013 (14B NCAC 04 .0202)
Transferred from 14A NCAC 06 .0203 Eff. June 1, 2013 (14B NCAC 04 .0203)
Transferred from 14A NCAC 06 .0204 Eff. June 1, 2013 (14B NCAC 04 .0204)
Transferred from 14A NCAC 06 .0205 Eff. June 1, 2013 (14B NCAC 04 .0205)
Transferred from 14A NCAC 06 .0206 Eff. June 1, 2013 (14B NCAC 04 .0206)
Transferred from 14A NCAC 06 .0207 Eff. June 1, 2013 (14B NCAC 04 .0207)
Transferred from 14A NCAC 06 .0208 Eff. June 1, 2013 (14B NCAC 04 .0208)
Transferred from 14A NCAC 06 .0209 Eff. June 1, 2013 (14B NCAC 04 .0209)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0202 Definitions

History

Status: expired
Authority G.S. 97-2; 97-29; Chapter 143, Article 12A; 143B-475, 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0201 Eff. June 1, 2013 (14B NCAC 04 .0201)
Transferred from 14A NCAC 06 .0202 Eff. June 1, 2013 (14B NCAC 04 .0202)
Transferred from 14A NCAC 06 .0203 Eff. June 1, 2013 (14B NCAC 04 .0203)
Transferred from 14A NCAC 06 .0204 Eff. June 1, 2013 (14B NCAC 04 .0204)
Transferred from 14A NCAC 06 .0205 Eff. June 1, 2013 (14B NCAC 04 .0205)
Transferred from 14A NCAC 06 .0206 Eff. June 1, 2013 (14B NCAC 04 .0206)
Transferred from 14A NCAC 06 .0207 Eff. June 1, 2013 (14B NCAC 04 .0207)
Transferred from 14A NCAC 06 .0208 Eff. June 1, 2013 (14B NCAC 04 .0208)
Transferred from 14A NCAC 06 .0209 Eff. June 1, 2013 (14B NCAC 04 .0209)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0203 PURPOSES: FUNCTIONS: STATE REQuired: APPROVED MISSIONS

History

Status: expired
Authority G.S. 97-2; 97-29; Chapter 143, Article 12A; 143B-475, 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0201 Eff. June 1, 2013 (14B NCAC 04 .0201)
Transferred from 14A NCAC 06 .0202 Eff. June 1, 2013 (14B NCAC 04 .0202)
Transferred from 14A NCAC 06 .0203 Eff. June 1, 2013 (14B NCAC 04 .0203)
Transferred from 14A NCAC 06 .0204 Eff. June 1, 2013 (14B NCAC 04 .0204)
Transferred from 14A NCAC 06 .0205 Eff. June 1, 2013 (14B NCAC 04 .0205)
Transferred from 14A NCAC 06 .0206 Eff. June 1, 2013 (14B NCAC 04 .0206)
Transferred from 14A NCAC 06 .0207 Eff. June 1, 2013 (14B NCAC 04 .0207)
Transferred from 14A NCAC 06 .0208 Eff. June 1, 2013 (14B NCAC 04 .0208)
Transferred from 14A NCAC 06 .0209 Eff. June 1, 2013 (14B NCAC 04 .0209)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0204 REQUESTS FOR STATE REQUired AND APPROVED MISSIONS

History

Status: expired
Authority G.S. 97-2; 97-29; Chapter 143, Article 12A; 143B-475, 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0201 Eff. June 1, 2013 (14B NCAC 04 .0201)
Transferred from 14A NCAC 06 .0202 Eff. June 1, 2013 (14B NCAC 04 .0202)
Transferred from 14A NCAC 06 .0203 Eff. June 1, 2013 (14B NCAC 04 .0203)
Transferred from 14A NCAC 06 .0204 Eff. June 1, 2013 (14B NCAC 04 .0204)
Transferred from 14A NCAC 06 .0205 Eff. June 1, 2013 (14B NCAC 04 .0205)
Transferred from 14A NCAC 06 .0206 Eff. June 1, 2013 (14B NCAC 04 .0206)
Transferred from 14A NCAC 06 .0207 Eff. June 1, 2013 (14B NCAC 04 .0207)
Transferred from 14A NCAC 06 .0208 Eff. June 1, 2013 (14B NCAC 04 .0208)
Transferred from 14A NCAC 06 .0209 Eff. June 1, 2013 (14B NCAC 04 .0209)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0205 Action by the Secretary: Acceptance by Wing Commander

History

Status: expired
Authority G.S. 97-2; 97-29; Chapter 143, Article 12A; 143B-475, 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0201 Eff. June 1, 2013 (14B NCAC 04 .0201)
Transferred from 14A NCAC 06 .0202 Eff. June 1, 2013 (14B NCAC 04 .0202)
Transferred from 14A NCAC 06 .0203 Eff. June 1, 2013 (14B NCAC 04 .0203)
Transferred from 14A NCAC 06 .0204 Eff. June 1, 2013 (14B NCAC 04 .0204)
Transferred from 14A NCAC 06 .0205 Eff. June 1, 2013 (14B NCAC 04 .0205)
Transferred from 14A NCAC 06 .0206 Eff. June 1, 2013 (14B NCAC 04 .0206)
Transferred from 14A NCAC 06 .0207 Eff. June 1, 2013 (14B NCAC 04 .0207)
Transferred from 14A NCAC 06 .0208 Eff. June 1, 2013 (14B NCAC 04 .0208)
Transferred from 14A NCAC 06 .0209 Eff. June 1, 2013 (14B NCAC 04 .0209)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0206 Reporting

History

Status: expired
Authority G.S. 97-2; 97-29; Chapter 143, Article 12A; 143B-475, 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0201 Eff. June 1, 2013 (14B NCAC 04 .0201)
Transferred from 14A NCAC 06 .0202 Eff. June 1, 2013 (14B NCAC 04 .0202)
Transferred from 14A NCAC 06 .0203 Eff. June 1, 2013 (14B NCAC 04 .0203)
Transferred from 14A NCAC 06 .0204 Eff. June 1, 2013 (14B NCAC 04 .0204)
Transferred from 14A NCAC 06 .0205 Eff. June 1, 2013 (14B NCAC 04 .0205)
Transferred from 14A NCAC 06 .0206 Eff. June 1, 2013 (14B NCAC 04 .0206)
Transferred from 14A NCAC 06 .0207 Eff. June 1, 2013 (14B NCAC 04 .0207)
Transferred from 14A NCAC 06 .0208 Eff. June 1, 2013 (14B NCAC 04 .0208)
Transferred from 14A NCAC 06 .0209 Eff. June 1, 2013 (14B NCAC 04 .0209)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0207 Termination

History

Status: expired
Authority G.S. 97-2; 97-29; Chapter 143, Article 12A; 143B-475, 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0201 Eff. June 1, 2013 (14B NCAC 04 .0201)
Transferred from 14A NCAC 06 .0202 Eff. June 1, 2013 (14B NCAC 04 .0202)
Transferred from 14A NCAC 06 .0203 Eff. June 1, 2013 (14B NCAC 04 .0203)
Transferred from 14A NCAC 06 .0204 Eff. June 1, 2013 (14B NCAC 04 .0204)
Transferred from 14A NCAC 06 .0205 Eff. June 1, 2013 (14B NCAC 04 .0205)
Transferred from 14A NCAC 06 .0206 Eff. June 1, 2013 (14B NCAC 04 .0206)
Transferred from 14A NCAC 06 .0207 Eff. June 1, 2013 (14B NCAC 04 .0207)
Transferred from 14A NCAC 06 .0208 Eff. June 1, 2013 (14B NCAC 04 .0208)
Transferred from 14A NCAC 06 .0209 Eff. June 1, 2013 (14B NCAC 04 .0209)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0208 No Payment for Expenses Incurred

History

Status: expired
Authority G.S. 97-2; 97-29; Chapter 143, Article 12A; 143B-475, 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0201 Eff. June 1, 2013 (14B NCAC 04 .0201)
Transferred from 14A NCAC 06 .0202 Eff. June 1, 2013 (14B NCAC 04 .0202)
Transferred from 14A NCAC 06 .0203 Eff. June 1, 2013 (14B NCAC 04 .0203)
Transferred from 14A NCAC 06 .0204 Eff. June 1, 2013 (14B NCAC 04 .0204)
Transferred from 14A NCAC 06 .0205 Eff. June 1, 2013 (14B NCAC 04 .0205)
Transferred from 14A NCAC 06 .0206 Eff. June 1, 2013 (14B NCAC 04 .0206)
Transferred from 14A NCAC 06 .0207 Eff. June 1, 2013 (14B NCAC 04 .0207)
Transferred from 14A NCAC 06 .0208 Eff. June 1, 2013 (14B NCAC 04 .0208)
Transferred from 14A NCAC 06 .0209 Eff. June 1, 2013 (14B NCAC 04 .0209)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 04 .0209 Personnel: Qualifications and Verification of Service

History

Status: expired
Authority G.S. 97-2; 97-29; Chapter 143, Article 12A; 143B-475, 143B-490
Eff. October 24, 1979
Transferred from 14A NCAC 06 .0201 Eff. June 1, 2013 (14B NCAC 04 .0201)
Transferred from 14A NCAC 06 .0202 Eff. June 1, 2013 (14B NCAC 04 .0202)
Transferred from 14A NCAC 06 .0203 Eff. June 1, 2013 (14B NCAC 04 .0203)
Transferred from 14A NCAC 06 .0204 Eff. June 1, 2013 (14B NCAC 04 .0204)
Transferred from 14A NCAC 06 .0205 Eff. June 1, 2013 (14B NCAC 04 .0205)
Transferred from 14A NCAC 06 .0206 Eff. June 1, 2013 (14B NCAC 04 .0206)
Transferred from 14A NCAC 06 .0207 Eff. June 1, 2013 (14B NCAC 04 .0207)
Transferred from 14A NCAC 06 .0208 Eff. June 1, 2013 (14B NCAC 04 .0208)
Transferred from 14A NCAC 06 .0209 Eff. June 1, 2013 (14B NCAC 04 .0209)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

Chapter 05 Governor's Crime Commission

Subchapter A

14b NCAC 05A .0101 Governor's Crime Commission: Organization

History

Status: expired
Authority G.S. 143B-10(b); 143B-477; 143B-478; 143B-480
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0106 Eff. June 1, 2013 (14B NCAC 05 .0101)
Transferred from 14A NCAC 07 .0107 Eff. June 1, 2013 (14B NCAC 05 .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 05A .0102 Governor's Crime Commission Division: Address

History

Status: expired
Authority G.S. 143B-10(b); 143B-477; 143B-478; 143B-480
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0106 Eff. June 1, 2013 (14B NCAC 05 .0101)
Transferred from 14A NCAC 07 .0107 Eff. June 1, 2013 (14B NCAC 05 .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 05A .0201 Notice of Availability of Funds

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0204 - .0211 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0202 Consistency with State or Federal Grant Programs

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0204 - .0211 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0203 Request for Preapplication Forms

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0204 - .0211 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0204 Grant Preapplication Form

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0204 - .0211 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0205 Preapplication Submission Procedures

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0204 - .0211 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0206 Incomplete Preapplications

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0204 - .0211 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0207 Review of Preapplications

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0204 - .0211 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0208 Notification to Preapplicants

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0204 - .0211 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0301 Application Form and Requirements

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Amended Eff. April 1, 1999; May 10, 1998; July 1, 1989
Transferred from 14A NCAC 07 .0308 - .0314 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0302 Application Submission Procedures

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Amended Eff. April 1, 1999; May 10, 1998; July 1, 1989
Transferred from 14A NCAC 07 .0308 - .0314 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0303 Application Due Date

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Amended Eff. April 1, 1999; May 10, 1998; July 1, 1989
Transferred from 14A NCAC 07 .0308 - .0314 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0304 Grant Application Process

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Amended Eff. April 1, 1999; May 10, 1998; July 1, 1989
Transferred from 14A NCAC 07 .0308 - .0314 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14b NCAC 05A .0305 Grant Period

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Amended Eff. April 1, 1999; May 10, 1998; July 1, 1989
Transferred from 14A NCAC 07 .0308 - .0314 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0306 Time Limitation on Federal Funding

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Amended Eff. April 1, 1999; May 10, 1998; July 1, 1989
Transferred from 14A NCAC 07 .0308 - .0314 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0307 Grant Award Contracts

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Amended Eff. April 1, 1999; May 10, 1998; July 1, 1989
Transferred from 14A NCAC 07 .0308 - .0314 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0308 Indirect Costs

History

Status: expired
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0315 Eff. June 1, 2013 (14B NCAC 05 .0308)
Transferred from 14A NCAC 07 .0316 Eff. June 1, 2013 (14B NCAC 05 .0309)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 05A .0309 Disallowed Costs

History

Status: expired
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0315 Eff. June 1, 2013 (14B NCAC 05 .0308)
Transferred from 14A NCAC 07 .0316 Eff. June 1, 2013 (14B NCAC 05 .0309)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 05A .0310 Continuation Funds

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0317, .0318 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0311 Adjustments to Grants

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0317, .0318 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0401 Grant Termination or Suspension

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0406, .0407 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0402 Loss of Grantee Eligibility

History

Status: repealed
Authority G.S. 143B-477; 143B-479
Eff. April 1, 1988
Transferred from 14A NCAC 07 .0406, .0407 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

14B NCAC 05A .0501 Appeal

History

Status: repealed
Authority G.S. 150B-2; 150B-23
Eff. May 1, 1988
Transferred from 14A NCAC 07 .0504 Eff. June 1, 2013
Repealed Eff. March 1, 2019.

Subchapter B

14B NCAC 05B .0101 Purpose

The rules of this Chapter, pursuant to the authority of the Secretary of the Department of Public Safety (Department), implement the administration of duties of the Governor's Crime Commission (Commission), as a section of the Division of Administration within the Department and as a State administering agency of North Carolina. Applications for State and federal grants shall be submitted in accordance with the rules set forth in Section .0200 of this Chapter.

History

Authority G.S. 143B-602(5); 143B-1101(8); 143B-1103; 143B-1104
Eff. March 1, 2019.

14B NCAC 05B .0201 Applications for Grants

(a) Funding priorities, as determined by the Commission, shall be listed on the Commission's website prior to the opening of an application period.

(b) Grant application submission dates shall be announced on the Commission website, https://www.ncdps.gov/about-dps/boards-and-commissions/governors-crime-commission/grant-process before the application is due.

(c) Grant applications shall be electronically submitted to the Commission through the Grants Management System (GMS) on or before the date announced on the Commission website.

(d) To be considered for funding, applicants shall complete the grant application, which shall include the following information:

(1) names, mailing addresses, and telephone numbers of the applicant;

(2) project information, including the following:

(A) a description of the project, its goals and objectives, and outcomes;

(B) the issues or problems addressed by the project; and

(3) a proposed budget;

(4) a project time line; and

(5) any other information required by these Rules or requested by the Department in order to make a decision on the grant proposal.

(e) Applicants seeking funding for a two-year project shall submit two one-year budgets.

History

Authority G.S. 143B-1103; 143B-602
Eff. March 1, 2019
Amended Eff. September 1, 2024; April 1, 2023.

14B NCAC 05B .0202 Review of Proposals

(a) Applications that contain all of the information required in Rule .0201 of this Section shall be forwarded to a Commission Subcommittee, as designated in G.S. 143B-1102.

(b) The Subcommittee shall review and evaluate each application and make a recommendation to the full Commission to approve or deny the application.

(1) who will benefit from the grant;

(2) how many will benefit from the grant;

(3) the cost of administering the grant;

(4) geographical representation; and

(5) past performance of the applicant with grants and publicly funded projects.

(d) The Commission shall determine which applications are eligible for funding.

(e) The Commission shall recommend eligible applications to the Secretary of the Department of Public Safety. The Secretary shall select the applicants who will be awarded funding.

History

Authority G.S. 143B-1101(a)(8); 143B-1103; 143B-1104
Eff. March 1, 2019.

14B NCAC 05B .0203 Administration of Grants

(a) The Commission staff shall administer grants as funds are available. Upon completion of the selection process, all applicants shall be notified in writing or electronic communication through the Grant Management System (GMS) whether the application has been approved or denied.

(b) Within 30 calendar days of receipt of award notification, the applicant shall submit the grant compliance and modification information. An applicant may request an extension of no more than 60 calendar days to submit the information. An applicant who does not provide the required information shall be ineligible for grant funding. For the purposes of this Rule, grant compliance and modification information includes the following:

(1) a list of grant conditions that were agreed to by an authorizing official of the applicant; and

(2) a memorandum of agreement or contract with any cooperating government agencies.

(c) Funds shall be awarded to grantees through Grant Award Contracts. The Grant Award Contract shall bear the original signature of the grantee's authorizing official and the Executive Director of the Commission. The Grant Award Contract shall be signed and returned to the Department within 30 calendar days.

(d) The length of the grant period shall coincide with guidance provided by the granting entity.

(e) Requests for adjustments to approved applications shall be made at any time up to 90 calendar days before the project's scheduled termination date. These requests shall be made through the GMS system and provide an explanation for proposed adjustments.

History

Authority G.S. 143B-602(8); 143B-1103; 143B-1104
Eff. March 1, 2019
Amended Eff. June 1, 2025; April 1, 2023.

14B NCAC 05B .0301 Grant Termination or Suspension

(a) A grant may be terminated or the funds may be suspended by the Executive Director of the Commission when the applicant or grantee is not in compliance with any of the following:

(1) the terms and conditions of the grant application;

(2) the terms and conditions of the grant award contract;

(3) the guidelines promulgated by the federal criminal justice block grant program or approved plan; or

(4) the rules set forth in this Chapter.

The determination of action by the Executive Director shall be made a case-by-case basis, considering the terms of the grant award contract, including conditions of the grant and factors of non-compliance.

(b) The Executive Director shall notify the grantee of its noncompliance in writing. The notification shall identify the penalty to be taken or allow the grantee an additional period of not more than 30 days to correct the deficiencies. If the deficiencies are not corrected, then the Executive Director may suspend the payment of funds to the grantee or terminate the grant, as set forth in the conditions of the grant award contract.

History

Authority G.S. 143B-602(8)(c); 143B-1103(b)(3); 143B-1104
Eff. March 1, 2019.

14B NCAC 05B .0401 Grant Application Process for State or Federal Funds Awarded in Response to Covid-19

History

Status: expired
Authority G.S. 143B-602(5); 143B-602(8)(a)-(c); 143B-1101(a)(8); 143B-1103; 143B-1104
Emergency Adoption Eff. April 14, 2020
Emergency Adoption Expired June 30, 2020.

14B NCAC 05B .0501 Waiver

The Secretary may waive any rule in this Subchapter that is not statutorily required. Factors the Secretary shall use in determining whether to waive a rule are:

(1) the need to comply with a State or federal regulation or legislative mandate;

(2) the nonrecurring use of expiring funds;

(3) an emergency declared pursuant to the North Carolina Emergency Management Act; or

(4) when, pursuant to a contract with a state or federal agency, the Commission is limited to providing only administrative support for the processing of a grant.

History

Authority G.S. 143B-602(5); 143B-602(8)(b)
Eff. September 1, 2024.

Chapter 06 Alcohol Law Enforcement

Subchapter A

14B NCAC 06A .0101 Definitions to Apply to This Chapter

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1976
Amended Eff. August 1, 1988; January 1, 1984; August 1, 1980; February 1, 1980
Transferred from 14A NCAC 08A .0101 Eff. June 1, 2013 (14B NCAC 06A .0101)
Transferred from 14A NCAC 08A .0102 Eff. June 1, 2013 (14B NCAC 06A .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06A .0102 Definitions

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1976
Amended Eff. August 1, 1988; January 1, 1984; August 1, 1980; February 1, 1980
Transferred from 14A NCAC 08A .0101 Eff. June 1, 2013 (14B NCAC 06A .0101)
Transferred from 14A NCAC 08A .0102 Eff. June 1, 2013 (14B NCAC 06A .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

Subchapter B

14B NCAC 06B .0101 Ale Manual Adoption by Reference

History

Status: expired
Authority G.S. 18B-500; 143B-10; 150B-11; 150B-14
Eff. February 1, 1976
Amended Eff. January 1, 1984
Temporary Amendment (a) Eff. November 8, 1985, for a Period of 113 Days to Expire on March 1, 1986
Amended Eff. May 1, 1988; May 1, 1987; February 1, 1986
Transferred from 14A NCAC 08B .0101 Eff. June 1, 2013
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

Subchapter C

14B NCAC 06C .0101 Ale Division Statutory Responsibilities

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. January 1, 1984
Transferred from 14A NCAC 08H .0101 Eff. June 1, 2013 (14B NCAC 06C .0101)
Transferred from 14A NCAC 08H .0102 Eff. June 1, 2013 (14B NCAC 06C .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0102 Applicability of This Subchapter

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. January 1, 1984
Transferred from 14A NCAC 08H .0101 Eff. June 1, 2013 (14B NCAC 06C .0101)
Transferred from 14A NCAC 08H .0102 Eff. June 1, 2013 (14B NCAC 06C .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0201 Issuance of Permit Application

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0201 Eff. June 1, 2013 (14B NCAC 06C .0201)
Transferred from 14A NCAC 08H .0202 Eff. June 1, 2013 (14B NCAC 06C .0202)
Transferred from 14A NCAC 08H .0203 Eff. June 1, 2013 (14B NCAC 06C .0203)
Transferred from 14A NCAC 08H .0204 Eff. June 1, 2013 (14B NCAC 06C .0204)
Transferred from 14A NCAC 08H .0205 Eff. June 1, 2013 (14B NCAC 06C .0205)
Transferred from 14A NCAC 08H .0206 Eff. June 1, 2013 (14B NCAC 06C .0206)
Transferred from 14A NCAC 08H .0207 Eff. June 1, 2013 (14B NCAC 06C .0207)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0202 Receipt of Completed Applications from Abc Commission

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0201 Eff. June 1, 2013 (14B NCAC 06C .0201)
Transferred from 14A NCAC 08H .0202 Eff. June 1, 2013 (14B NCAC 06C .0202)
Transferred from 14A NCAC 08H .0203 Eff. June 1, 2013 (14B NCAC 06C .0203)
Transferred from 14A NCAC 08H .0204 Eff. June 1, 2013 (14B NCAC 06C .0204)
Transferred from 14A NCAC 08H .0205 Eff. June 1, 2013 (14B NCAC 06C .0205)
Transferred from 14A NCAC 08H .0206 Eff. June 1, 2013 (14B NCAC 06C .0206)
Transferred from 14A NCAC 08H .0207 Eff. June 1, 2013 (14B NCAC 06C .0207)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0203 Conduct of the Permit Investigation: Applicants

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0201 Eff. June 1, 2013 (14B NCAC 06C .0201)
Transferred from 14A NCAC 08H .0202 Eff. June 1, 2013 (14B NCAC 06C .0202)
Transferred from 14A NCAC 08H .0203 Eff. June 1, 2013 (14B NCAC 06C .0203)
Transferred from 14A NCAC 08H .0204 Eff. June 1, 2013 (14B NCAC 06C .0204)
Transferred from 14A NCAC 08H .0205 Eff. June 1, 2013 (14B NCAC 06C .0205)
Transferred from 14A NCAC 08H .0206 Eff. June 1, 2013 (14B NCAC 06C .0206)
Transferred from 14A NCAC 08H .0207 Eff. June 1, 2013 (14B NCAC 06C .0207)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14b NCAC 06C .0204 Conduct of the Permit Investigation: Premises

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0201 Eff. June 1, 2013 (14B NCAC 06C .0201)
Transferred from 14A NCAC 08H .0202 Eff. June 1, 2013 (14B NCAC 06C .0202)
Transferred from 14A NCAC 08H .0203 Eff. June 1, 2013 (14B NCAC 06C .0203)
Transferred from 14A NCAC 08H .0204 Eff. June 1, 2013 (14B NCAC 06C .0204)
Transferred from 14A NCAC 08H .0205 Eff. June 1, 2013 (14B NCAC 06C .0205)
Transferred from 14A NCAC 08H .0206 Eff. June 1, 2013 (14B NCAC 06C .0206)
Transferred from 14A NCAC 08H .0207 Eff. June 1, 2013 (14B NCAC 06C .0207)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0205 Local Opinion Forms

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0201 Eff. June 1, 2013 (14B NCAC 06C .0201)
Transferred from 14A NCAC 08H .0202 Eff. June 1, 2013 (14B NCAC 06C .0202)
Transferred from 14A NCAC 08H .0203 Eff. June 1, 2013 (14B NCAC 06C .0203)
Transferred from 14A NCAC 08H .0204 Eff. June 1, 2013 (14B NCAC 06C .0204)
Transferred from 14A NCAC 08H .0205 Eff. June 1, 2013 (14B NCAC 06C .0205)
Transferred from 14A NCAC 08H .0206 Eff. June 1, 2013 (14B NCAC 06C .0206)
Transferred from 14A NCAC 08H .0207 Eff. June 1, 2013 (14B NCAC 06C .0207)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0206 Submission/Investigative Report: Additional Investigations

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0201 Eff. June 1, 2013 (14B NCAC 06C .0201)
Transferred from 14A NCAC 08H .0202 Eff. June 1, 2013 (14B NCAC 06C .0202)
Transferred from 14A NCAC 08H .0203 Eff. June 1, 2013 (14B NCAC 06C .0203)
Transferred from 14A NCAC 08H .0204 Eff. June 1, 2013 (14B NCAC 06C .0204)
Transferred from 14A NCAC 08H .0205 Eff. June 1, 2013 (14B NCAC 06C .0205)
Transferred from 14A NCAC 08H .0206 Eff. June 1, 2013 (14B NCAC 06C .0206)
Transferred from 14A NCAC 08H .0207 Eff. June 1, 2013 (14B NCAC 06C .0207)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0207 Notification of Rejection: Review of Investigation

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0201 Eff. June 1, 2013 (14B NCAC 06C .0201)
Transferred from 14A NCAC 08H .0202 Eff. June 1, 2013 (14B NCAC 06C .0202)
Transferred from 14A NCAC 08H .0203 Eff. June 1, 2013 (14B NCAC 06C .0203)
Transferred from 14A NCAC 08H .0204 Eff. June 1, 2013 (14B NCAC 06C .0204)
Transferred from 14A NCAC 08H .0205 Eff. June 1, 2013 (14B NCAC 06C .0205)
Transferred from 14A NCAC 08H .0206 Eff. June 1, 2013 (14B NCAC 06C .0206)
Transferred from 14A NCAC 08H .0207 Eff. June 1, 2013 (14B NCAC 06C .0207)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0301 Purpose

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0301 Eff. June 1, 2013 (14B NCAC 06C .0301)
Transferred from 14A NCAC 08H .0302 Eff. June 1, 2013 (14B NCAC 06C .0302)
Transferred from 14A NCAC 08H .0303 Eff. June 1, 2013 (14B NCAC 06C .0303)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0302 Frequency

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0301 Eff. June 1, 2013 (14B NCAC 06C .0301)
Transferred from 14A NCAC 08H .0302 Eff. June 1, 2013 (14B NCAC 06C .0302)
Transferred from 14A NCAC 08H .0303 Eff. June 1, 2013 (14B NCAC 06C .0303)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0303 TYPES OF inspections AND OBSERVATIONS

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0301 Eff. June 1, 2013 (14B NCAC 06C .0301)
Transferred from 14A NCAC 08H .0302 Eff. June 1, 2013 (14B NCAC 06C .0302)
Transferred from 14A NCAC 08H .0303 Eff. June 1, 2013 (14B NCAC 06C .0303)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0401 Policy

History

Status: expired
Authority G.S. 15A-302; 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0401 Eff. June 1, 2013 (14B NCAC 06C .0401)
Transferred from 14A NCAC 08H .0402 Eff. June 1, 2013 (14B NCAC 06C .0402)
Transferred from 14A NCAC 08H .0403 Eff. June 1, 2013 (14B NCAC 06C .0403)
Transferred from 14A NCAC 08H .0404 Eff. June 1, 2013 (14B NCAC 06C .0404)
Transferred from 14A NCAC 08H .0405 Eff. June 1, 2013 (14B NCAC 06C .0405)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0402 Oral Warning

History

Status: expired
Authority G.S. 15A-302; 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0401 Eff. June 1, 2013 (14B NCAC 06C .0401)
Transferred from 14A NCAC 08H .0402 Eff. June 1, 2013 (14B NCAC 06C .0402)
Transferred from 14A NCAC 08H .0403 Eff. June 1, 2013 (14B NCAC 06C .0403)
Transferred from 14A NCAC 08H .0404 Eff. June 1, 2013 (14B NCAC 06C .0404)
Transferred from 14A NCAC 08H .0405 Eff. June 1, 2013 (14B NCAC 06C .0405)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0403 Written Warning

History

Status: expired
Authority G.S. 15A-302; 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0401 Eff. June 1, 2013 (14B NCAC 06C .0401)
Transferred from 14A NCAC 08H .0402 Eff. June 1, 2013 (14B NCAC 06C .0402)
Transferred from 14A NCAC 08H .0403 Eff. June 1, 2013 (14B NCAC 06C .0403)
Transferred from 14A NCAC 08H .0404 Eff. June 1, 2013 (14B NCAC 06C .0404)
Transferred from 14A NCAC 08H .0405 Eff. June 1, 2013 (14B NCAC 06C .0405)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0404 Violation Report

History

Status: expired
Authority G.S. 15A-302; 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0401 Eff. June 1, 2013 (14B NCAC 06C .0401)
Transferred from 14A NCAC 08H .0402 Eff. June 1, 2013 (14B NCAC 06C .0402)
Transferred from 14A NCAC 08H .0403 Eff. June 1, 2013 (14B NCAC 06C .0403)
Transferred from 14A NCAC 08H .0404 Eff. June 1, 2013 (14B NCAC 06C .0404)
Transferred from 14A NCAC 08H .0405 Eff. June 1, 2013 (14B NCAC 06C .0405)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0405 Citation and Arrest

History

Status: expired
Authority G.S. 15A-302; 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0401 Eff. June 1, 2013 (14B NCAC 06C .0401)
Transferred from 14A NCAC 08H .0402 Eff. June 1, 2013 (14B NCAC 06C .0402)
Transferred from 14A NCAC 08H .0403 Eff. June 1, 2013 (14B NCAC 06C .0403)
Transferred from 14A NCAC 08H .0404 Eff. June 1, 2013 (14B NCAC 06C .0404)
Transferred from 14A NCAC 08H .0405 Eff. June 1, 2013 (14B NCAC 06C .0405)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0501 Review by District Supervisor

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0501 Eff. June 1, 2013 (14B NCAC 06C .0501)
Transferred from 14A NCAC 08H .0502 Eff. June 1, 2013 (14B NCAC 06C .0502)
Transferred from 14A NCAC 08H .0504 Eff. June 1, 2013 (14B NCAC 06C .0503)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0502 Review by Director: Forward to Review Officer

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0501 Eff. June 1, 2013 (14B NCAC 06C .0501)
Transferred from 14A NCAC 08H .0502 Eff. June 1, 2013 (14B NCAC 06C .0502)
Transferred from 14A NCAC 08H .0504 Eff. June 1, 2013 (14B NCAC 06C .0503)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14b NCAC 06C .0503 Notice Concerning Hearing: Review of Investigation

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0501 Eff. June 1, 2013 (14B NCAC 06C .0501)
Transferred from 14A NCAC 08H .0502 Eff. June 1, 2013 (14B NCAC 06C .0502)
Transferred from 14A NCAC 08H .0504 Eff. June 1, 2013 (14B NCAC 06C .0503)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .0601 Scheduling Hearings

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0601 Eff. June 1, 2013 (14B NCAC 06C .0601)
Transferred from 14A NCAC 08H .0602 Eff. June 1, 2013 (14B NCAC 06C .0602)
Transferred from 14A NCAC 08H .0603 Eff. June 1, 2013 (14B NCAC 06C .0603)
Transferred from 14A NCAC 08H .0604 Eff. June 1, 2013 (14B NCAC 06C .0604)
Transferred from 14A NCAC 08H .0605 Eff. June 1, 2013 (14B NCAC 06C .0605)
Transferred from 14A NCAC 08H .0606 Eff. June 1, 2013 (14B NCAC 06C .0606)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .0602 Official Notice of Hearing

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0601 Eff. June 1, 2013 (14B NCAC 06C .0601)
Transferred from 14A NCAC 08H .0602 Eff. June 1, 2013 (14B NCAC 06C .0602)
Transferred from 14A NCAC 08H .0603 Eff. June 1, 2013 (14B NCAC 06C .0603)
Transferred from 14A NCAC 08H .0604 Eff. June 1, 2013 (14B NCAC 06C .0604)
Transferred from 14A NCAC 08H .0605 Eff. June 1, 2013 (14B NCAC 06C .0605)
Transferred from 14A NCAC 08H .0606 Eff. June 1, 2013 (14B NCAC 06C .0606)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .0603 Service of Subpoenas

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0601 Eff. June 1, 2013 (14B NCAC 06C .0601)
Transferred from 14A NCAC 08H .0602 Eff. June 1, 2013 (14B NCAC 06C .0602)
Transferred from 14A NCAC 08H .0603 Eff. June 1, 2013 (14B NCAC 06C .0603)
Transferred from 14A NCAC 08H .0604 Eff. June 1, 2013 (14B NCAC 06C .0604)
Transferred from 14A NCAC 08H .0605 Eff. June 1, 2013 (14B NCAC 06C .0605)
Transferred from 14A NCAC 08H .0606 Eff. June 1, 2013 (14B NCAC 06C .0606)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .0604 Appearance at Hearings and Appeals

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0601 Eff. June 1, 2013 (14B NCAC 06C .0601)
Transferred from 14A NCAC 08H .0602 Eff. June 1, 2013 (14B NCAC 06C .0602)
Transferred from 14A NCAC 08H .0603 Eff. June 1, 2013 (14B NCAC 06C .0603)
Transferred from 14A NCAC 08H .0604 Eff. June 1, 2013 (14B NCAC 06C .0604)
Transferred from 14A NCAC 08H .0605 Eff. June 1, 2013 (14B NCAC 06C .0605)
Transferred from 14A NCAC 08H .0606 Eff. June 1, 2013 (14B NCAC 06C .0606)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14b NCAC 06C .0605 Notification of Full Commission Action

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0601 Eff. June 1, 2013 (14B NCAC 06C .0601)
Transferred from 14A NCAC 08H .0602 Eff. June 1, 2013 (14B NCAC 06C .0602)
Transferred from 14A NCAC 08H .0603 Eff. June 1, 2013 (14B NCAC 06C .0603)
Transferred from 14A NCAC 08H .0604 Eff. June 1, 2013 (14B NCAC 06C .0604)
Transferred from 14A NCAC 08H .0605 Eff. June 1, 2013 (14B NCAC 06C .0605)
Transferred from 14A NCAC 08H .0606 Eff. June 1, 2013 (14B NCAC 06C .0606)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .0606 Additional Testimony: Appeals

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0601 Eff. June 1, 2013 (14B NCAC 06C .0601)
Transferred from 14A NCAC 08H .0602 Eff. June 1, 2013 (14B NCAC 06C .0602)
Transferred from 14A NCAC 08H .0603 Eff. June 1, 2013 (14B NCAC 06C .0603)
Transferred from 14A NCAC 08H .0604 Eff. June 1, 2013 (14B NCAC 06C .0604)
Transferred from 14A NCAC 08H .0605 Eff. June 1, 2013 (14B NCAC 06C .0605)
Transferred from 14A NCAC 08H .0606 Eff. June 1, 2013 (14B NCAC 06C .0606)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14b NCAC 06C .0701 Delivering Permits

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0701 Eff. June 1, 2013 (14B NCAC 06C .0701)
Transferred from 14A NCAC 08H .0702 Eff. June 1, 2013 (14B NCAC 06C .0702)
Transferred from 14A NCAC 08H .0703 Eff. June 1, 2013 (14B NCAC 06C .0703)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .0702 Surrender of Permits

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0701 Eff. June 1, 2013 (14B NCAC 06C .0701)
Transferred from 14A NCAC 08H .0702 Eff. June 1, 2013 (14B NCAC 06C .0702)
Transferred from 14A NCAC 08H .0703 Eff. June 1, 2013 (14B NCAC 06C .0703)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14b NCAC 06C .0703 Subpoenas and Commission Orders

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .0701 Eff. June 1, 2013 (14B NCAC 06C .0701)
Transferred from 14A NCAC 08H .0702 Eff. June 1, 2013 (14B NCAC 06C .0702)
Transferred from 14A NCAC 08H .0703 Eff. June 1, 2013 (14B NCAC 06C .0703)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .0801 Communications with Abc

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0801 Eff. June 1, 2013 (14B NCAC 06C .0801)
Transferred from 14A NCAC 08H .0802 Eff. June 1, 2013 (14B NCAC 06C .0802)
Transferred from 14A NCAC 08H .0803 Eff. June 1, 2013 (14B NCAC 06C .0803)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .0802 Requests for Reports

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0801 Eff. June 1, 2013 (14B NCAC 06C .0801)
Transferred from 14A NCAC 08H .0802 Eff. June 1, 2013 (14B NCAC 06C .0802)
Transferred from 14A NCAC 08H .0803 Eff. June 1, 2013 (14B NCAC 06C .0803)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .0803 Advice

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .0801 Eff. June 1, 2013 (14B NCAC 06C .0801)
Transferred from 14A NCAC 08H .0802 Eff. June 1, 2013 (14B NCAC 06C .0802)
Transferred from 14A NCAC 08H .0803 Eff. June 1, 2013 (14B NCAC 06C .0803)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .0901 Relations with Other Agencies

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .0901 Eff. June 1, 2013 (14B NCAC 06C .0901)
Transferred from 14A NCAC 08H .0902 Eff. June 1, 2013 (14B NCAC 06C .0902)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .0902 Contacts with Other Agencies

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .0901 Eff. June 1, 2013 (14B NCAC 06C .0901)
Transferred from 14A NCAC 08H .0902 Eff. June 1, 2013 (14B NCAC 06C .0902)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .1001 Drug Violations

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. January 1, 1984; August 1, 1988
Transferred from 14A NCAC 08H .1001 Eff. June 1, 2013 (14B NCAC 06C .1001)
Transferred from 14A NCAC 08H .1002 Eff. June 1, 2013 (14B NCAC 06C .1002)
Transferred from 14A NCAC 08H .1003 Eff. June 1, 2013 (14B NCAC 06C .1003)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1002 Assisting Other Agencies

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. January 1, 1984; August 1, 1988
Transferred from 14A NCAC 08H .1001 Eff. June 1, 2013 (14B NCAC 06C .1001)
Transferred from 14A NCAC 08H .1002 Eff. June 1, 2013 (14B NCAC 06C .1002)
Transferred from 14A NCAC 08H .1003 Eff. June 1, 2013 (14B NCAC 06C .1003)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1003 Approval

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. January 1, 1984; August 1, 1988
Transferred from 14A NCAC 08H .1001 Eff. June 1, 2013 (14B NCAC 06C .1001)
Transferred from 14A NCAC 08H .1002 Eff. June 1, 2013 (14B NCAC 06C .1002)
Transferred from 14A NCAC 08H .1003 Eff. June 1, 2013 (14B NCAC 06C .1003)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1101 Arrest Policy

History

Status: expired
Authority G.S. 15A-501; 15A-541; 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1101 Eff. June 1, 2013 (14B NCAC 06C .1101)
Transferred from 14A NCAC 08H .1102 Eff. June 1, 2013 (14B NCAC 06C .1102)
Transferred from 14A NCAC 08H .1103 Eff. June 1, 2013 (14B NCAC 06C .1103)
Transferred from 14A NCAC 08H .1104 Eff. June 1, 2013 (14B NCAC 06C .1104)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .1102 Citations

History

Status: expired
Authority G.S. 15A-501; 15A-541; 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1101 Eff. June 1, 2013 (14B NCAC 06C .1101)
Transferred from 14A NCAC 08H .1102 Eff. June 1, 2013 (14B NCAC 06C .1102)
Transferred from 14A NCAC 08H .1103 Eff. June 1, 2013 (14B NCAC 06C .1103)
Transferred from 14A NCAC 08H .1104 Eff. June 1, 2013 (14B NCAC 06C .1104)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .1103 Bail Bond

History

Status: expired
Authority G.S. 15A-501; 15A-541; 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1101 Eff. June 1, 2013 (14B NCAC 06C .1101)
Transferred from 14A NCAC 08H .1102 Eff. June 1, 2013 (14B NCAC 06C .1102)
Transferred from 14A NCAC 08H .1103 Eff. June 1, 2013 (14B NCAC 06C .1103)
Transferred from 14A NCAC 08H .1104 Eff. June 1, 2013 (14B NCAC 06C .1104)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .1104 Operator's License to Remain in Driver's Possession

History

Status: expired
Authority G.S. 15A-501; 15A-541; 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1101 Eff. June 1, 2013 (14B NCAC 06C .1101)
Transferred from 14A NCAC 08H .1102 Eff. June 1, 2013 (14B NCAC 06C .1102)
Transferred from 14A NCAC 08H .1103 Eff. June 1, 2013 (14B NCAC 06C .1103)
Transferred from 14A NCAC 08H .1104 Eff. June 1, 2013 (14B NCAC 06C .1104)
Expired Eff. February 1, 2017 pursuant to G. S. 150B-21.3A.

14B NCAC 06C .1201 Request for Assistance

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1201 Eff. June 1, 2013 (14B NCAC 06C .1201)
Transferred from 14A NCAC 08H .1202 Eff. June 1, 2013 (14B NCAC 06C .1202)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1202 Commitment of Forces

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1201 Eff. June 1, 2013 (14B NCAC 06C .1201)
Transferred from 14A NCAC 08H .1202 Eff. June 1, 2013 (14B NCAC 06C .1202)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1301 Impartial Use of Services

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1301 Eff. June 1, 2013 (14B NCAC 06C .1301)
Transferred from 14A NCAC 08H .1302 Eff. June 1, 2013 (14B NCAC 06C .1302)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1302 ROTATION OF WRECKER requests

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1301 Eff. June 1, 2013 (14B NCAC 06C .1301)
Transferred from 14A NCAC 08H .1302 Eff. June 1, 2013 (14B NCAC 06C .1302)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1401 Escorting Emergency Vehicles

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1401 Eff. June 1, 2013 (14B NCAC 06C .1401)
Transferred from 14A NCAC 08H .1402 Eff. June 1, 2013 (14B NCAC 06C .1402)
Transferred from 14A NCAC 08H .1403 Eff. June 1, 2013 (14B NCAC 06C .1403)
Transferred from 14A NCAC 08H .1404 Eff. June 1, 2013 (14B NCAC 06C .1404)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1402 Escorting Private Vehicles

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1401 Eff. June 1, 2013 (14B NCAC 06C .1401)
Transferred from 14A NCAC 08H .1402 Eff. June 1, 2013 (14B NCAC 06C .1402)
Transferred from 14A NCAC 08H .1403 Eff. June 1, 2013 (14B NCAC 06C .1403)
Transferred from 14A NCAC 08H .1404 Eff. June 1, 2013 (14B NCAC 06C .1404)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1403 Escorting Funeral Processions

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1401 Eff. June 1, 2013 (14B NCAC 06C .1401)
Transferred from 14A NCAC 08H .1402 Eff. June 1, 2013 (14B NCAC 06C .1402)
Transferred from 14A NCAC 08H .1403 Eff. June 1, 2013 (14B NCAC 06C .1403)
Transferred from 14A NCAC 08H .1404 Eff. June 1, 2013 (14B NCAC 06C .1404)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1404 Emergency Medical Relays

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1401 Eff. June 1, 2013 (14B NCAC 06C .1401)
Transferred from 14A NCAC 08H .1402 Eff. June 1, 2013 (14B NCAC 06C .1402)
Transferred from 14A NCAC 08H .1403 Eff. June 1, 2013 (14B NCAC 06C .1403)
Transferred from 14A NCAC 08H .1404 Eff. June 1, 2013 (14B NCAC 06C .1404)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1501 Who May Drive

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .1501 Eff. June 1, 2013 (14B NCAC 06C .1501)
Transferred from 14A NCAC 08H .1502 Eff. June 1, 2013 (14B NCAC 06C .1502)
Transferred from 14A NCAC 08H .1503 Eff. June 1, 2013 (14B NCAC 06C .1503)
Transferred from 14A NCAC 08H .1504 Eff. June 1, 2013 (14B NCAC 06C .1503)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1502 Unauthorized Passengers

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .1501 Eff. June 1, 2013 (14B NCAC 06C .1501)
Transferred from 14A NCAC 08H .1502 Eff. June 1, 2013 (14B NCAC 06C .1502)
Transferred from 14A NCAC 08H .1503 Eff. June 1, 2013 (14B NCAC 06C .1503)
Transferred from 14A NCAC 08H .1504 Eff. June 1, 2013 (14B NCAC 06C .1503)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1503 Request for Transportation

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .1501 Eff. June 1, 2013 (14B NCAC 06C .1501)
Transferred from 14A NCAC 08H .1502 Eff. June 1, 2013 (14B NCAC 06C .1502)
Transferred from 14A NCAC 08H .1503 Eff. June 1, 2013 (14B NCAC 06C .1503)
Transferred from 14A NCAC 08H .1504 Eff. June 1, 2013 (14B NCAC 06C .1503)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1504 Use of Aircraft

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .1501 Eff. June 1, 2013 (14B NCAC 06C .1501)
Transferred from 14A NCAC 08H .1502 Eff. June 1, 2013 (14B NCAC 06C .1502)
Transferred from 14A NCAC 08H .1503 Eff. June 1, 2013 (14B NCAC 06C .1503)
Transferred from 14A NCAC 08H .1504 Eff. June 1, 2013 (14B NCAC 06C .1503)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1601 Use of Force

History

Status: expired
Authority G.S. 15A-401; 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1601 Eff. June 1, 2013
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1602 Firearms Procedures

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. January 1, 1984
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1603 Eff. June 1, 2013 (14B NCAC 06C .1602)
Transferred from 14A NCAC 08H .1604 Eff. June 1, 2013 (14B NCAC 06C .1603)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14b NCAC 06C .1603 Investigation and Reporting of Firearms Incident

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. January 1, 1984
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1603 Eff. June 1, 2013 (14B NCAC 06C .1602)
Transferred from 14A NCAC 08H .1604 Eff. June 1, 2013 (14B NCAC 06C .1603)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1701 Search for Weapons: Male Prisoners

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1701 Eff. June 1, 2013 (14B NCAC 06C .1701)
Transferred from 14A NCAC 08H .1702 Eff. June 1, 2013 (14B NCAC 06C .1702)
Transferred from 14A NCAC 08H .1703 Eff. June 1, 2013 (14B NCAC 06C .1703)
Transferred from 14A NCAC 08H .1704 Eff. June 1, 2013 (14B NCAC 06C .1704)
Transferred from 14A NCAC 08H .1705 Eff. June 1, 2013 (14B NCAC 06C .1705)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1702 Search of Female Prisoners

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1701 Eff. June 1, 2013 (14B NCAC 06C .1701)
Transferred from 14A NCAC 08H .1702 Eff. June 1, 2013 (14B NCAC 06C .1702)
Transferred from 14A NCAC 08H .1703 Eff. June 1, 2013 (14B NCAC 06C .1703)
Transferred from 14A NCAC 08H .1704 Eff. June 1, 2013 (14B NCAC 06C .1704)
Transferred from 14A NCAC 08H .1705 Eff. June 1, 2013 (14B NCAC 06C .1705)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14b NCAC 06C .1703 Transporting Prisoners

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1701 Eff. June 1, 2013 (14B NCAC 06C .1701)
Transferred from 14A NCAC 08H .1702 Eff. June 1, 2013 (14B NCAC 06C .1702)
Transferred from 14A NCAC 08H .1703 Eff. June 1, 2013 (14B NCAC 06C .1703)
Transferred from 14A NCAC 08H .1704 Eff. June 1, 2013 (14B NCAC 06C .1704)
Transferred from 14A NCAC 08H .1705 Eff. June 1, 2013 (14B NCAC 06C .1705)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1704 Transporting Female Prisoners

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1701 Eff. June 1, 2013 (14B NCAC 06C .1701)
Transferred from 14A NCAC 08H .1702 Eff. June 1, 2013 (14B NCAC 06C .1702)
Transferred from 14A NCAC 08H .1703 Eff. June 1, 2013 (14B NCAC 06C .1703)
Transferred from 14A NCAC 08H .1704 Eff. June 1, 2013 (14B NCAC 06C .1704)
Transferred from 14A NCAC 08H .1705 Eff. June 1, 2013 (14B NCAC 06C .1705)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1705 Property of Prisoners

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984
Transferred from 14A NCAC 08H .1701 Eff. June 1, 2013 (14B NCAC 06C .1701)
Transferred from 14A NCAC 08H .1702 Eff. June 1, 2013 (14B NCAC 06C .1702)
Transferred from 14A NCAC 08H .1703 Eff. June 1, 2013 (14B NCAC 06C .1703)
Transferred from 14A NCAC 08H .1704 Eff. June 1, 2013 (14B NCAC 06C .1704)
Transferred from 14A NCAC 08H .1705 Eff. June 1, 2013 (14B NCAC 06C .1705)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1801 News Releases

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .1801 Eff. June 1, 2013 (14B NCAC 06C .1801)
Transferred from 14A NCAC 08H .1802 Eff. June 1, 2013 (14B NCAC 06C .1802)
Transferred from 14A NCAC 08H .1803 Eff. June 1, 2013 (14B NCAC 06C .1803)
Transferred from 14A NCAC 08H .1804 Eff. June 1, 2013 (14B NCAC 06C .1804)
Transferred from 14A NCAC 08H .1805 Eff. June 1, 2013 (14B NCAC 06C .1805)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14b NCAC 06C .1802 Information Which May Be Released

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .1801 Eff. June 1, 2013 (14B NCAC 06C .1801)
Transferred from 14A NCAC 08H .1802 Eff. June 1, 2013 (14B NCAC 06C .1802)
Transferred from 14A NCAC 08H .1803 Eff. June 1, 2013 (14B NCAC 06C .1803)
Transferred from 14A NCAC 08H .1804 Eff. June 1, 2013 (14B NCAC 06C .1804)
Transferred from 14A NCAC 08H .1805 Eff. June 1, 2013 (14B NCAC 06C .1805)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1803 Information Not to Be Released

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .1801 Eff. June 1, 2013 (14B NCAC 06C .1801)
Transferred from 14A NCAC 08H .1802 Eff. June 1, 2013 (14B NCAC 06C .1802)
Transferred from 14A NCAC 08H .1803 Eff. June 1, 2013 (14B NCAC 06C .1803)
Transferred from 14A NCAC 08H .1804 Eff. June 1, 2013 (14B NCAC 06C .1804)
Transferred from 14A NCAC 08H .1805 Eff. June 1, 2013 (14B NCAC 06C .1805)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1804 Allowing Photographs to Be Taken

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .1801 Eff. June 1, 2013 (14B NCAC 06C .1801)
Transferred from 14A NCAC 08H .1802 Eff. June 1, 2013 (14B NCAC 06C .1802)
Transferred from 14A NCAC 08H .1803 Eff. June 1, 2013 (14B NCAC 06C .1803)
Transferred from 14A NCAC 08H .1804 Eff. June 1, 2013 (14B NCAC 06C .1804)
Transferred from 14A NCAC 08H .1805 Eff. June 1, 2013 (14B NCAC 06C .1805)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1805 Releasing Names of Deceased Persons

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988; January 1, 1984; April 1, 1980
Transferred from 14A NCAC 08H .1801 Eff. June 1, 2013 (14B NCAC 06C .1801)
Transferred from 14A NCAC 08H .1802 Eff. June 1, 2013 (14B NCAC 06C .1802)
Transferred from 14A NCAC 08H .1803 Eff. June 1, 2013 (14B NCAC 06C .1803)
Transferred from 14A NCAC 08H .1804 Eff. June 1, 2013 (14B NCAC 06C .1804)
Transferred from 14A NCAC 08H .1805 Eff. June 1, 2013 (14B NCAC 06C .1805)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1901 Leaving Assigned Area

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1901 Eff. June 1, 2013 (14B NCAC 06C .1901)
Transferred from 14A NCAC 08H .1902 Eff. June 1, 2013 (14B NCAC 06C .1902)
Transferred from 14A NCAC 08H .1903 Eff. June 1, 2013 (14B NCAC 06C .1903)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1902 Leaving the State

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1901 Eff. June 1, 2013 (14B NCAC 06C .1901)
Transferred from 14A NCAC 08H .1902 Eff. June 1, 2013 (14B NCAC 06C .1902)
Transferred from 14A NCAC 08H .1903 Eff. June 1, 2013 (14B NCAC 06C .1903)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06C .1903 Leaving the State: Pursuit

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08H .1901 Eff. June 1, 2013 (14B NCAC 06C .1901)
Transferred from 14A NCAC 08H .1902 Eff. June 1, 2013 (14B NCAC 06C .1902)
Transferred from 14A NCAC 08H .1903 Eff. June 1, 2013 (14B NCAC 06C .1903)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

Subchapter D

14B NCAC 06D .0101 Civil and Criminal Liability

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08I .0101 Eff. June 1, 2013 (14B NCAC 06D .0101)
Transferred from 14A NCAC 08I .0102 Eff. June 1, 2013 (14B NCAC 06D .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 06D .0102 Violations of Manual

History

Status: expired
Authority G.S. 18B-500; 143B-10
Eff. February 1, 1980
Amended Eff. August 1, 1988
Transferred from 14A NCAC 08I .0101 Eff. June 1, 2013 (14B NCAC 06D .0101)
Transferred from 14A NCAC 08I .0102 Eff. June 1, 2013 (14B NCAC 06D .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

Chapter 07 State Highway Patrol

Subchapter A

14B NCAC 07A .0101 Request for Assistance

(a) In the event state assistance is deemed necessary by local officials to assist with riots, mob violence or other civil disturbances, local government officials shall contact the local Highway Patrol troop commander, district supervisor, patrol communications center, patrol headquarters in Raleigh, or any available patrol member. Local officials shall state the nature of the emergency and the need for state assistance.

(b) If time will permit, a patrol member may be immediately assigned to the scene to assess the situation and to inform patrol headquarters officials as to the existing situation and as to assistance needed.

(1) whether local authorities have utilized all of their own forces and are unable to control the situation; or

(2) whether control of the situation is beyond the capabilities of the local authorities; or

(3) whether local authorities are taking appropriate action.

History

Authority G.S. 20-184; 20-185; 20-187; 20-188
Eff. November 21, 1977
Amended Eff. August 1, 1994
Transferred from 14A NCAC 09H .0201 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 07A .0102 Commitment of Forces

(a) Only the Patrol Commander or his designated representative shall authorize the actual commitment of patrol forces to assist local officials with civil disturbances, after obtaining permission of the Secretary of the Department of Crime Control and Public Safety or his representative or the Governor. Provided, however, that pending instructions from patrol headquarters, the ranking patrol official on the scene shall have the authority to temporarily commit such forces as are necessary to control an emergency situation where it reasonably appears that the lives of citizens are endangered or the destruction of public or private property is threatened.

(b) Patrol forces will work under the control of patrol officers, and patrol members will assist in coordinating activities of all state patrol and local official agencies involved. Any unlawful or unauthorized act on the part of any patrol member will not be excusable on the grounds that it was the result of an order or request received from a local officer or civil official.

History

Authority G.S. 20-184; 20-185; 20-187; 20-188
Eff. November 21, 1977
Transferred from 14A NCAC 09H .0202 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 07A .0103 Definitions

The following definitions shall apply to the words and phrases found in this Chapter.

(1) Applicant. A person or corporation owning a wrecker service and applying for inclusion on the Patrol Rotation Wrecker List.

(2) Wrecker Service. A person or corporation engaged in the business of, or offering the services of, and owning a wrecker service or towing service whereby motor vehicles are or may be towed or otherwise removed from one place to another by the use of a motor vehicle manufactured and designed for the primary purpose of removing and towing disabled motor vehicles.

(3) Car Carrier or "Rollback". A car carrier or rollback is a vehicle transport designed to tow or carry vehicles damage-free. The truck chassis shall have a minimum gross vehicle weight rating (GVWR) of 14,500 pounds. Two lift cylinders, minimum two and one-half inch bore; Individual power winch pulling capacity of not less than 8,000 pounds; a length of wire rope (cable) on winch drum with a working load limit (WLL) that meets or exceeds the pulling capacity of the power winch utilized; and four tie down hook safety chains. The carrier bed shall be a minimum of 16 feet in length and a minimum of 84 inches in width inside side rails. A cab protector, constructed of aluminum or steel, must extend a minimum of 10 inches above the height of the bed. A "rollback" is not considered a small or large wrecker.

(4) Computerized Rotation Wrecker List. The names of those Wrecker Services that have been approved by the District First Sergeant to be included on the Patrol Rotation Log and entered in the Computer Assisted Dispatch (CAD) System. There shall be separate rotation wrecker lists for large and small wreckers for each Rotation Wrecker Zone.

(5) Debris. Includes any parts of a vehicle or material that may be strewn upon the surface of the roadway or highway right-of-way as a result of the collision and which may reasonably be cleared or removed. This definition shall also include any mud, soil, antifreeze, transmission, brake or other liquids/fluids that have been deposited onto the surface of the roadway as a result of a vehicle collision. Debris does not include cargo from property hauling vehicles or hazardous materials that are required to be handled by local hazardous materials teams.

(6) Large Wrecker. A truck chassis having a minimum gross vehicle weight (GVWR) of 26,001 pounds and a boom assembly having a minimum lifting capacity of 40,000 pounds as rated by the manufacturer; tandem axles or cab to axle length of no less than 102 inches; a length of wire rope (cable) with a working load limit (WLL) that meets or exceeds the pulling capacity of the power winch utilized on each drum; airbrake so constructed as to lock wheels automatically upon failure; and additional safety equipment as specified by the rules in this Chapter.

(7) Manual Rotation Wrecker List. A list of names of those wreckers that have been approved by the District First Sergeant to be included on the Patrol Rotation Wrecker List and entered into a Manual list that is to be used only when the CAD System is down. There shall be separate manual lists for large and small wreckers for each Rotation Wrecker Zone. These lists shall be maintained by the Troop Communications Center.

(8) Minor Violations. Violations of the rules in this Chapter which do not require removal for a definitive time, may be readily corrected, and do not involve a criminal act or pose a threat to the safety and well being of the public.

(9) Major Violations. All violations of the rules in this Chapter not determined to be minor.

(10) Open Enrollment Period. The period of time between November 1st and November 30th each calendar year in which applications or reapplications for inclusion to the Highway Patrol Rotation Wrecker List for the next calendar year may be submitted.

(11) Rotation Wrecker List. A list of wrecker services that have met the rules of the Patrol and whose vehicles are properly registered with the Division of Motor Vehicles.

(12) Removal. Being taken off the Patrol Rotation Wrecker List for a determinate or indeterminate period of time.

(13) Storage Facility. A lighted off street storage facility secured by a minimum 6 foot high chain link fence, or a fence of similar strength, or other barrier sufficient to deter trespassing or vandalism; and where all entrances and exits are secure from public access. The lot shall be of sufficient size to accommodate all vehicles towed by the wrecker service for the Patrol. Storage facilities shared by two or more wrecker services may not be used to satisfy the facility requirement in Rule .0321(a)(2) of this Section.

(14) Small Wrecker means a truck chassis having a minimum gross vehicle weight (GVWR) rating of 10,000 pounds and a maximum GVWR that does not exceed 26,000 pounds; a boom assembly having a minimum lifting power of 8,000 pounds as rated by the manufacturer; an 8,000 pound rated winch with a length of wire rope (cable) on winch drum with a working load limit (WLL) that meets or exceeds the pulling capacity of the power winch utilized; a belt-type tow plate or tow sling assembly; a wheel-lift with a retracted lifting capacity of no less than 3,500 pounds; dual rear wheels; and additional safety equipment as specified by the rules in this Chapter.

(15) Rotation Wrecker Zone means a geographic area which may encompass all or part of a District of a Troop.

(16) Member means all uniformed personnel of the Patrol who are charged with enforcement duties.

History

Authority G.S. 20-184; 20-185; 20-187; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0308 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14B NCAC 07A .0104 Vehicle Removal Procedures

(a) Vehicles on the paved or main-traveled portion of the highway:

(1) A member who encounters a vehicle parked, disabled from a collision, or otherwise left standing on the paved or main-traveled portion of the highway shall:

(A) remove the vehicle to a position off the roadway;

(B) with consent from the owner, operator, or legal possessor, arrange the transportation and storage of the vehicle; or

(C) without consent from the owner, operator, or legal possessor, arrange the transportation and storage of the vehicle if the vehicle presents a hazard, a potential hazard or otherwise as authorized by State law.

(2) A member shall permit an objecting owner, operator, or legal possessor to remove a vehicle to a safe position off the roadway, if the driver is competent and licensed to drive the vehicle. A member may arrange to transport and store a vehicle that cannot be safely parked off the roadway as authorized in this Rule.

(b) Vehicles off the paved or main-traveled portion of the highway:

(1) A member investigating an accident or collision in which a disabled vehicle is located off the paved or main-traveled portion of the highway may arrange the transportation and storage of the vehicle. If the owner, operator, or legal possessor objects, a member shall not transport and store a vehicle unless, as standing, the vehicle creates a hazard.

(2) A member who observes a vehicle unlawfully parked or disabled on the right-of-way, but not on the main-traveled portion of the highway, may remove and store the vehicle only if the vehicle interferes with the regular flow of traffic or otherwise constitutes a hazard.

(3) A member shall not arrange the transportation and storage of a vehicle unlawfully parked on the highway right-of-way that does not interfere with the regular flow of traffic or otherwise constitutes a hazard until the vehicle remains on the highway right-of-way for a period of 24 hours or more, has been vandalized, or is otherwise abandoned.

(c) Vehicles subject to seizure - Vehicles that are authorized by law to be seized or which may be evidence in a criminal proceeding may be towed and stored.

History

Authority G.S. 20-184; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Transferred from 14A NCAC 09H .0309 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0105 Securing Vehicles When Operator Is Arrested

Upon arresting or placing a vehicle operator in custody, a member shall:

(1) With consent of owner, operator, or legal possessor, allow another licensed, competent person to drive or move the vehicle to a position off the roadway; or

(2) If no licensed, competent person is present, or if the owner, operator, or legal possessor will not consent to such removal, then a member may move the vehicle, if necessary, to a position off the roadway, lock the vehicle and return the key to the owner, operator, or legal possessor, except that, in any case where the operator of the vehicle is arrested for DWI, a member shall either turn the keys over to the magistrate or jailer or to a sober, responsible person.

History

Authority G.S. 20-184; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0310 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0106 Vehicles Transported and Stored Over Objection of Owner

A member may transport and store a vehicle over the objection or without consent of the owner, operator, or legal possessor when:

(1) The vehicle cannot be lawfully parked off the roadway;

(2) The vehicle is lawfully parked off the roadway but creates a hazard;

(3) The owner, operator, or legal possessor refuses or is unable to remove the vehicle from the roadway;

(4) The vehicle is subject to seizure pursuant to G.S. 20-28.3 or other lawful authority; or

(5) The vehicle is being detained pursuant to G.S. 20-96.

History

Authority G.S. 20-184; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0311 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0107 Parking Vehicles Off the Roadway

(a) A member who removes or allows a vehicle to be removed to a position off the roadway shall, when circumstances permit:

(1) Lawfully park the vehicle in an apparently safe and secure location off the main-traveled portion of the highway; or

(2) Place the vehicle in a position that creates no apparent hazard or other interference with the regular flow of traffic.

(b) A member shall take reasonable precautions to secure the vehicle and its contents against theft, vandalism, and other damage by locking the vehicle (if possible) and returning the keys to the owner, operator, or legal possessor. In any case where the operator of the vehicle is arrested for DWI, a member shall either turn the keys over to the magistrate or jailer or, when appropriate, to a sober, responsible person.

History

Authority G.S. 20-184; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Transferred from 14A NCAC 09H .0312 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14b NCAC 07A .0108 Transporting and Storing Vehicles

(a) When necessary for accident reconstruction or a criminal investigation when multiple vehicles are involved in an incident, a single storage location shall be designated. The storage facility of the first wrecker service dispatched shall be used unless otherwise designated by a supervisor.

(b) When necessary for an accident reconstruction or a criminal investigation, a member shall designate the indoor or other storage facility a vehicle shall be stored to ensure preservation of the evidence. The storage facility shall be the first wrecker service dispatched unless otherwise designated by a supervisor.

(d) Vehicles stored pursuant to G.S. 20-96 shall be held by the towing or storage company until all civil assessment(s) have been satisfied and release is approved by the investigating member.

History

Authority G.S. 20-184; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0313 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0109 Notification

(a) Unless exempted by vehicle seizure law, the Troop Communications Center must notify the registered owner when a vehicle is towed and stored. In order to accomplish this, the authorizing member shall immediately notify the appropriate Troop Communications Center of the following:

(1) a description of the vehicle;

(2) the place where the vehicle is stored;

(3) the procedure the owner must follow to have the vehicle returned to him or her; and

(4) the procedure the owner must follow to request a probable cause hearing on the towing.

(b) Upon notification by the authorizing member, the Troop Communications Center shall, as soon as practicable, attempt to notify the owner of the towing or storage. The Troop Communications Center shall attempt to contact the owner by telephone and provide the owner with the location of the vehicle. At least three attempts shall be made for vehicles registered in North Carolina and one attempt for vehicles registered out-of-state. The Telecommunicator shall record the person contacted or the attempts made.

(c) In the absence of an HP-305 (Vehicle Towing Authorization) signed by the registered owner, Form Letter HPC-305.2 (Vehicle Towing/Notification, which is a form letter computer-generated at the Troop Communications Center) shall be mailed to the owner within 24 hours. A duplicate copy of the Form Letter HPC-305.2 is also computer-generated and will print automatically in the District office of the member. Whether or not the owner is reached by telephone, a copy of the Form Letter HPC-305.2 shall be mailed to the last registered owner by the Troop Communications Center.

(d) Whenever a vehicle with neither a valid registration plate nor registration is towed, in the absence of an HP-305 signed by the registered owner, the authorizing member shall attempt, including checking the vehicle identification number, to determine the last known registered owner of the vehicle and to notify him or her of the information listed in Paragraph (a) of this Rule. Attempts shall include checking the vehicle identification number (VIN).

(e) Whenever a vehicle is seized pursuant to G.S. 20-28.3, the charging officer shall complete and forward the appropriate DMV notification form to DMV and to the statewide contractor within 24 hours.

History

Authority G.S. 20-28.3; 20-184; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0314 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0110 Release of Vehicles

If no legal justification to hold the vehicle exists, a member shall authorize the release of a stored vehicle to the owner upon proof of ownership.

History

Authority G.S. 20-184; 20-187; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0315 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0111 Vehicle Inventory

(a) A member who authorizes the transportation and storage of a vehicle in the absence of Form Letter HP-305 signed by the owner, operator, or legal possessor shall take precautions to protect all property in and on the vehicle prior to removal from the scene.

(b) A Form Letter HP-305 signed by the owner, operator, or legal possessor is documentation that the vehicle was not removed from the possession of such person; therefore, the completion of a vehicle inventory is not required.

(c) The storage and security of the vehicle and its contents become the responsibility of the wrecker service when the vehicle is towed from the scene and stored at the wrecker service storage facility. If the vehicle is to be stored at a Patrol facility, the storing member shall conduct an inventory, itemizing all property contained in the vehicle.

(d) All vehicles inventoried pursuant to this Rule shall be inventoried at the time of storage unless an emergency situation dictates otherwise. The inventory shall list all items that are toxic, explosive, flammable, or of monetary value. Unless locked or securely wrapped, all containers in the vehicle, whether open or closed, shall be opened to determine contents unless evidence is discovered to indicate that opening the container may subject the member to exposure of toxic, flammable, or explosive substances. Locked or securely wrapped luggage, packages, and containers shall not be opened except as otherwise authorized by law or by owner consent, but shall be indicated on the inventory list as locked or securely wrapped items. Locked or securely wrapped containers (luggage, attaché cases, etc.) shall be considered as units of inventory and shall not be searched without obtaining consent or a search warrant unless there is evident danger to the member or public. The member shall seek to obtain a search warrant when there is probable cause for a search of the vehicle or its contents when time and conditions permit.

History

Authority G.S. 20-184; 20-187; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0316 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0112 Reimbursement of Wrecker Operators

If a court orders the release of any vehicle without payment of transportation and storage costs, the member shall obtain a statement of the transportation and storage fees. The Patrol may decide to appeal this court order. If the Patrol does not appeal, then the Patrol shall compensate the wrecker operator for reasonable transportation and storage fees in cases where no appeal is taken. When an appeal is taken, the Patrol shall not compensate wrecker operators until all appeals are exhausted.

History

Authority G.S. 20-184; 20-187; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0317 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0113 Financial Interest

History

Status: repealed
Authority G.S. 20-184; 20-185; 20-187; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Transferred from 14A NCAC 09H .0318 Eff. June 1, 2013
Repealed Eff. January 1, 2019.

14B NCAC 07A .0114 Impartial Use of Services

The Patrol shall use wrecker services to tow disabled, seized, wrecked, or abandoned vehicles. Members of the Patrol shall assure the impartial use of wrecker services through compliance with this Subchapter. In no event shall any member recommend any wrecker service, motor club, or automobile membership service to the owner or driver of a wrecked or disabled vehicle, nor shall any member recommend the services of a particular wrecker service, motor club, or automobile membership service in the performance of his or her duties. Members shall, whenever possible and practicable, dispatch the wrecker service requested by the motorist requiring such services.

History

Authority G.S. 20-184; 20-187; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Transferred from 14A NCAC 09H .0319 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0115 Rotation, Zone, Contract, and Deviation from System

(a) The Troop Commander shall arrange for the Telecommunications Center to maintain a rotation wrecker system within each District of the Troop that shall include any of the following:

(1) Separate computerized large and small rotation wrecker lists and manual rotation lists for the entire District, whereby wrecker services are called in the order they appear on a list;

(2) A zone system within the District, with a rotation wrecker list being maintained in each Rotation Wrecker Zone;

(3) A zone, contract, or other system operated in conjunction with one or more local agencies; or

(4) A combination of any such system.

(b) The Patrol member shall use the wrecker service requested by the vehicle owner or person in apparent control of the motor vehicle to be towed. Patrol members shall not attempt to influence the person's choice of wrecker services, but may answer questions and provide factual information. If no such request is made, the Patrol system in place in the Rotation Wrecker Zone shall be used, absent an emergency.

(c) The Troop Commander may deviate from any provisions in this Rule in emergency situations if there are insufficient wrecker services of the type needed within a District to meet the needs of the Patrol.

(d) Whenever vehicles are removed pursuant to G.S. 20-161(f), the investigating member(s) may request the closest available zone rotation wrecker service or available Department of Transportation (DOT) resource for the purpose of removing the obstruction from the roadway. Members shall ensure that the requested wrecker service is capable of responding without delay and is staffed and equipped to handle the request for service. All requests for assistance from DOT shall be made through the appropriate Telecommunications Center, where a list of on-duty/recall DOT personnel with the authority to concur with the decision to implement Quick Clearance shall be maintained.

History

Authority G.S. 20-184; 20-187; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0320 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0116 Rotation Wrecker Service Regulations

(a) The Troop Commander shall include on the rotation wrecker list only those wrecker services that agree in writing to adhere to the following provisions:

(1) A wrecker service desiring to be included on the rotation wrecker list shall complete a wrecker application on a form designated by the Patrol. This application and all forms referenced in this Rule may be accessed at www.ncdps.gov, State Highway Patrol, Wrecker Inspections tab. All applications shall be submitted to the appropriate District First Sergeant.

(2) In order to be listed on a rotation wrecker list within a rotation wrecker zone, a wrecker service shall have a full-time business office within that rotation wrecker zone that is staffed and open 8:00 a.m. to 5:00 p.m., Monday through Friday, excluding State holidays, and a storage facility. The wrecker service shall have someone available to accept telephone calls from the Patrol, to allow access to towed vehicles, or to retrieve towed vehicles by the registered owner, operator, or legal possessor during business hours. The business office may not be the same physical address as the owner's residence unless zoned for commercial purposes and advertised as a business property. A representative from the wrecker service shall be available on call on a 24-hour basis for emergencies. The wrecker service shall allow vehicles to be retrieved between the hours of 8:00 a.m. and 5:00 p.m., seven days a week, excluding State holidays. An individual (registered owner, legal possessor, or operator) shall not be charged a storage fee for days that he or she could not retrieve his or her vehicle as a result of an action or omission on the part of the wrecker service, such as where the wrecker service was not open, did not answer the telephone, or a representative was not available to release the vehicle.

(3) Wrecker service facilities and equipment, including vehicles, office, telephone lines, office equipment, and storage facilities shall not be shared with or otherwise located on the property of another wrecker service and shall be independently insured. Vehicles towed at the request of the Patrol shall be placed in the storage owned and operated by the wrecker service on the rotation wrecker list. A storage facility for a small wrecker shall be located within the assigned zone. For wrecker services with large wreckers, the storage facility for vehicles towed with the large wrecker may be located anywhere within the county. To be listed on the large rotation wrecker list, a wrecker service shall have at least one large wrecker located within the county and designated for the sole use in that county. To be listed on the small rotation wrecker list, a wrecker service shall have at least one small wrecker located within the assigned zone and designated for the sole use in that assigned zone. A wrecker shall not be on more than one rotation wrecker list. In any case where husband and wife or other family members are engaged in the business of towing vehicles and desire to list each business separately on the wrecker rotation list, the wrecker service shall establish that it is a separate legal entity for every purpose, including federal and state tax purposes. Nothing in this Rule precludes a wrecker service from responding to private calls outside the assigned zone or county.

(4) Each wrecker shall be equipped with legally required lighting and other safety equipment to protect the public and the equipment must be in good working order.

(5) Each wrecker on the rotation wrecker list shall be equipped with the equipment required on the application list and the equipment shall be operating properly at all times.

(6) The wrecker service operator must remove all debris, other than hazardous materials, from the highway and the right-of-way prior to leaving the incident or collision scene. "Hazardous Materials" consist of those materials and amounts that are required by law to be handled by local Hazardous Materials Teams. This service must be completed as part of the required rotation service and shall not be charged as an extra service provided. Hazardous materials or road clean-up other than debris may be billed in quarter-hour increments after the first hour on scene.

(7) The wrecker service shall be available to the Patrol for rotation service on a 24-hour per day basis and accept collect calls (if applicable) from the Patrol. Calls for service shall not go unanswered for any reason, unless the wrecker company has notified the Patrol is unable respond as set forth in Subparagraph (a)(16) of this Rule.

(8) The wrecker service shall respond, under normal conditions, in a timely manner. Failure to respond in a timely manner shall result in a second rotation wrecker being requested. If the second wrecker is requested before the arrival of the first rotation wrecker, the initial requested wrecker shall forfeit the call and shall leave the collision or incident scene.

(9) For Patrol-involved incidents, the wrecker service shall respond only upon request from Patrol authority or at the request of the person in apparent control of the vehicle to be towed.

(10) The wrecker service, when responding to rotation wrecker calls, shall charge reasonable fees for services rendered. Towing, storage, and related fees charged for rotation services may not exceed the wrecker service's charges for nonrotation service calls that provide the same service, labor, and conditions. Wrecker services may secure assistance from another rotation wrecker service when necessary, but only one bill shall be presented to the owner or operator of the vehicle for the work performed. A price list for recovery, towing, and storage shall be established and kept on file at the place of business. A price list for all small wreckers and rollbacks with a GVWR of less than 26,001 pounds shall be furnished in writing on a Patrol form to the District First Sergeant upon request. The District First Sergeant shall approve all price lists submitted within his or her respective District, if they are determined to be reasonable, consistent with fees charged by other Highway Patrol rotation wrecker services within the District and do not exceed the wrecker service's charges for nonrotation service calls that provide the same service, labor, and conditions. The District First Sergeant shall retain a copy of all approved price lists in the appropriate wrecker service file located in the district office. Storage fees shall not begin to accrue until the next calendar day following the initial towing of the vehicle. Wrecker service towing fees for recovery and transport of vehicles after 5:00 p.m. and on weekends shall not exceed the towing fees by more than 10 percent for recovery and transport of vehicles charged during regular business hours. A mileage fee shall be charged only if the customer requests the vehicle to be towed to a location outside of the assigned wrecker zone or county. If a mileage fee is warranted, the wrecker driver shall inform the owner, operator, or legal possessor of the vehicle of any additional charge for mileage prior to towing. The individual price list for each respective wrecker service shall be made available to customers upon request. Copies of the approved price list shall be maintained within each wrecker and shall be given to the owner, operator, or legal possessor of a vehicle being towed as a result of a Highway Patrol rotation wrecker call by the wrecker driver, if the owner, operator, or legal possessor of the vehicle being towed is present at the scene. Prices indicated on this form shall be the maximum amount that will be charged for a particular service; however, this does not prevent charges of a lesser amount for said service.

(11) All wrecker operators shall have a valid driver's license for the type of vehicles driven. A limited driving privilege is not allowed.

(12) Wrecker owners, operators, and employees shall not be abusive, disrespectful, or use profane language when dealing with the public or any member of the Patrol and shall cooperate at all times with members of the Patrol.

(13) The wrecker service shall adhere to all Federal and State laws and local ordinances and regulations related to registration and operation of wrecker service vehicles and have insurance as required by G.S. 20-309(a).

(14) The wrecker service shall employ only wrecker operators who demonstrate an ability to perform required services in a safe, timely, efficient, and courteous manner and who satisfy all of the requirements for wrecker drivers established or referenced by this Rule. The wrecker service shall not take any passengers to the service call who have been convicted, pled guilty to, or received a prayer for judgment continued (PJC) for any of the offenses listed in Subparagraph (a)(21) of this Rule, with the exception of a Chapter 20 violation.

(15) The wrecker service shall notify the District First Sergeant of any insurance lapse or change. Wrecker services shall list the NC Highway Patrol as "Certificate Holder" on the Certificate of Liability Insurance, in c/o the District First Sergeant, complete with the current mailing address for the Highway Patrol District Office tasked with the responsibility of ensuring compliance with Highway Patrol policy regarding the respective wrecker service.

(16) The wrecker service shall notify the Patrol whenever the wrecker service is unable to respond to calls.

(17) Notification of rotation wrecker calls shall be made to the owner or operator or employee of the wrecker service. Notification shall not be made to any answering service, pager, or answering machine.

(18) Wrecker service vehicles shall be marked on each side by printing the wrecker service name, city, and state in at least three inch letters. No magnetic or stick-on signs shall be used. Decals are permissible. The wrecker service operator shall provide a business card to the investigating officer or person in apparent control of the vehicle before leaving the scene.

(19) Each wrecker service vehicle shall be registered with the Division of Motor Vehicles in the name of the wrecker service and insured by the wrecker service. Dealer tags shall not be displayed on wreckers that respond to rotation calls.

(20) Wrecker services shall secure all personal property at the scene of a collision to the extent possible, and preserve personal property in a vehicle that is about to be towed.

(21) The owner shall ensure that he or she and each wrecker driver has not been convicted of, pled guilty to, or received a prayer for judgment continued (PJC):

(A) Within the last five years of:

(i) A first offense under G.S. 20-138.1, G.S. 20-138.2, G.S. 20-138.2A, or G.S. 20-138.2B;

(ii) Any misdemeanor involving an assault, an affray, disorderly conduct, being drunk and disruptive, larceny, or fraud;

(iii) Misdemeanor Speeding to Elude Arrest; or

(iv) A violation of G.S. 14-223.

(B) Within the last ten years of:

(i) Two or more offenses in violation of G.S. 20-138.1, G.S. 20-138.2, G.S. 20-138.2A or G.S. 20-138.2B;

(ii) Felony speeding to elude arrest; or

(iii) Any Class F, G, H, or I felony involving sexual assault, assault, affray, disorderly conduct, being drunk and disruptive, fraud, larceny, misappropriation of property, or embezzlement.

(i) Class A, B1, B2, C, D, or E felonies;

(ii) Any violation of G.S. 14-34.2, G.S. 14-34.5, or G.S. 14-34.7;

(iii) Any violation of G.S. 20-138.5; or

(iv) Three felony offenses in any federal or state court or combination thereof. The commission of a felony is not considered to be a second or subsequent felony unless it is committed after the conviction of or guilty plea to the previous felony.

For convictions occurring in federal court, another state or country, or for North Carolina convictions for felonies that were not assigned a class at the time of conviction, the North Carolina offense that is substantially similar to the federal or out of state conviction or the class of felony that is substantially similar to the North Carolina felony shall be used to determine whether the owner or driver is eligible. Any question from the owner of a wrecker service concerning a criminal record shall be discussed with the First Sergeant or his or her designee.

(22) Upon employment or upon the request of the District First Sergeant, the owner of the wrecker service shall supply to the Patrol the full name, current address, date of birth, and photocopy of drivers license, valid work VISA, or other INS documentation for all wrecker drivers and owner(s) in order for the Patrol to obtain criminal history information. The owner of the wrecker service shall also provide a certified copy of the driving record for the owner and each driver authorized to drive on rotation upon initial application, upon the hiring of a driver hired after initial application, and at the time of periodic wrecker inspections conducted by the Patrol to ensure compliance with this Rule and applicable statutes. The wrecker service shall inform the District First Sergeant if the owner or a driver is charged with, convicted of, enters a plea of guilty or no contest to, or receives a prayer for judgment continued (PJC) for any of the crimes listed in Subparagraph (21) of this Paragraph. Upon notification that a driver or owner was charged with any of the crimes listed in Subparagraph (21) of this Paragraph, the Patrol shall conduct an independent administrative investigation. Willful failure to notify the District First Sergeant as required by this Subparagraph shall result in removal from the rotation wrecker service for 12 months.

(23) Upon request of the vehicle owner, the rotation wrecker shall return personal property stored in or with a vehicle, whether or not the towing, repair, or storage fee on the vehicle has been or will be paid. Personal property, includes any goods, wares, freight, or any other property having any value other than the functioning vehicle itself.

(24) The wrecker service shall tow disabled vehicles to any destination requested by the vehicle owner or other person with apparent authority after financial obligations have been finalized.

(25) Unless notified by the Patrol that the vehicle is being preserved as evidence, the wrecker service shall allow insurance adjusters access to and allow inspection of the vehicle at any time during the wrecker service's normal working hours.

(26) Being called by the Patrol to tow a vehicle does not create a contract with or obligation on the part of the Patrol or Patrol personnel to pay any fee or towing charge except when towing a vehicle:

(A) owned by the Patrol;

(B) that is later forfeited to the Patrol; or

(C) that a court determines that the Patrol wrongfully authorized the tow and orders the Patrol to pay transportation and storage fees.

(27) Being placed on the rotation wrecker list does not guarantee a particular number or quantity of calls, does not guarantee an equivalent number of calls to every wrecker service on the rotation wrecker list, nor does it entitle any wrecker service to any compensation as a consequence for not being called in accordance with the list or when removed from the rotation wrecker list.

(28) The willful failure to respond to a call by the Patrol shall result in the wrecker service being placed at the bottom of any rotation wrecker list and the wrecker service shall then be "automatically by-passed" when that wrecker service comes up for its next rotation call.

(29) The District First Sergeant or his or her designee shall subject rotation wreckers and facilities to inspections during normal business hours.

(30) A rotation wrecker service, upon accepting a call for service from the Patrol, shall use its wrecker. Wrecker services shall not refer a call to another wrecker company or substitute for each other.

(31) If a rotation wrecker service plans to move its business location, the owner shall send written notification of the new address to the District First Sergeant not less than 10 days prior to the move. The wrecker service shall not receive rotation calls prior to inspection of the new facility.

(32) A wrecker service may dispatch either a wrecker or a rollback in response to a Patrol rotation wrecker call, except where the wrecker service is advised that a particular type of recovery vehicle is needed due to existing circumstances.

(33) A rotation wrecker driver or employee shall not respond to a Patrol related incident with the odor of alcohol on his or her breath or while under the influence of alcohol, drugs, or any impairing substance.

(34) A wrecker service shall have in effect a valid hook or cargo insurance policy issued by a company authorized to do business in the State of North Carolina in the amount of fifty thousand dollars ($50,000) for each small wrecker and one hundred fifty thousand dollars ($150,000) for each large wrecker or as otherwise required by Federal regulation, whichever is greater. In addition, each wrecker service shall have a garage keeper's insurance policy from an insurance company authorized to do business in the State of North Carolina covering towed vehicles in the amount of one hundred thousand dollars ($100,000).

(b) The District First Sergeant shall conduct an investigation of each wrecker service that applied to be placed on the rotation wrecker list and determine if the wrecker service meets the requirements set forth in this Rule. If the District First Sergeant determines that a wrecker service fails to satisfy one or more of the requirements set forth in this Rule, the First Sergeant shall notify the wrecker service owner of the reason(s) for refusing to place it on the rotation wrecker list. Any wrecker service that fails to comply with the requirements of this Rule shall be removed from the rotation wrecker list.

(c) The Troop Commander or designee shall ensure that a wrecker service shall be included only once on each rotation wrecker list.

(d) Each Troop Commander shall designate a Troop Lieutenant to serve as a Rotation Wrecker Liaison for his or her respective Troop.

(e) If the Troop Commander or designee chooses to use a contract, zone, or other system administered by DOT or a local agency, the agency rules govern the system.

(f) If a wrecker service responds to a call, it shall be placed at the bottom of the rotation wrecker list by the Patrol Communications Center unless the wrecker service, through no fault of its own, is not used and receives no compensation for the call. In that event, it shall be placed back at the top of the rotation wrecker list.

History

Authority G.S. 20-184; 20-187; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. April 1, 2010; July 18, 2008
Transferred from 14A NCAC 09H .0321 Eff. June 1, 2013
Amended Eff. March 19, 2015
Readopted Eff. January 1, 2019.

14B NCAC 07A .0117 Recording Wrecker Requests/Incidents

(a) Members investigating collisions shall enter on the Collision Report Form the authorization for removal of vehicles from the scene.

(b) Members shall submit written verification of wrecker requests on Patrol Form HP-305.

(d) Complaints concerning any wrecker service on the rotation wrecker list, whether instituted by the public or by a member, shall be investigated by the District First Sergeant or designee.

History

Authority G.S. 20-184; 20-185; 20-187; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0322 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

14b NCAC 07A .0118 Sanctions for Violations

(a) If a District First Sergeant determines that a violation of the rules in this Section has occurred, the First Sergeant may:

(1) Issue a written warning and request for compliance to the wrecker service;

(2) Remove the wrecker service from the rotation wrecker list until corrective measures have been taken to bring the wrecker service into compliance with the rules in this Section and verification of such compliance has been demonstrated; or

(3) Remove the wrecker service from the rotation wrecker list for a period of time.

(b) The severity of the sanction imposed shall be commensurate with the nature of the violation and prior record of the wrecker service.

(c) If a wrecker service owner commits, is convicted of, pleads guilty to, or receives a prayer for judgment continued (PJC) for any of the offenses specified in 14B NCAC 07A .0116(a)(21), the wrecker service shall be removed from the rotation wrecker list and shall not be eligible to reapply for inclusion on the list for the designated period of time as set out in that Rule. If a wrecker service owner is charged with any of the offenses specified in 14B NCAC 07A .0116(a)(21), the wrecker service may be removed from the rotation wrecker list for the designated period of time prior to conviction only if an administrative investigation by the Patrol corroborates the commission of the offense. In such cases, the period of ineligibility shall commence on the date of removal.

(d) A wrecker service shall not employ or continue to employ as a driver any person who commits, is convicted of, pleads guilty to or receives a prayer for judgment continued for any of the offenses specified in 14B NCAC 07A .0116(a)(21). This prohibition is for the designated period of time as set out in that Rule. A wrecker service that willfully violates this provision shall be removed from the rotation wrecker list for a minimum of 12 months.

(e) A wrecker service driver or owner who responds to a Patrol related incident with an odor of alcohol on his or her breath shall immediately be removed from the rotation wrecker list for not less than 12 months. If the owner was not the driver and had no knowledge that the driver had been drinking, the wrecker service shall not be removed if the driver is prohibited from responding to Patrol calls for not less than 12 months. This period of removal is in addition to any removal that may result as a consequence of a conviction, plea of guilty, or prayer for judgment continued (PJC) pursuant to 14B NCAC 07A .0116(a)(21).

(f) A wrecker service driver or owner who responds to a Patrol related incident with an odor of alcohol on his or her breath, and who refuses to submit to any requested chemical analysis, shall immediately be removed from the rotation wrecker list for a period of five years. If the owner was not the driver and had no knowledge that the driver had been drinking, the wrecker service shall not be removed if the driver is prohibited from responding to Patrol calls for 12 months. This period of removal is in addition to any removal that may result as a consequence of a conviction, plea of guilty, or prayer for judgment continued (PJC) pursuant to 14B NCAC 07A .0116(a)(21).

(g) A willful misrepresentation of any material fact may result in removal from the rotation wrecker list.

(h) For any violation of these Rules for which no specific period of removal or disqualification is established, a wrecker service shall be removed, at a minimum, until the violation is corrected.

(i) A wrecker service that is removed from the rotation wrecker list remains ineligible for reinstatement even if ownership has been transferred to a family member.

(j) A wrecker service that is removed from the rotation list must demonstrate compliance with all rules in this Section in order to be reinstated.

History

Authority G.S. 20-184; 20-187; 20-188
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0323 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14B NCAC 07A .0119 Hearing Procedures

(a) If the District First Sergeant refuses to include a wrecker service on the rotation wrecker list, the wrecker service may make a written appeal to the Troop Commander or designee within 20 calendar days of receipt of the decision. The Troop Commander or designee shall conduct a hearing or review the record and shall render a decision, in writing, within 10 calendar days of receipt of the appeal. The Troop Commander or designee's decision, if unfavorable, may be appealed to the Office of Administrative Hearings (OAH) within 60 calendar days of receipt of the decision, pursuant to the provisions of Article 3 of G.S. 150B.

(b) If a District First Sergeant issues a written warning to a wrecker service for a violation of any of the rules in this Section, the wrecker service may, within 20 days of receipt of the warning, submit a written response to the First Sergeant in mitigation, explanation, or rebuttal. After considering the mitigation, explanation, or rebuttal, the First Sergeant may reconsider, and remove the written warning.

(c) If a District First Sergeant determines that a violation of the rules in this Section has occurred, and determines that removal from the rotation wrecker list may be warranted, the District First Sergeant shall send written notice to the wrecker service of this determination and afford the wrecker service an opportunity to be heard. The hearing shall take place within 10 calendar days of actual notice or, if notice is by first class mail, within 13 days of the date the notice is placed in the mail. The hearing shall take place within 10 calendar days of the request for hearing and not less than three days written notice. If a District First Sergeant removes a wrecker service from the rotation wrecker list, the wrecker service may appeal the removal to the Troop Commander or designee in writing, within 20 calendar days of receipt of the notice. The Troop Commander or designee, may conduct a hearing or review the record. If the Troop Commander or designee decides to conduct a hearing, he or she shall give the wrecker service not less than 10 calendar days notice. The Troop Commander or designee shall issue a written decision within 10 calendar days of receipt of the appeal or date of the hearing, whichever occurs last. The Troop Commander or designee's decision, if unfavorable, may be appealed to OAH within 60 calendar days, pursuant to the provisions of G.S. 150B.

(d) Hearings conducted by District First Sergeants or Troop Commanders or their designees shall be informal and no party shall be represented by legal counsel.

(e) A wrecker service that is removed from the rotation wrecker list and later placed back on the list, for any reason, shall not be entitled to additional calls, priority listing, or any other form of compensation.

(f) A wrecker service may remain on the rotation wrecker list pending a final decision of the Troop Commander or designee. A District First Sergeant, with the concurrence of the Troop Commander or designee, may, however, summarily remove a wrecker service from the rotation wrecker list in those cases where there exists reasonable grounds to believe a violation enumerated in 14B NCAC 07A .0116(a)(12), (a)(20), or (a)(31) or any other violation relating to licensing, registration, insurance requirements, or the safe and proper operation of the business or that may jeopardize the public health, safety, or welfare.

History

Authority G.S. 20-184; 20-187; 20-188; 150B-22
Temporary Adoption Eff. June 9, 2000
Eff. April 1, 2001
Amended Eff. July 18, 2008
Transferred from 14A NCAC 09H .0324 Eff. June 1, 2013
Readopted Eff. January 1, 2019.

14b NCAC 07A .0120 Emergency Medical Relays

Emergency medical relays may be made by patrol members whenever an actual emergency situation exists. The procedures listed in this Regulation shall be followed:

(1) Emergency relays will be authorized only when there is imminent danger of death or additional injury to the person being treated.

(2) An emergency relay may be authorized only when there is no alternate means of transportation available which could as effectively perform the service.

(3) Hospital personnel must contact the local troop commander, his designee or the patrol headquarters officer of the day through the Raleigh communications center to obtain authorization for a medical relay.

History

Authority G.S. 20-184; 20-185; 20-187; 20-188
Eff. November 21, 1977
Transferred from 14A NCAC 09H .0505 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 3, 2017.

Subchapter B

14B NCAC 07B .0101 Civil and Criminal Liability

History

Status: expired
Authority G.S. 20-184; 20-185; 20-187; 20-188
Eff. November 21, 1977
Transferred from 14A NCAC 09I .0101 Eff. June 1, 2013 (14B NCAC 07B .0101)
Transferred from 14A NCAC 09I .0102 Eff. June 1, 2013 (14B NCAC 07B .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 07B .0102 Violations of Manual

History

Status: expired
Authority G.S. 20-184; 20-185; 20-187; 20-188
Eff. November 21, 1977
Transferred from 14A NCAC 09I .0101 Eff. June 1, 2013 (14B NCAC 07B .0101)
Transferred from 14A NCAC 09I .0102 Eff. June 1, 2013 (14B NCAC 07B .0102)
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 07B .0103 No Contract Rights

History

Status: expired
Authority G.S. 20-184; 20-185; 20-187; 20-188
Eff. October 1, 1987
Transferred from 14A NCAC 09I .0103 Eff. June 1, 2013
Expired Eff. February 1, 2017 pursuant to G.S. 150B-21.3A.

Subchapter C

14B NCAC 07C .0101 Safety of Operation and Equipment

(a) The regulations adopted by the U.S. Department of Transportation relating to safety of operation and equipment (49 CFR Parts 390 through 397) apply to all for-hire motor carriers and all for-hire motor carrier vehicles, and all private motor carriers and all private motor carrier vehicles engaged in interstate commerce over the highways of the State if such vehicles are commercial motor vehicle(s) as defined in 49 CFR Part 390.5.

(b) The regulations adopted by the U.S. Department of Transportation relating to safety of operation and equipment (49 CFR Parts 390 through 397) apply to all for-hire motor carriers and all for-hire motor carrier vehicles, and all private motor carriers and all private motor carrier vehicles engaged in intrastate commerce over the highways of the State if such vehicle(s):

(1) have a gross vehicle weight rating (GVWR), gross combination weight rating (GCWR), gross vehicle weight (GVW), gross combination weight (GCW) of 26,001 pounds or more, whichever is greater;

(2) is designed or used to transport 16 or more passengers, including the driver; or

(3) is used in transporting a hazardous material in a quantity requiring placarding pursuant to 49 C.F.R. Parts 170 through 185.

(1) An intrastate motor carrier driver shall not drive more than 12 hours following eight consecutive hours off duty; for any period after having been on duty 16 hours following eight consecutive hours off duty; after having been on duty 70 hours in seven consecutive days; or more than 80 hours in eight consecutive days. An intrastate driver shall be determined by his or her previous seven days of operation.

(2) Persons who qualify medically to operate a commercial motor vehicle within the State are exempt from the provisions of Part 391.11(b)(1) and may be exempt from provisions of Part 391.41(b)(1) through (11) where applicable and therefore are authorized for intrastate operation if approved by an Exemption Review Officer appointed by the Commissioner of Motor Vehicles. These drivers shall continue to be exempt upon completion of a medical examination indicating the condition has not worsened or no new disqualifying conditions have been diagnosed and upon continued approval of an Exemption Review Officer. After a medical review by the Exemption Review Officer, a driver may be granted a waiver not to exceed a period of two years based on the type and severity of the condition. The Exemption Review Officer shall follow the guidelines established for variances from the Federal Motor Carrier Safety Regulations for intrastate commerce found in 49 CFR 350.341.

(d) The regulations adopted by the U. S. Department of Transportation relating to inspection, repair, and maintenance of motor vehicles (49 CFR Part 396.17 through 396.23 and including Appendix G) apply to all for-hire motor carrier vehicles, and all private motor carrier vehicles engaged in intrastate commerce over the highways of the State if such vehicles have a GVWR of greater than 10,000 pounds.

(e) Every motor vehicle registered or required to be registered in North Carolina and subject to the inspection requirements of the Federal Motor Carrier Safety Regulations (49 CFR Part 396), shall display a current federal inspection certificate when operated on the streets and highways of this State. On self-propelled vehicles, the federal inspection certificate shall be displayed on the driver's side of the vehicle, exclusive of the window or rear view mirror. On trailers and semitrailers, the federal inspection certificate shall be located on the left side as near as possible to the outside lower front of the vehicle. The inspection certificate shall contain at least the following information, legible for review by the public:

(1) The date of inspection;

(2) The name and address of the motor carrier or other entity where the inspection report required by 49 CFR 396.21(a) is maintained;

(3) Information uniquely identifying the vehicle inspected, such as the VIN; and

(4) A certification that the vehicle has passed an inspection in accordance with 49 CFR 396.17.

(f) The Secretary shall fine violators for out-of-service criteria as allowed by G.S. 20-17.7. The out-of-service maximum civil fine schedule does not apply to violations discovered during educational contacts. An "educational contact" for the purpose of this Subchapter means a pre-planned, public safety inspection activity, focusing on commercial motor vehicle safety awareness and compliance.

(g) Any fines assessed for a violation listed in the Commercial Vehicle Safety Alliance (CVSA) North American Standard out-of-service criteria shall be assessed against the motor carrier of the commercial motor vehicle. These standards are incorporated by reference and may be purchased at a range of prices beginning at forty-five dollars ($45.00) from the CVSA at https://cvsa.org/inspections/inspections/out-of-service-criteria/.

(h) Whenever a motor carrier of a vehicle has a defense to the enforcement of a fine or fines for violation(s) of the out-of-service criteria by the Department of Public Safety, it shall pay the penalty within 30 calendar days after the date the penalty was assessed or make a written request within this time limit to the Department for a Departmental review of the penalty. A person who does not submit a request for review within the required time waives the right to a review and hearing on the penalty.

(i) All Code of Federal Regulations (CFR) Parts cited in this Rule are incorporated herein by reference including any subsequent amendments. A copy of the CFR is available online without cost at http://www.fmcsa.dot.gov/ or from the Office of Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402 at a cost set by that office.

History

Authority G.S. 20-17.7; 20-381
Eff. December 1, 1983
Amended Eff. November 1, 1991; October 1, 1991
Temporary Amendment Eff. February 1, 1992 for a Period of 180 Days to Expire on July 30, 1992
Temporary Amendment Eff. March 30, 1992 for a Period of 180 Days to Expire on September 26, 1992
Amended Eff. August 3, 1992; July 1, 1992
Temporary Amendment Eff. December 1, 1999
Amended Eff. August 1, 2002; April 1, 2001
Temporary Amendment Eff. August 6, 2002
Amended Eff. August 1, 2004
Transferred and recodified from 19A NCAC 03D .0801 Eff. March 23, 2009
Amended Eff. June 1, 2011
Transferred from 14A NCAC 09J .0101 Eff. June 1, 2013
Readopted Eff. November 1, 2018.

14B NCAC 07C .0102 Hazardous Materials

(a) The regulations adopted by the U.S. Department of Transportation relating to hazardous materials, including the transportation of hazardous materials (49 CFR Parts 170-185) shall apply to all for-hire and all private motor carrier vehicles engaged in interstate commerce or intrastate commerce over the highways of the State of North Carolina.

(b) All Code of Federal Regulations (CFR) Parts cited in this Rule are incorporated herein by reference including any subsequent amendments. A copy of the CFR is available online without cost at http://www.fmcsa.dot.gov/ or from the Office of Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402 at a cost set by that office.

History

Authority G.S. 20-2; 20-381
Eff. December 1, 1983
Amended Eff. April 1, 2001; January 1, 1994
Transferred and recodified from 19A NCAC 03D .0802 Eff. March 23, 2009
Transferred from 14A NCAC 09J .0102 Eff. June 1, 2013
Readopted Eff. November 1, 2018.

Chapter 09 Division of Victims Services

14B NCAC 09 .0101 Purpose and Intent

History

Status: expired
Authority G.S. 143-479; 143B-477; 143B-480.1; 143B-480.2(a), (c); 143B-480.3(a)
Eff. December 1, 1984
Transferred from 14A NCAC 11 .0301-.0306 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14b NCAC 09 .0102 Eligibility for Financial Assistance

History

Status: expired
Authority G.S. 143-479; 143B-477; 143B-480.1; 143B-480.2(a), (c); 143B-480.3(a)
Eff. December 1, 1984
Transferred from 14A NCAC 11 .0301-.0306 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0103 Allowable Costs and Benefits

History

Status: expired
Authority G.S. 143-479; 143B-477; 143B-480.1; 143B-480.2(a), (c); 143B-480.3(a)
Eff. December 1, 1984
Transferred from 14A NCAC 11 .0301-.0306 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0104 Limitations of Coverage

History

Status: expired
Authority G.S. 143-479; 143B-477; 143B-480.1; 143B-480.2(a), (c); 143B-480.3(a)
Eff. December 1, 1984
Transferred from 14A NCAC 11 .0301-.0306 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0105 Method of Payment

History

Status: expired
Authority G.S. 143-479; 143B-477; 143B-480.1; 143B-480.2(a), (c); 143B-480.3(a)
Eff. December 1, 1984
Transferred from 14A NCAC 11 .0301-.0306 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0106 Appeal

History

Status: expired
Authority G.S. 143-479; 143B-477; 143B-480.1; 143B-480.2(a), (c); 143B-480.3(a)
Eff. December 1, 1984
Transferred from 14A NCAC 11 .0301-.0306 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0201 Purpose and Intent

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0401 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0202 Eligibility for Financial Assistance

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. February 1, 1988
Transferred from 14A NCAC 11 .0402 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0203 Allowable Costs

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0204 Disallowable Costs

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0205 Indirect Costs

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14A NCAC 09 .0206 Minimum Dollar Amount for Application Acceptance

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0207 Grant Application Form and Requirements

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0208 Application Submission Procedures

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0209 Cost Assumption Plans: Fund Matching Requirements

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0210 Grant Period

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14b NCAC 09 .0211 Processing Meritorious Applications

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14b NCAC 09 .0212 Selection Criteria

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0213 Evaluations Criteria

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0214 Method of Payment

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0215 Grant Termination

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0216 Non-Supplanting

History

Status: expired
Authority G.S. 143B-500 through 143B-507
Eff. January 1, 1988
Transferred from 14A NCAC 11 .0403-.0416 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 09 .0301 Administration

(a) The offices of the Crime Victims Compensation Commission are located in the Archdale Building, 512 North Salisbury Street, in Raleigh, North Carolina, 27611. The office hours of the Crime Victims Compensation Commission is Monday to Friday from 8:00 a.m. to 5:00 p.m.

(b) The use of any printed forms other than those approved and adopted by this Commission is prohibited. Approved forms may be obtained from the Commission. The forms may be found at: https://www.ncdps.gov/document/victim-compensation-application.

History

Authority G.S. 15B-6
Temporary Rule Eff. November 24, 1987 For a Period of 171 Days to Expire on May 13, 1988
Eff. April 1, 1988
Transferred from 14A NCAC 11 .0501 Eff. June 1, 2013
Readopted Eff. September 1, 2020.

14B NCAC 09 .0302 Processing and Payment of Claims

(a) An application for a claim shall only be submitted on an approved claim application form located on the Crime Victim Compensation website, https://www.ncdps.gov/4victims, and shall include information set forth in G.S. 15B-7. An application for a claim shall be submitted on an approved claim application through the Crime Victim Compensation application portal, or by fax, or by email. The portal will be accessed through the NCDPS Victim Compensation Services website where there will be access to the portal using a weblink or a QR code. The public will gain access using electronic devices such as smart phones, computers, tablets and i-Pads. The Director shall determine if the application is complete with the required information in accordance with G.S. 15B-7. An application for a claim shall be accepted only if all the preceding conditions are met. The date stamped on the claim shall control the order of processing any competing claims.

(b) The Director shall mail a written statement of the award decision to the claimant, along with the check for the award, if any, within 15 business days of the Director's or the Commission's decision according to G.S. 15B-10 or verification of current collateral source information, whichever occurs last according to G.S. 15B-16. This written statement shall notify the claimant whether this check is a partial or complete payment of the award, of any payments made directly to a service provider, and of appeal rights.

(c) Claims shall be docketed on a list to be reviewed by the Commission or the Director for determination of payment in accordance with G.S. 15B-8 and 15B-10.

(d) All payments of compensation shall be made in accordance with the award issued by the Director or the Commission according to G.S. 15B-2(1), 15B-10, and 15B-11.

(e) The claimant shall inform the Director at any time before any action brought to recover damages for the criminally injurious conduct that is the basis of any claim or award and the availability of any collateral source. Each claim filed is investigated to determine eligibility in accordance with G.S. 15B-7(b). The failure to provide such information may be considered as fraud in accordance with G.S. 15B-7(b), allowing the Director or the Commission to reduce or deny an award or to recover monies previously paid.

(f) All notifications and payments or other documents transmitted by U.S. Mail will be sent to the address submitted by the claimant. The claimant shall notify the Director in writing of any change of address.

History

Authority G.S. 15B-2; 15B-3; 15B-4; 15B-6; 15B-7; 15B-8; 15B-10; 15B-11; 15B-16
Temporary Rule Eff. November 24, 1987 For a Period of 171 Days to Expire on May 13, 1988
Eff. April 1, 1988
Transferred from 14A NCAC 11 .0501 Eff. June 1, 2013
Readopted Eff. September 1, 2020
Amended Eff. March 1, 2025.

14b NCAC 09 .0303 Meetings of the Commission

History

Status: repealed
Authority G.S. 15B-3; 15B-6, 15B-12; 150B, Article 3; S.L. 1987, c. 819, s. 35
Temporary Rule Eff. November 24, 1987 For a Period of 171 Days to Expire on May 13, 1988
ARRC Objection Eff. January 21, 1988
Eff. April 1, 1988
Transferred from 14A NCAC 11 .0504-.1505 Eff. June 1, 2013
Repealed Eff. November 1, 2020.

14B NCAC 09 .0304 Contested Cases

History

Status: repealed
Authority G.S. 15B-3; 15B-6, 15B-12; 150B, Article 3; S.L. 1987, c. 819, s. 35
Temporary Rule Eff. November 24, 1987 For a Period of 171 Days to Expire on May 13, 1988
ARRC Objection Eff. January 21, 1988
Eff. April 1, 1988
Transferred from 14A NCAC 11 .0504-.1505 Eff. June 1, 2013
Repealed Eff. November 1, 2020.

14B NCAC 09 .0305 Awards

The Director or the Commission may award a partial payment to the claimant, the acceptance or presentment of which shall not be deemed to constitute a waiver of any further rights.

History

Authority G.S. 15B-6; 15B-10
Temporary Rule Eff. November 24, 1987 For a Period of 171 Days to Expire on May 13, 1988
Eff. April 1, 1988
Transferred from 14A NCAC 11 .0506 Eff. June 1, 2013
Readopted Eff. September 1, 2020.

Chapter 10 Boxing Authority

14B NCAC 10 .0101 Scope

The rules in this Chapter implement the provisions of G.S. 143, Article 68 of the North Carolina General Statutes, and establish the regulations and standards set forth by the Boxing Authority Section of the Alcohol Law Enforcement Division of the North Carolina Department of Crime Control and Public Safety relative to the conduct, promotion, and performances of boxing, kickboxing, toughman or mixed martial arts matches held in North Carolina.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. March 1, 2008; October 1, 2004
Transferred from 14A NCAC 12 .0101 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0102 Definitions

The definitions contained in G.S. 143-651 apply to the rules in this Chapter in addition to the following:

(1) "Cage" means a fenced enclosure in which promotional organizations hold mixed martial arts competition.

(2) "Choke" means a submission technique which restricts blood flow in the carotid arteries, resulting in a competitor either tapping-out or losing consciousness including guillotine choke, rear-naked choke, leg triangle choke, and the arm triangle choke.

(3) "Fish-hooking" means the action of hooking (grasping) and pulling the inside of an opponent's cheek so as to control his head movement

(4) "Gi" means the traditional uniform worn when practicing aikido, jujitsu, judo and karate.

(5) "Grappling" means the techniques of throwing, locking, holding, and wrestling, as opposed to kicking and punching.

(6) "Guard" means a position in which one competitor lies on his back with his or her knees bent and legs open. If his or her opponent is between his or her legs, the opponent is in his or her guard. Depending upon the leg position of the fighter on his or her back, the guard is referred to as being an open, closed, half, butterfly, spider, or rubber-band guard.

(7) "Hammer-fist" means a strike with the small finger side of the fist, as if holding a hammer.

(8) "Kickboxing" means a striking sport which permits punches, kicks, and knees.

(9) "Mount" means a position in which a competitor gains top position and controls his or her opponent by sitting on top of him or her or from the side of the opponent.

(10) "Passing the guard" means a fighter's attempt to escape from his or her opponents guard in order to secure the mount position.

(11) "Spike, Spiking" means after lifting and inverting an opponent or attempting to slam him or her headfirst into the canvas.

(12) "Strikes" means a cumulative number of punches administered by a contestant to his or her opponent.

(13) "Submission" means a grappling technique which forces a contestant to tap-out. Techniques include chokes, and the hyperextension or over-rotation of a joint.

(14) "Tap-out" means the physical act of tapping the opponent, the mat, or one's self to signal a submission. When unable to physically tap-out, a submission may be vocal.

History

Authority G.S. 143-652.1; 143-651
Temporary Adoption Eff. January 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. March 1, 2008
Transferred from 14A NCAC 12 .0102 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0103 North Carolina STATE BOXING AUTHORITY SECTION OF THE ALE DIVISION

(a) A Division representative shall:

(1) Approve, issue, withhold or deny licenses and permits according to the provisions of G.S. 143-654 and G.S. 143-655 and the rules set forth in this Chapter;

(2) Be present at all matches;

(3) Ensure that all matches are conducted in accordance with the provisions of G.S. 143, Article 68 and the rules set forth in this Chapter. This includes appointing or causing to be appointed licensed match officials and reviewing and approving or disapproving a match or fight card based on weights, abilities, records or physical condition of the prospective contestants. The Division representative shall not approve a match where it is reasonable to assume, based on weights, abilities, records or physical condition of the prospective contestants that the match would not be competitive.

(4) Ensure that all the requirements indicated in this Chapter to be the responsibility of the Boxing Authority Section of the Division are properly and timely carried out as set forth in this Chapter;

(5) Appoint the inspectors for each match for which he is responsible. There shall be a minimum of two referees, three judges (plus two kick count judges for kickboxing matches), one announcer, and one timekeeper present at each match;

(6) Inscribe the result of each match on the passport of each participant, if so requested;

(7) Have rubber gloves available for use by the seconds, physicians and officials; and

(8) Ensure that all officials are paid by the promoter prior to their leaving the premises of the boxing matches after the matches have been concluded; and that all officials acknowledge by signature, on a form provided by the Division, the receipt of payment.

(b) Each inspector shall observe and report the conduct of the seconds in the corner of his designated contestant during the course of the match and immediately report any violation or suspicious or improper behavior to the Division representative. Each inspector shall be present in his designated contestant's dressing room to insure that:

(1) No illegal drugs or foreign substances are ingested or used. Any use or suspected use of an illegal drug or foreign substance shall be immediately reported to the Division representative;

(2) Handwraps are applied in accordance with the rules in this Chapter;

(3) Gloves to be used are clean, sanitary and in good condition, and are laced and tied;

(4) A urine sample is collected, when necessary, in accordance with the prescribed protocol as designated by the rules in this Chapter; and

(5) Security is maintained for the protection of the contestant, and the public, and to ensure that the Division representative and inspectors can carry out the provisions of G.S. 143, Article 68 and the rules set forth in this Chapter.

(c) Forms for applications for licenses and permits are available from the Boxing Authority Section of the Division. These forms may be obtained by contacting, and shall be filed with:

NC ALE Boxing Authority Section

Department of Crime Control and Public Safety

4704 Mail Service Center

Raleigh, North Carolina 27699-4704

Telephone (919) 733-3925.

History

Authority G.S. 143-652.1; 143-651(7a); 143-654; 150B-38; 150B-39
Temporary Adoption Eff. January 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. March 1, 2008; October 1, 2004
Transferred from 14A NCAC 12 .0103 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0201 Drugs and Foreign Substances

(a) No contestant shall at any time, use or be under the influence of any drug or foreign substance that would increase or decrease his performance, or impair his or the physician's ability to recognize a potentially serious injury or physical condition. No substance, other than plain drinking water, shall be given to or ingested by a contestant during the course of a match.

(b) The following drug or foreign substance classifications are prohibited except as otherwise indicated:

(1) Stimulants--All stimulants are banned with the following exceptions:

(A) Caffeine--provided, however, that an amount greater than 12 mcg/ml in the urine is prohibited;

(B) Beta 2 Agonist--provided it is selected from the following list and is in aerosol or inhalant form only:

Drug Chemical Brand Name

(i) Mesylate Tornalate

(ii) Metaproterenol Sulfate Alupent, Metaprel

(iii) AlbuterolSulfate Ventolin, Proventil

(iv) TerbutalineSulfate Brethaire

(2) Narcotics;

(3) Anabolic Steroids, including human growth hormone;

(4) Diuretics;

(5) Alcohol;

(6) Local Anesthetics; and

(7) Corticosteroids.

(c) Whenever the Division representative has reason to believe that a contestant has ingested or used a prohibited drug or foreign substance, the Division representative shall request and the contestant shall provide, under the supervision of a physician, Division representative or inspector, a sample of his urine taken not more than 1 hour after the conclusion of the match. No contestant shall use substances or methods which would alter the integrity of the urine sample.

(d) Failure or refusal to provide a urine sample immediately upon request shall result in the revocation of the contestant's license. Any contestant who has been adjudged the loser of a match and who subsequently refuses or is unable to provide a urine sample shall forfeit his share of the purse to the Division. Any contestant who is adjudged the winner of a match and who subsequently refuses or is unable to provide a urine sample shall forfeit the win and shall not be allowed to engage in any future match in North Carolina. A no decision result shall be entered into the official record as the result of the match. The purse shall be redistributed as though the contestant found to be in violation of this Section had lost the match. If redistribution of the purse is not necessary or after redistribution of the purse is accomplished, the contestant found to be in violation of this Section shall forfeit his share of the purse to the Division.

(e) After each match the physician shall advise the Division representative as to whether or not he observed any behavior or other signs that would indicate the advisability of processing the urine sample. The Division representative shall make the final decision as to the processing of the urine sample.

(f) The following apply to the external use of drugs or foreign substances by contestants.

(1) No drug or foreign substance shall be used unless expressly provided for in the rules in this Chapter or as directed by a physician.

(2) The following drugs or foreign substances may be used by contestants under the conditions described in this Chapter:

(A) Petroleum Jelly--The use of petroleum jelly is allowed around the eyes. However, the use of petroleum jelly on the arms, legs and body of a contestant is prohibited.

(B) The use of a 1/1000 solution of Adrenalin and Avitine, or their generic equivalents, as approved by a physician, is allowed between rounds to stop bleeding of cuts and lacerations sustained by a contestant.

(3) Any contestant determined to have been using or under the influence of a prohibited drug or foreign substance and who has been adjudged the loser of a match shall forfeit his share of the purse to the Division. Any contestant determined to have been using or under the influence of a prohibited drug or foreign substance and who has been adjudged the winner of a match, shall forfeit the win and a no decision result shall be entered into the official record as the result of the match. The purse shall be redistributed as though the contestant found to be in violation of this Section had lost the match. If redistribution of the purse is not necessary or after redistribution of the purse is accomplished, the contestant found to be in violation of this Section shall forfeit his share of the purse to the Division. The following penalties shall be assessed against any contestant found to be in violation of this Section:

(A) For the first occurrence the contestant shall be penalized by suspending the contestant's license banning his participating in any manner, in any match for a period of 180 calendar days;

(B) For the second occurrence the contestant shall be penalized by suspending the contestant's license and banning his participation in any manner in any match for a period of one year;

(C) For the third occurrence the contestant shall be penalized by permanently revoking the contestant's license and banning permanently his participation in any manner in any match or activity regulated by G.S. 143, Article 68.

(4) No person licensed by the Division shall participate in or contribute to the act of violating this Section and any violation shall be grounds for suspension or revocation of all licenses held by such person. Any person found to be in violation of this Section shall forfeit his share of the purse or other compensation to the Division and shall be assessed the following penalty:

(A) The first occurrence shall be penalized by suspending the person's license and banning his participating in any manner, in any match for a period of 180 calendar days;

(B) The second occurrence shall be penalized by suspending the person's license and banning his participation in any manner, in any match for a period of one year;

(C) The third occurrence shall be penalized by permanently revoking the person's license and banning permanently his participation in any manner, in any match or activity regulated by G.S. 143, Article 68.

(g) Drugs, containers and other equipment used in conjunction with a match, regardless of why or how they are used or where they are located shall at all times be available for inspection by a physician, referee or Division representative and shall be seized if there is any evidence that they may have been used to violate or are in violation of any provision of G.S. 143, Article 68 or the Rules in this Chapter.

(h) Every person under the jurisdiction of the Division shall immediately advise the physician, referee or Division representative of any knowledge that any contestant scheduled to be engaged in any match has, in violation of this Section, ingested or is under the influence of any drug or foreign substance prohibited by the rules in this Chapter.

History

Authority G.S. 143-652.1
Recodified from 18 NCAC 9 .0104(aa)-(dd) Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 9 Eff. November 8, 2002
Amended Eff. October 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0109)
Transferred from 14A NCAC 12 .0201 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0301 Physical Examination

(a) Pre-Match Examination-A pre-match physical examination shall be given to each contestant by a physician not more than four hours before the start of the program of matches. The physician conducting the pre-match physical examination shall submit to the Division representative the results of the pre-match physical on a form provided by the Division. The physician shall certify his professional assessment as to whether or not the contestant is physically and mentally fit to engage in the match. A contestant shall not be permitted to engage in a match unless he has been examined and pronounced fit to do so by a physician.

(b) Post-Match Examination-At the conclusion of a match and before each contestant leaves the premises, he or she shall be given a post-match examination by a physician. The physician conducting the post-match physical examination shall submit to the Division representative the results of the post-match physical examination on a form provided by the Division. The physician shall certify his professional assessment as to the contestant's physical condition, whether or not a medical suspension is necessary, and whether additional medical treatment or assessments are necessary.

(1) Temperature;

(2) Pulse; sitting, standing and running;

(3) Lungs;

(4) Heart; and

(5) Blood pressure.

(d) At the time of the pre-match physical examination, the promoter shall furnish to the physician a provided pregnancy test for all female contestants. The results of the pregnancy test shall be reported on a form provided by the Division. If the promoter does not have the test kits on site, the Division representative shall provide test kits, the cost of which shall be paid by the promoter. A contestant who tests positive for pregnancy shall not be cleared or allowed to compete in any match.

(e) A contestant shall not engage in any match if any of the following conditions are found by the physician:

(1) Hernia, or bubonocele;

(2) Organic heart murmurs;

(3) Active pulmonary lesions;

(4) Abnormal temperature as determined by the physician;

(5) Systolic pressure over 150 and diastolic pressure over 90;

(6) Infectious skin lesions, such as boils or infected wounds;

(7) Open wounds;

(8) Hand injuries, and fractures less than 6 weeks old, if, in the physician's opinion, the injury would be detrimental to the contestant's health or ability to effectively compete or exhibit;

(9) An indication that the contestant is using or is under the influence of narcotics, drugs, stimulants, depressants, alcohol, local anesthetics or such a high level of analgesics as to render the contestant unable to recognize if he is seriously injured. If the physician finds any indication or evidence that the contestant is using, is under the influence, of unauthorized drugs or foreign substances such that the physician cannot make a definite determination and therefore allows the match to proceed, the physician shall immediately advise the Division representative who shall ensure that a urine sample is taken and processed in accordance with the rules in this Chapter;

(10) Retinopathy or detached retina; provided however, that at the request, of the applicant the Division shall review individual cases of repaired retinal damage for the purpose of permitting the individual to engage in a boxing match in North Carolina. In order for the Division to consider the request the individual must provide to the Division such medical information as the Division deems appropriate which must include a written statement by the doctor performing the retinal repair that the retina is completely healed; that in his opinion, within a reasonable medical certainty, no unusual or extraordinary risk to the individual is anticipated as a result of the repaired retina; and that he authorizes the individual to engage in the sport of boxing, kickboxing or mixed martial arts. In the event the physician who made the repair is unavailable, the individual must authorize the Division and the Division's physician total and unlimited access to all medical records pertaining to the damage, repair of the damage and any subsequent treatment regarding the eyes. The Division shall direct its physician to review all information and to examine the individual seeking licensure and report the results and recommendation to the Division for consideration by the Division. Any costs associated with the review and examination of records or the individual shall be borne by the individual seeking licensure;

(11) Dental abscess;

(12) Ophthalmological problem;

(13) History of epilepsy or seizures;

(14) Blindness;

(15) History of kidney problems;

(16) Change in gait or balance; or

(17) History of any change in a CAT scan, electroencephalogram (EEG), or electrocardiogram (EKG).

(f) If at any time, the Division representative determines that the match may be adverse to the health of a contestant or referee, the Division representative shall order the contestant or referee to be medically examined by a physician. The physician conducting the medical examination shall submit to the Division the results of the examination on a form provided by the Division. The physician shall certify his professional assessment as to: the contestant's or referee's physical conditions, whether or not a medical suspension is necessary and the recommended length of suspension commensurate with the specified injury; and whether additional medical treatment or assessments are necessary.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 9 .0104(g)-(j) Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. October 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0105)
Transferred from 14A NCAC 12 .0301 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0401 Permits

(a) No promoter shall be given tentative approval for or issued a permit if such person has an unpaid fine or any delinquent indebtedness outstanding to the Division.

(b) Each application for a permit shall be in writing, verified by the applicant, complete, and be accompanied by the required fee. The application for permit shall be on file with the Division at least 30 calendar days prior to the scheduled program of matches.

(c) Upon receipt of the application for permit, the Division representative shall review the application and, if the application is in compliance with the requirements of G.S. 143, Article 68 and the rules set forth in this Chapter, he shall give tentative approval to the promoter for the proposed date of the program. If the Division representative determines that the application for permit is not in compliance with Article 68 or the rules as set forth in this Chapter, he shall immediately advise the promoter that the application for permit has been disapproved and shall state the reasons that the application is not in compliance. The Division representative shall deny an application for permit if another program of matches has previously been scheduled for the same date, and he has determined that adequate staff would not be available to properly supervise both programs of matches.

(d) The promoter shall provide the proposed fight card not later than seven calendar days prior to the proposed date of the program. The promoter may advise the Division representative verbally of the names of the proposed contestants. The Division representative shall review the proposed fight card and, if he determines that all the proposed matches meet the requirements of Article 68, and the rules set forth in this Chapter, he shall approve the proposed fight card. If the Division representative determines that the proposed fight card is not in compliance with Article 68 or the rules set forth in this Chapter, he shall not approve the proposed fight card and shall immediately advise the promoter that the proposed fight card has been disapproved and the reasons for the disapproval.

(e) All other pre-match requirements of the promoter described in Article 68 and the rules set forth in this Chapter shall be accomplished before final approval is given and the permit issued. The final approval of the permit shall not be given unless the Division representative has observed that all requirements related to facilities, equipment, personnel, licensing and approvals, and procurement of insurance have been met by the promoter. Immediately upon determining that the promoter has met all the requirements as set forth in this Chapter, the Division representative shall issue the permit. If the Division representative determines that the promoter is not in compliance with the requirements set forth in this Rule, the Division representative shall rescind the tentative approval of the permit and the program of matches shall be canceled. If the program of matches is canceled, all tickets shall be refunded in accordance with the refund provisions set forth in the rules in this Chapter.

(f) A permit is only valid for the program of matches for which it was issued. A new permit is required for each program of matches. If, after the payment of the permit fee to the Division a program of matches is canceled for any reason, whether by the promoter or the Division, the permit fee shall not be refunded, provided however, that the fee shall be refunded if the cancellation by the Division was the result of an error made by the Division and which was through no fault of the promoter.

(g) A non-refundable permit fee shall be submitted with the application for permit and shall be based on the seating capacity of the premises to be utilized to present the program of matches. The following fee structure shall be utilized to determine the permit fee:

(1) Seating capacity is less than 2000--Fee=$150.00

(2) Seating capacity is 2000 or more but no greater than 5000--Fee=$300.00

(3) Seating capacity exceeds 5000--Fee=$$450.00

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 9.0105 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 9 effective November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0110)
Transferred from 14A NCAC 12 .0401 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0402 Licensing Requirements

(a) A person shall not be issued a license if such person has an unpaid fine or any delinquent indebtedness outstanding to the Division.

(b) A person shall not be issued a license who, in any jurisdiction, has been convicted of any act which would constitute a violation of G.S. 143, Article 68 or the rules set forth in this Chapter; or which would constitute any of the grounds set forth in G.S. 143, Article 68 for suspension or revocation of a license; or against whom such charges are pending before any regulatory body.

(c) A person shall not be issued a license who has been named in a pending administrative action or indictment for any act which would constitute a violation of G.S. 143, Article 68 or the rules set forth in this Chapter.

(d) A person shall not transfer or attempt to transfer, including by the use of a power of attorney, any rights, privileges, responsibilities, duties, obligations or liabilities which by their nature are entitled to or encumbered by only those individuals holding a license to perform and be responsible for such activities.

(e) For the purposes of the rules in this Chapter, the requirements and responsibilities of a co-promoter are the same as that of a promoter, and wherever the term promoter is used it is deemed to include the term co-promoter.

(f) All applications for a license shall be in writing on a form provided by the Boxing Authority Section of the Division, verified by the applicant, complete, and accompanied by the required fee.

(g) Upon receipt of an application for a license, the Division representative shall review the application and, if the application is in compliance with the requirements of G.S. 143, Article 68 and the rules set forth in this Chapter, he shall issue the license. If the Division representative determines that the application is not in compliance, he shall notify the applicant and set forth the reasons for his finding that the application is not in compliance.

(h) An application for the renewal of a license shall be submitted on the same forms as referenced in this Rule and all of the requirements, standards, and criteria used to approve or disapprove an application for a new or initial license shall be used to approve or disapprove the application for the renewal of a license.

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 9.0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified form 14A NCAC 12 .0111(a-h))
Transferred from 14A NCAC 12 .0402 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0403 Duties of Contestants

(a) A contestant shall not also be licensed as a judge, promoter or referee nor shall he act as judge, promoter or referee.

(b) A contestant shall not have any financial or pecuniary interest in his opponent.

(c) A contestant shall not be licensed as a contestant and the license of any contestant shall be suspended or revoked if such person:

(1) Is under 18 years of age;

(2) Has had cardiac surgery;

(3) Has not received ophthalmic examination within the immediate 12 month period prior to the date of the scheduled match and the results of the examination filed with the Division;

(4) Is found to have any blindness or whose vision is so poor as to cause a health hazard or impairment to his ability to effectively participate in a match;

(5) Has suffered cerebral hemorrhage or any other serious head injury. The Division representative shall, if he has cause to believe that a contestant may have suffered neurological injury, direct the contestant to undergo an EKG or CAT scan, and the interpretation and diagnosis shall be filed with the Division; or

(6) Is no longer able to competently perform based on his win/lose/draw record, his previous opponents and the results of such matches, his proposed opponent and the results of the matches between his proposed opponent and others, and his physical condition.

(d) A contestant whose most recent match was eight rounds or more in duration, shall not engage in a match with less than seven calendar days between matches. A contestant whose most recent match was less than eight rounds in duration, shall not engage in a match with less than 48 hours between matches.

(e) Any contestant who fails to appear at a match or fails to appear timely at a match for which he or his manager has contracted and does not provide a valid reason or, in the case of physical disability, furnish a physician's certificate, shall be suspended for a period to be determined by the Division. A valid reason for failure to appear or to appear timely at a match includes an unforeseen travel delay or other circumstance beyond the contestant's control. In making a determination as to the period of suspension, the Division shall consider the following factors:

(1) The relative importance of the match;

(2) The contestant's past record of punctuality and tardiness; and

(3) The reason or reasons for his failure to appear or appear timely.

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 9 .0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0111(i))
Transferred from 14A NCAC 12 .0403 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0404 Duties of Promoters and Matchmakers

(a) A promoter or matchmaker shall not act as a promoter or matchmaker for any boxing or kickboxing match in this State unless the match is held in accordance with the rules in this Chapter.

(b) Any person licensed as an individual shall have sole ownership of the license and the license is not transferable or assignable to another. If the person is no longer in business, the license is void.

(c) Any license issued to and in the name of a corporation is not transferable or assignable to another. If the corporation is no longer in business or no longer operates as the corporation, the license is void. If any officer of the corporation is added or deleted, the licensee shall, within 10 calendar days, notify the Division of the addition or deletion. A newly added officer shall submit an application for promoter or co-promoter license.

(d) Any license issued to a partnership is not transferable or assignable to another. If the partnership is no longer in business or no longer operates as the partnership, the license is void, provided however that if the business continues to operate but does not operate as a partnership and the sole remaining person was one of the licensed partners and all other previous licensed partners have, in writing, authorized the sole remaining person to have control and use of the licensed name, than the license may remain in force and effective until its expiration date, at which time the person shall apply as an individual.

(e) A promoter shall not be licensed as a judge or referee.

(f) An applicant for a promoter's license shall satisfy the following bonding requirements:

(1) An applicant for a promoter license shall deposit with the Division a bond or other security in the amount of ten thousand ($10,000) prior to being issued a promoter license. If the bond or other security is not maintained in full force and effect, the license is void.

(2) If the Division determines that the projected liability for a match may exceed ten thousand dollars ($10,000) the Division representative shall require an additional bond or additional security for the match. The additional bond or additional security shall be required and used only for the designated match and shall be released or returned 90 calendar days after the date of the match unless, as a result of violations or suspected violations, the Division representative determines that the additional bond or additional security shall be retained by the Division for a longer period.

(3) The bond and other security, or additional bond and additional security shall be filed with the Division for the purpose of providing surety that the promoter will faithfully perform and fulfill his obligations as described in Article 68, and the rules set forth in this Chapter. Any fault, negligence, error or omission, failure to fulfill contractual obligations, violation of any rules of the Division or any other act or failure to act may result in a claim for recovery from the bond and recovery from the other security. When the amount of recovery cannot be determined by the Division due to the failure of the promoter to perform as required by G.S. 143, Article 68 or the rules set forth in this Chapter, the Division shall recover the face value of the bond and other security and the additional bond and additional security, as appropriate provided however that the recovery shall not be greater than the amount of the bond and other security required to be deposited with the Division.

(4) A bond or additional bond is acceptable if the following conditions are met:

(A) The bond or additional bond has attached the Division Director as power of attorney, which power of attorney does not have an expiration date;

(B) The bond and additional bond provides surety in an amount equal to the face amount of the bond and additional bond and the aggregate annual liability are for the face amount of the bond and additional bond; and

(C) The bond and additional bond is made out in the name of the Division of Alcohol Law Enforcement, Boxing Authority Section and shall be negotiable on the authority of the Division representative;

(5) The bond and additional bond may not be canceled, unless the following conditions have been met, provided however, when an additional bond is required as referenced in this Paragraph, Part (f)(5)(B) in this Rule does not apply:

(A) The surety company has provided the Division at least a 60 calendar-day written notice of intent to cancel;

(B) The promoter's license has expired or the license has been returned to the Division with a request to cancel the license and canceled by the Division and the promoter has not filed an application for renewal of the license; and

(6) Other security may be provided in lieu of the bond or additional bond provided the following conditions are met:

(A) The security is in the form of cash, a certified check or direct obligations of the United States or this state;

(B) The certified check is made payable to the Division of Alcohol Law Enforcement, Boxing Authority Section and, the certified check and the direct obligations of the United States or this state shall be negotiable on the authority of the Division representative;

(D) The security may not be canceled or requested to be returned, unless the following conditions have been met, provided however, when an additional security is required as referenced in this Paragraph, Subpart (6)(D)(ii) of this Rule does not apply:

(i) The promoter has provided the Division at least a 60-calendar day written notice of request for return or release of the security;

(ii) The promoter's license has expired or the license has been returned to the Division with a request for cancellation and canceled by the Division and the promoter has not filed an application for renewal of the license, or the promoter has substituted a bond for the security and the bond indicates on its face that it will retroactively cover the promoter for all times and for all obligations of the promoter covered by the security for which the bond is being substituted;

(iii) A period of 90 calendar days has elapsed since the most recent match of the promoter; and

(iv) A period of one year has elapsed since the security was deposited with the Division.

In the event of substitution of a bond for the security on the deposit with the Division, Subparts (iii) and (iv) in this Part do not apply.

(g) More than one promoter may be involved in the promotion of a single program of matches. The promoter to whom the permit is issued shall be considered as the promoter of record and that promoter shall ensure that all the requirements and responsibilities of the promoter are accomplished as set forth in this Chapter, provided however that the bonds or other securities deposited with the Division of all promoters involved in the promotion of the program of matches are liable and may be used as surety against any claim or obligation involving the program of matches.

(h) A matchmaker shall make matches in which the contestants are of similar ability and skill.

(i) A matchmaker or promoter shall not contract with or negotiate with managers or contestants who are under suspension or whose licenses have been revoked in North Carolina or any other state.

(j) Contracts between contestants and the promoter shall be filed with the Division no later than at the time of weigh-in. All contracts between contestant and promoter must be executed on a form provided by the Division.

(k) After the application for a permit has been tentatively approved and a proposed match has been approved, the promoter may provide the names of the contestants for the approved match to the media. A promoter shall not advertise, sell or cause to be sold any tickets, distribute or cause to be distributed any complimentary tickets, enter into any contracts or in any way make any obligations, commitments or announcements relative to a match or program of matches unless the match or program of matches has been approved and the permit has been tentatively approved.

(l) The promoter shall, in the case of a substitution in a main event, post in a conspicuous place in front of the arena or directly over the cashier windows, notice of the substitution, and if time permits, shall advertise the substitution by radio and in a newspaper expected to have the widest circulation for the intended audience.

(m) A promoter may not pay, lend, or give a contestant an advance against his purse before a contest.

(n) The promoter shall ensure that each contestant scheduled to be engaged in a match has received the following examinations:

(1) A full dilated eye examination performed by a licensed ophthalmologist and submitted on a form provided by the Division within the past 12 months;

(2) HIV within the last 180 days;

(3) Hepatitis B surface antigens within the past 180 days; and

(4) Hepatitis C antibody.

If a contestant fails a Hepatitis B surface Antigen test, the contestant must pass a Hepatitis B "PCR" quantitative test. The quantitative limit must be within permissible limits according to the laboratory where test were administered. The test and results must not be older than 180 days from date of the receipt of report by the Division and must be submitted on letterhead of the laboratory, accompanied by contestant's declaration under penalty of perjury that the report represents the contestant's most recent HIV, Hepatitis B and Hepatitis C test results.

(o) The Division representative shall, if he has cause to believe that a contestant may have suffered cardiac or neurological injury, direct the contestant to undergo an EKG, EEG, or CAT scan. The interpretation and diagnosis shall be filed with the Division. The promoter shall ensure that this requirement is satisfied.

(p) The promoter shall acquire insurance as described in Paragraph (aa) of this Rule.

(q) The promoter shall advise all managers and contestants under contract for a match or program of matches of the time and place of the weigh-in as designated by the Division representative and of the time and place of their appearance for the match or program of matches.

(r) The promoter shall provide the arena equipment, seating, services, facilities, personnel, ushers, ticket sellers, security and other equipment or services necessary to provide for the correct handling of the program of matches.

(s) The promoter shall contract with and compensate the officials required to be present and rendering services during a program of matches including an announcer, a timekeeper, two referees, three judges, plus two kick count judges for kickboxing and a ringside physician. A physician shall be present at the weigh-in.

(t) The promoter shall ensure that all tickets have printed on them the admission price and no ticket is sold for a price higher than the price shown on its face. Each complimentary ticket shall have printed on its face the face value of the ticket and in no case shall the dollar value shown on the face of the ticket be $ 0.00. Each complimentary ticket shall be either marked "COMPLIMENTARY" in large letters on its face or shall be marked or punched in such a manner as to make it clear that the ticket is complimentary. A promoter may not issue complimentary tickets for more than four percent of the seats in the venue. The promoter shall collect a fee in the amount established by G.S. 143-655(b)(1) to attend matches regulated by the Division. The total amount of this fee shall be deposited with the Division after the conclusion of the program of matches. The promoter shall complete, certify and sign a form, supplied by the Division, indicating the total number of paid and complimentary tickets for the program of matches.

(u) A promoter shall not sell or issue, or cause to be sold or issued more tickets of admission for any match or program of matches than can be accommodated by the seating capacity of the premises where the match or program of matches is to be held.

(v) The following criteria and procedure shall be used for the refunding of the purchase price of tickets:

(1) The promoter shall refund the full purchase price of a ticket for a match or program of matches if:

(A) The match or program of matches is postponed or the main event or entire program of matches is cancelled; and

(B) The person presenting the ticket for refund has presented the ticket within 30 calendar days after the scheduled date of the cancelled match or program of matches.

(2) Within 10 calendar days after the expiration of the 30-calendar day period, the promoter shall pay all unclaimed ticket receipts to the Division. The Division shall hold the funds in the State Boxing Division Revenue Account for one year and make refunds during that time to any person presenting a valid ticket for a refund.

(3) Failure to comply with this Paragraph shall result in the forfeiture of the bond or other security and additional bond or additional security and revocation of the license of the promoter or co-promoter.

(w) The promoter shall retain all records necessary to justify and support the information submitted on any reports required by the Division for a period of two years following the date of the match or program of matches.

(x) The promoter shall provide at each program of matches the following:

(1) A minimum of two physicians. The Division representative may waive the two physicians requirement and require only one physician based on consideration of the match type, number of contestants, and the experience, size and skill of the contestants participating the program of matches. The Division shall note these findings on Division forms and provide the promoter with a copy;

(2) A portable defibrillator and canister of oxygen including all additional equipment necessary for proper operation;

(3) An ambulance with two attendants; and

(4) A clean stretcher and clean blanket which shall be in place at all times throughout the program of matches. No match shall begin or continue unless such equipment and personnel are on the premises, in a state of readiness and in a pre-designated readily assessable location known to the referee, physicians and the Division representative.

(y) The promoter shall have available at all times during the progress of a program of matches a person or persons capable of making emergency repairs, corrections and adjustments to the ring, lights and other necessary fixtures.

(z) The promoter shall supply the following items which shall be in good working order and available for use as

needed:

(1) A public address system;

(2) Chairs, located in accordance with the floor plan;

(3) A bell, positioned in a neutral location designated by the Division representative, for use by the timekeeper;

(4) Two stools, a clean water bucket and a clean water container for drinking purposes for each contestant's corner;

(5) Cleaning solution to clean blood and debris in the cage or ring. A solution of 10 percent bleach and 90 percent water is an acceptable solution; and

(6) A complete set of numbered round cards, which shall be of such size as to make them legible from all parts of the arena.

(aa) The promoter for the match shall acquire the insurance coverage described in this Chapter and file with the Division written evidence of insurance no later than 72 hours prior to the date of the match. The evidence of insurance shall specify the name of the insurance company, the insurance policy number, the effective date of the coverage and evidence that each contestant is covered by the insurance. Any deductible associated with the insurance policy shall be paid by the promoter. If the promoter fails to provide evidence of insurance as required in this Chapter the permit shall not be issued or, if issued, the permit shall be suspended and the program of matches shall be canceled. Each contestant in a match held in North Carolina shall be covered by insurance for medical, surgical and hospital care for injuries sustained while engaged in a match. The coverage shall be for an amount not less than two thousand five hundred dollars ($2,500) for each contestant.

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. December 1, 2009; March 1, 2008 (recodified from 14A NCAC 12 .0111(j)); November 1, 2004
Transferred from 14A NCAC 12 .0404 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0405 Duties of Managers

(a) A person shall not act as a manager for any contestant without having first obtained a manager license.

(b) A manager shall not be licensed as a judge, or referee and nor shall he act as a judge or referee.

(d) A manager shall not act as a manager in any boxing or kickboxing match in this state which match is not sanctioned by the Division.

(e) A manager shall not attempt to select or insist upon the selection of any referee or judge in a match in which a contestant under his management is to appear, nor shall he have the name of any such referee or judge written into the contract governing such match.

(f) A manager shall not pay or contribute to the pay of any referee or judge.

(g) A manager shall not coach or assist a contestant during a match, or by word or action attempt to heckle or annoy his opponent. A manager shall not enter the corner or the ring at any time during the match. If any manager enters the corner or the ring during any match, he shall be immediately ejected by the referee, and the referee shall order the match to continue. However, a manager may be designated as a second for his contestant and, if so designated, shall comply with the requirements set forth for seconds in the rules in this Chapter.

(h) The manager shall furnish to his contestant a statement of distribution of the purse together with the contestant's share of the purse no later than 24 hours after the manager receives the purse and promoter's statement from the promoter. The manager shall retain a copy of his statement of distribution of the purse, certified by him to be correct, with receipted vouchers for all expenditures and deductions for a period of six months following the date of the match and shall present the copy to the Division for inspection if requested to do so.

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0111(k))
Transferred from 14A NCAC 12 .0405 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0406 Duties of Referees

(a) If, during the course of a match, the referee receives an injury or is unable to continue acting in his capacity as referee, the representative shall:

(1) Select another person to act as referee for the remainder of the match and program of matches; or

(2) If a person is not available, cancel the remainder of the match and program of matches.

(b) A person who has financial or pecuniary interest in any contestant shall not be granted a referee license.

(c) A referee shall not be licensed as a promoter, manager, matchmaker, or contestant, nor shall he act as a promoter, manager, matchmaker or, contestant.

(d) A referee shall not act as a referee at any boxing, kickboxing, toughman or mixed martial arts match in this State unless the match is held in accordance with the Rules in this Chapter.

(e) Prior to being issued a license in accordance with Chapter 143, Article 68 of the North Carolina General Statues, each referee shall:

(1) Pass an examination composed and administered by the Association of Boxing Commission;

(2) have completed a seminar within one year prior to application for licensure and every year after licensure. Any seminar completed after licensure shall satisfy the seminar requirement for a period of one year from its completion. Seminars shall contain general emergency medical information applicable to contestants participating in matches. Proof of successful seminar completion shall be submitted to and maintained by the Division;

(3) Have either officiated previously in a Division approved sanctioned amateur competition and submit to the Division verification of satisfactory officiating experience from a Division approved sanctioned amateur organization or have officiated in another state or jurisdiction within five years prior to applying for licensure. The Division shall approve a sanctioning organization if the Division determines that the organization has standards compatible to the rules in this Chapter. The applicant shall submit to the Division verification of satisfactory officiating experience from the state or jurisdiction or the applicant shall otherwise demonstrate knowledge and proficiency. The Division may consider any other training and experience including attendance at seminars conducted by the Division as satisfying the prior officiating requirements. Once an applicant has completed this officiating experience requirement, the Division shall waive this requirement for subsequent applications for licensure;

(4) Submit to a physical examination to establish his or her physical fitness. The results of this examination shall be filed with the Division. The cost of the examination is the responsibility of the applicant. The results of the examination are valid for one licensing year.

All assigned referees must submit to a pre-match medical examination by a physician for general physical fitness. The Division representative shall ensure that this requirement is fulfilled the day of the match.

(f) Prior to the beginning of each match, and periodically for the duration of the match, the referee shall examine the contestants' gloves, equipment, and person to ensure that no unsafe or improper conditions exist. Before allowing a match to continue after a contestant has been knocked down, the referee shall wipe clean the surface of the gloves of the contestant who was knocked down.

(g) When a contestant receives an injury which the referee believes may incapacitate the contestant, the referee shall call time out and consult with the physician as to the advisability of allowing the match to continue. A person shall not attempt to render aid to a contestant who has been counted out during the course of a match before the physician has examined the contestant. However, the referee may remove the contestant's mouthpiece.

(h) The referee may:

(1) Terminate a match at any time when he considers that one of the contestants has such superior skills or ability as to make such match unreasonably dangerous to the other contestant;

(2) Disqualify a contestant who commits an intentional foul and award the decision to the opponent;

(3) Terminate a match and disqualify either or both contestants if he considers that either or both contestants are not competing in earnest;

(4) Terminate a match if either contestant has been injured and is in such condition that to continue the match might subject him to a more serious injury;

(5) Temporarily or permanently halt a match if he believes that a health hazard exists, which hazard could reasonably be anticipated to create a hazard to the contestants or the public; and

(6) Enforce discipline and the rules, as set forth in this Chapter, pertaining to the conduct and behavior of contestants, managers and seconds.

(i) The referee shall not touch the contestants, except for the failure of either or both contestants to obey the break command.

(j) The referee's remarks shall be limited to instructions to the contestants and to the chief seconds.

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0111(l))
Transferred from 14A NCAC 12 .0406 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0407 Duties of Judges

(a) A judge shall not also be licensed as a promoter, manager, matchmaker, or contestant.

(b) A judge shall not have a financial or pecuniary interest in any contestant.

(c) A judge shall not act as a judge at any boxing or kickboxing match in this State unless the match is held in accordance with the rules in this Chapter.

(d) Three scoring judges and two kick count judges (if applicable) shall be assigned to officiate in each match. If five judges are not available, the Division representative may appoint a referee to act in the capacity of judge.

(e) The judges shall be located in seats designated for them by the Division representative.

(f) A match shall not begin or continue unless all judges are in their designated seats.

(g) Judges shall, if requested by the referee, assist in deciding whether fouls have been committed, and may bring other points to the attention of the referee at the end of a round.

(h) Each Judge shall:

(1) Be informed of and conversant with G.S. 143, Article 68 and the rules set forth in this Chapter;

(2) Observe at all times during the match the performance of the contestants;

(3) Appraise such performance fairly, accurately and expertly using G.S. 143, Article 68, and the rules set forth in this Chapter;

(4) Inscribe the result of such appraisal after each round on the round score card or match score card, whichever is appropriate, according to the scoring system adopted in this Chapter; and

(5) Complete and sign the match score card and deliver it to the referee at the conclusion of the match.

(i) Judges shall utilize forms provided by the Division for scoring.

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0111(m))
Transferred from 14A NCAC 12 .0407 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0408 Duties of Announcers

(a) A person shall not act as an announcer at any match held in North Carolina without first having obtained an announcer license.

(b) An announcer shall not act as an announcer at any boxing or kickboxing match in this State unless the match is held in accordance with the rules in this Chapter.

(c) The announcer shall make all announcements in the English language. He may also announce the match in another language after he has first made all announcements in the English language.

(d) The announcer shall be at all times, subject and responsible to the Division representative in the discharge of his duties and shall accept directions only from the Division representative.

(e) Announcers shall not make announcements or introductions of persons other than the contestants and officials unless authorized to do so by the promoter with the consent of the Division representative. Announcers shall not introduce an individual whose license has been revoked or is currently under suspension.

(f) After both contestants and their chief seconds are in the ring, the announcer shall announce the name of each contestant, his weight as determined at the weigh-in, and other announcements as directed by the Division representative.

(g) An announcer shall display impartiality in word and action while performing his duties.

(h) The number of the round shall be announced or displayed at the 1-minute interval between rounds.

(i) At the conclusion of each match, the announcer shall make the announcement of the win or draw in the manner and at the time as directed by the Division representative.

(j) In the event of a knockout or a technical knockout, the announcer shall obtain the result and the official time of the termination of the match from the Division representative and shall announce the result, the time and the round in which the knockout or technical knockout occurred.

(k) At the conclusion of each match and immediately after the announcements have been made, the announcer shall submit to the Division representative any match score cards used by the judges and the referee that he may have in his possession.

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0111(n))
Transferred from 14A NCAC 12 .0408 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0409 Duties of Timekeepers

(a) A timekeeper shall not act as a timekeeper at any boxing or kickboxing match in this State unless the match is held in accordance with the rules in this Chapter.

(b) The timekeeper shall have with him during the performance of his duties a whistle, a 3-minute stopwatch, and a hammer or wooden mallet.

(c) The timekeeper shall be located within his arm length of the bell in a seat designated by the Division representative. A match shall not begin or continue unless the timekeeper is in his designated seat.

(d) The timekeeper shall not use the whistle, bell, or other instrument during the progress of a round except in the manner and at the time authorized in this Chapter.

(e) Ten seconds before the beginning of each round, the timekeeper shall give warning to the seconds of each contestant by blowing the whistle. Ten seconds before the end of each round, the timekeeper shall give warning by pounding twice on the ring floor.

(f) If directed by the referee, the timekeeper shall take time out.

(g) The timekeeper shall strike the bell to signify the beginning and ending of each round.

(h) If a match ends before the scheduled number of rounds, the timekeeper shall inform the referee and the Division representative of the exact duration of the match.

(i) The timekeeper shall be familiar with and perform such other duties as set forth the rules in this Chapter.

(j) In the event that an automatic timekeeping machine is available, it may be used, provided however, that manual timekeeping is maintained in the event of equipment failure.

(k) The knockdown timekeeper shall have with him during the performance of his duties a knockdown watch which shall be examined and checked as to accuracy for each match by the Division representative.

(l) The knockdown timekeeper shall be located adjacent to the timekeeper in a seat designated by the Division representative. A match shall not begin or continue unless the knockdown timekeeper is in his designated seat.

(m) The knockdown timekeeper shall count each second for knockdowns by striking the floor of the ring or a wooden striking-board with a hammer or wooden mallet and, by stating in a loud voice, the elapse of each second.

(n) The knockdown timekeeper shall be familiar with and perform such other duties as set forth in the rules in this Chapter.

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0111(o))
Transferred from 14A NCAC 12 .0409 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0410 Duties of Seconds

(a) A second shall not act as a second at any boxing or kickboxing match in this State unless the match is held in accordance with the rules of this Chapter.

(b) A second shall not have any financial or pecuniary interest in the opponent of his contestant.

(c) Each contestant shall be allowed no more than three seconds, one of whom shall be designated the chief second, with the exception of a championship match in which four seconds are allowed. The chief second shall be in charge of the participant's corner and be responsible for the conduct of all seconds, and shall be held responsible for any violation committed by any second.

(d) The chief second of any contestant shall have with him at the ringside the following articles:

(1) One stool;

(2) One pair of scissors;

(3) One towel;

(4) One clean water bucket;

(5) One container of drinking water;

(6) Tape and bandages; and

(7) Caustic to stop bleeding of minor cuts and lacerations.

(e) First aid and other ring equipment of a second shall in all cases and at all times before, during, and after use, be available for inspection by the physician and the Division representative whose decision shall be final as to the propriety of its use.

(f) Seconds shall not coach or in any way assist a contestant during a round, or by word or action attempt to heckle or annoy his contestant's opponent. Seconds shall remain seated in place and silent during the fight period of any round and shall not knock or pound on the ring floor.

(g) A second shall not attempt to render aid to a contestant who has been counted out during the course of a match before the physician has examined the contestant.

(h) If any second enters the ring during any fight period of any match, he shall be immediately ejected by the referee, and the referee shall order the match to continue.

(i) The spraying of water on any fighter between rounds is prohibited.

(j) Only one second is allowed in the ring. A second shall not enter the ring until the bell indicates the end of a round. He shall leave the ring at the sound of the timekeeper's whistle indicating the beginning of the next round is imminent. Prior to the beginning of each round, the entire ring platform and ropes shall be cleared of all obstructions, including buckets, stools, towels, and other articles; and none of these articles shall again be placed on the ring platform until the bell has sounded indicating the end of the round.

(k) All seconds working a corner must wear rubber or latex gloves.

(l) If a second leaves the designated corner area, his contestant shall be disqualified.

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0111(p))
Transferred from 14A NCAC 12 .0410 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0411 Duties of Trainers

(a) The trainer shall prepare the contestant for the match in which he is to engage and shall provide information and direction so as to ensure that the contestant is in good physical condition and is prepared to utilize and display his skills to the best of his ability.

(b) A trainer shall not coach or in any way assist a contestant during a match, or by word or action attempt to heckle or annoy his participant's opponent.

(c) A trainer shall not enter the corner or the ring at any time during the match and shall remain seated and silent during the match.

(d) If any trainer enters the corner or the ring during any match, he shall be immediately ejected by the referee, and the referee shall order the match to continue.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0111(q))
Transferred from 14A NCAC 12 .0411 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0412 Duties of Physicians

(a) A physician shall not have a financial or pecuniary interest in any contestant participating in a match in which the physician is acting as a ringside physician.

(b) At least one physician shall be present at each match and render service and assistance as provided for in the rules in this Chapter. A physician shall be located near each contestant's corner in a designated seat for the duration of each match. A match shall not be allowed to begin or continue unless at least one physician is in his designated seat.

(c) The physician shall provide medical assistance for any illness or injury sustained by any person under the jurisdiction of the Division.

(d) If, at any time during the match, the physician is of the opinion that a contestant has received severe punishment or injury, or that to continue the match would pose the threat of unreasonable harm or injury to a contestant, the physician shall advise the referee that the match should be terminated.

(e) If, in the opinion of the physician, the referee has received an injury, the seriousness of which prevents him from continuing to officiate, the physician shall notify the Division representative who shall temporarily halt the match. The injured referee shall be attended by the physician until he is no longer in danger or has been transferred to the care of another physician or emergency medical personnel.

(f) In the event of injury to or illness of any person under the jurisdiction of the Boxing Authority Section of the Division and while located on the premises where a program of matches is being conducted, the physician shall have complete charge of such person and shall be accorded the full cooperation of the Division representative and all licensees present.

(g) Whenever a knockout occurs in any match, the physician shall examine the contestant knocked out immediately after the match. In the event of a knockout or other injury, the physician shall remain on the premises to provide medical attention as needed. When the physician is satisfied that the injured or knocked out contestant has recovered to the extent that the physician releases the contestant from his care, he shall, prior to releasing him, instruct him as to the danger signs of which the contestant should be aware and which would indicate the need to seek immediate medical attention.

(h) The physician shall not leave the premises until after the decision in the final match has been rendered and he is satisfied that his services are no longer necessary.

History

Authority G.S. 143-652.1; 143-655
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0106 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0111(r))
Transferred from 14A NCAC 12 .0412 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0413 Contracts and Financial Arrangements

(a) A promoter or matchmaker shall not contract with or negotiate with managers or contestants who are under suspension or whose license has been revoked in North Carolina or any other state.

(b) All contracts shall be in writing and shall be filed with the Division within seven days after execution. The Division shall be notified immediately of any changes in contractual status, which change shall be in writing, signed by all parties of the contract and filed with the Division within seven calendar days after execution. Contracts between contestants and the promoter shall be filed with the Division no later than at the time of the weigh-in.

(c) Except as provided in G.S. 143-651(13)a, only a licensed manager may negotiate or contract for or on behalf of any contestant with any promoter or matchmaker under the jurisdiction of the Division. Any contract or negotiation entered into by any other person is unenforceable.

(d) A manager shall not negotiate, obligate or contract for matches for a contestant not under contract to him.

(e) Managers shall file changes in contractual status with the Division no later than at the time of the weigh-in.

(f) Contracts shall not be entered into which entitles a manager or group of managers to a total fee in excess of 33 1/3 percent of the gross earnings of the contestants, and no contract containing such a provision is valid or binding.

(g) Release of a contestant from a contestant or manager contract shall be in writing and filed with the Division.

(h) A manager of a contestant shall not sell, assign, transfer any interest, or in any way encumber, or attempt to sell, assign, transfer any interest or in any way encumber in whole or in part, any interest which he holds in any contract for services of the contestant without notice to the contestant and without notice to the Division.

(i) A person shall not sign a contract with a contestant as a promoter, manager, or matchmaker, unless the person has first applied for and been granted the appropriate license, or the contract is not valid.

(j) Each contract between a manager and a contestant shall contain provisions governing its duration, division of the contestant's purse, and any minimum sum guaranteed to the contestant by the manager. Each contract shall provide and if not included, shall be deemed to include, that it is automatically terminated if the license of either party is revoked by the Division or if the manager fails to renew his license before its expiration date. If the license of either party is suspended, the contract is not binding upon the other party during the period of suspension, provided however that if the manager's license is revoked or suspended for a period of greater than sixty days, the contract shall be automatically terminated.

(k) The Division may withhold any or all of any manager's share of a purse in the event of a contractual dispute as to entitlement to any portion of the purse until such dispute is resolved. If the Division deems it appropriate, the Division may compel interested parties over any disputed funds into the appropriate court for resolution of the dispute prior to release of all or any part of the funds.

(l) No manager shall attempt to select or insist upon the selection of any referee or judge in a match in which a contestant under his management is to appear, nor shall he have the name of any such referee or judge written into the contract governing such match.

(m) No manager shall pay or contribute to the pay of any referee, judge, or timekeeper.

(n) For accounting purposes, a promoter may make checks payable to contestants but shall immediately cash the checks. A contestant shall not be required to accept a payment by check in lieu of cash. The promoter shall retain receipted vouchers for all expenditures and deductions, for a period of six months, during which time the promoter shall provide to the Division upon demand a copy. The total amount of all purses, official fees and administrative costs shall be deposited in the form of American currency to the Division representative at least two hours before the start of the first match.

(o) The manager shall furnish to the contestant he manages a statement of distribution, together with the contestant's share of the purse, no later than 24 hours after the manager receives the purse and a statement from the promoter. The manager shall retain receipted vouchers for all expenditures and deductions, for one year following the expiration date of the contract between manager and contestant, during which time the manager shall provide to the Division upon demand a copy.

(p) A contract, which states that a contestant shall fight exclusively for one promoter or at the option of the promoter is not valid and the division shall not resolve disputes arising under any such promoter contract.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0107 Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0112)
Transferred from 14A NCAC 12 .0413 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0501 weigh-ins for boxing

(a) Contestants shall be classified by weight and may fight above or below his or her weight class in accordance with this Paragraph. The maximum amount of weight difference between the two contestants shall be decided by the lower weight class. A contestant shall not be permitted to compete if the difference in weight between the contestants exceeds the difference shown in the following schedule:

| Weight class | Weights | Allowances | | --- | --- | --- | | Flyweight | up to 112 pounds | not more than 3 pounds | | Bantamweight | 113 to 118 pounds | not more than 3 pounds | | Featherweight | 119 to 126 pounds | not more than 5 pounds | | Junior Lightweight | 127 to 130 pounds | not more than 7 pounds | | Lightweight | 131 pounds to 135 pounds | not more than 7 pounds | | Junior Welterweight | 136 to 140 pounds | not more than 9 pounds | | Welterweight | 141 to 147 pounds | not more than 9 pounds | | Junior Middleweight | 148 to 154 pounds | not more than 11 pounds | | Middleweight | 155 to 160 pounds | not more than 11 pounds | | Light Heavyweight | 161 to 175 pounds | not more than 12 pounds | | Cruiserweight | 176 to 190 pounds | not more than 15 pounds | | Heavyweight | over 191 pounds | no limit |

(b) Contestants in matches shall be weighed on the same scale at a time and place to be determined by the Division representative, in the presence of the opponent and the Division representative. Once the time and location of weigh-ins has been established, contestants shall be notified by the promoter or his or her designee. All contestants, shall be limited to shirt, shorts, and socks while being weighed in. The weigh-in shall occur 12 hours or less prior to the scheduled starting time of the first match of the program of matches. However, where a program of matches is scheduled to begin in the afternoon, the Division representative, if requested by the promoter, may approve an early weigh-in time of noon or later the day before the day of the program of matches if personnel is available. Substitution of a contestant or contestants shall not be allowed after the weigh-in.

(c) Failure of a contestant to be present at the weigh-in at the time and place designated by the Division representative shall result in the contestant's loss of right to view the weigh-in of his or her opponent.

(d) If the weight of any contestant in a match fails to meet the weight parameters as set forth in Paragraph (a) of this Rule at the time of the official weigh-in, he or she shall have two additional hours to meet the weight parameters provided that

(1) No contestant that weighs 147 pounds or less may lose more than two pounds in less than 12 hours before a match.

(2) No contestant weighing more than 147 pounds or less than 190 pounds, may lose more than three pounds in less than 12 hours before a match.

(3) No contestant weighing more than 190 pounds may lose more than four pounds in less than 12 hours before a match.

(4) Contestants may not gain weight after the official weigh-ins have begun to make weight parameters during the time of weigh-ins.

(e) At the time of weigh-in, each contestant in a match shall provide to the Division representative for inspection a picture identification issued by a federal, state or local unit of government, or other governmental authority.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0104)
Transferred from 14A NCAC 12 .0501 Eff. June 1, 2013
Amended Eff. September 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0502 Equipment - Boxing

(a) Boxing Gloves--All boxing contestants shall wear thumb attached boxing gloves. Boxing gloves weighing a minimum of eight ounces shall be worn by contestants weighing 147 pounds or less. Boxing gloves weighing a minimum of 10 ounces shall be worn by contestants weighing more than 147 pounds. Spare boxing gloves, in good condition, must be kept on hand by the promoter. All gloves must pass the inspection of the referee or the Division representative, and the Division may require a brand new set of gloves for any match.

(b) Bandages and handwraps for boxing and kickboxing contestants shall meet the following requirements:

(1) In all weight classes except light heavyweight, cruiserweight and heavyweight, all bandages and handwraps applied to each hand of a contestant shall be restricted to soft cloth, not more than 10 yards in length and two inches in width, held in place by not more than 4 feet of surgical tape.

(2) In the light heavyweight, cruiserweight and heavyweight weight classes, all bandages and handwraps applied to each hand of a contestant shall be restricted to soft cloth, not more than 12 yards in length and two inches in width, held in place by not more than 8 feet of surgical tape.

(3) The use of six inches of adhesive tape, not more than one inch in width, shall be permitted across the back of each hand before bandaging or wrapping the hands, provided however, that the tape shall not be applied across the knuckles.

(4) All bandages and handwraps shall be applied and adjusted in the dressing room in the presence of the inspector. The inspector shall initial or in some other manner mark the bandage or handwrap on each hand so as to be able to determine at the conclusion of the match whether or not the bandage or handwrap was tampered with after the inspector initially examined the bandage or handwrap.

(1) Each contestant shall wear boxing trunks, the belt of which shall not extend above the waistline.

(2) Each contestant shall wear a protective cup, which shall be firmly adjusted before entering the ring.

(3) An individually fitted mouthpiece shall be in the contestant's mouth at all times during the fight period of each round as provided by the rules in this Chapter.

(4) Each contestant shall wear shoes made of soft material and not fitted with spikes, cleats, hard soles or hard heels.

(5) Each contestant shall wear an abdominal guard of standard type which provides sufficient protection to withstand any low blow.

(6) Although not required, female contestants may wear a protective pelvic girdle to cover the pubic area, coccyx and sides of the hips.

(7) Female contestants must wear a breast protector.

(8) All contestants shall be clean and present a neat appearance. This also applies to the contestants' ring apparel. If the Division representative determines the hair on the contestant's head or face presents any potential hazard to the safety of the contestant, his opponent or will interfere with the supervision of the match he shall notify the contestant of such determination at the time of the weigh-in. If, at the time the inspector makes the final inspection of the contestant before the match begins, the contestant has not made the necessary corrections, he shall not be permitted to fight and shall be disqualified.

Any contestant who fails to comply with the requirements in this Paragraph shall not be allowed to participate in a match and such failure to comply with the requirements in this Paragraph shall be grounds for suspension of the contestant's license.

(d) A boxing ring shall meet the following requirements:

(1) The ring shall be not less than 16 feet square nor more than 24 feet square within the ropes. The ring floor shall extend at least 18 inches beyond the ropes. The ring floor shall be padded to a thickness of at least 1 inch, and shall be padded with insulate or another similar closed-cell foam. Padding shall extend beyond the ring ropes and over the edge of the platform, with a top covering of canvas, duck or similar material tightly stretched and laced to the ring platform. Material that tends to gather in lumps or ridges shall not be used.

(2) The ring platform shall not be more than five feet above the floor of the building, and shall be provided with steps for use by contestants and ring officials.

(3) Ring posts shall be of a metal not less than three inches in diameter, extending from the floor of the building to a height of 58 inches above the ring floor. Ring posts shall be at least 18 inches away from the ropes.

(4) There shall be four ring ropes, not less than one inch in diameter and wrapped in soft material. The ring ropes shall extend in parallel lines 18, 30, 42, and 54 inches in height above the ring floor.

(5) The floor plan and apron seating arrangements shall be approved by the Division representative. A crowd control barrier must be installed at least eight feet away from the ring, cage or fenced area and before the first spectator's seats. This barrier shall be capable of restraining spectators from entry to the ringside area. An isle shall be left clear from the contestant's dressing room to the ring. Clear access to the ring shall also be available for emergency medical personnel. Only match officials may sit at ringside. Alcoholic beverages are not permitted at ringside.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0104(k)-(n) Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0106)
Transferred from 14A NCAC 12 .0502 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0503 Scoring - Boxing

(a) Rounds in a boxing match shall be as follows:

(1) The length of each round of a match shall be three minutes with one minute rest intervals between rounds.

(2) A match shall be scheduled for four, six, eight, or 10 rounds.

(3) A championship match shall be scheduled for 12 rounds and shall be sanctioned by a sanctioning organization.

(b) The following rules apply to scoring of boxing matches:

(1) Scoring shall be by the "10 point must" system. The winner of any round shall be awarded 10 points. The loser of any round shall be awarded one to nine points. When a round is even, each contestant shall be scored 10 points.

(2) The awarding or deducting of points by the judges and referee, the determination as to the occurrence of knockdowns, knockouts and fouls and the procedure to be used following such occurrence shall be accomplished in the following manner and based on the following criteria, which criteria is listed in the order of importance:

(A) The only fair punch is a punch delivered with the padded knuckle part of the glove to the front or side of the head or body above the belt, and the contestant who delivers such a punch shall be awarded points in proportion to its damaging effects.

(B) A clean knockdown shall be highly scored. A knockdown is scored as soon as it occurs. The contestant who takes advantage of the full nine-second count shall be credited with ring generalship that would not be credited to him if he arose immediately and, in a groggy condition, tried to continue. If he arises before the count of nine and handles himself well, either aggressively or defensively after he is on his feet, he shall be credited with ring generalship. If the contestant who is down arises during the count, the referee may, if he deems it advisable, step between the contestants for such period of time to assure himself that the contestant who has just arisen is able to continue. When so assured, he shall, without loss of time, order both contestants to proceed with the match. The following shall be used to determine when a knockdown has occurred and the procedure to be followed after a knockdown has occurred:

(i) A contestant shall be considered to be knocked down when:

(I) Any part of his body, other than his feet, is on the floor;

(II) He is hanging helplessly over the ropes;

(III) He is rising from a down position; or

(IV) At the conclusion of a round in a match, he leaves the ring and fails to be in the ring when the bell sounds indicating the beginning of the next round.

(ii) When a contestant is knocked down, the referee shall order the opponent to retire to the farthest neutral corner of the ring by pointing to that corner and shall immediately begin a 10-second count over the contestant who is down. He shall announce the passing of the seconds, accompanying the count with a downward motion of his arm. The knockdown timekeeper, by effective signaling, shall provide the referee the correct one second interval for his count. The referee's count is the official count.

(iii) If the contestant taking the count is still down when the referee calls the count of 10, the referee shall wave both arms to indicate that the contestant has been knocked out, provided however, that if the contestant is counted out by virtue of his failure to be in the ring when the bell sounds indicating the beginning of the next round, the match shall be terminated and the contestant who was counted out shall be declared the loser by technical knockout.

(iv) If a contestant is knocked down and is down at the time the bell rings to end the round, the knockdown timekeeper shall continue to count. If the downed contestant fails to rise before the count of 10, he shall be considered to have been knocked out in the next subsequent round. If a contestant is knocked down and is down at the time the bell rings in the final round, the knockdown timekeeper shall cease the count and the contest shall be deemed to be concluded.

(v) If both contestants are knocked down at the same time, counting shall be continued as long as either remains down.

(vi) A contestant who has been knocked down shall take a count of eight whether or not he has regained his feet before the count of eight has been reached. The referee may, if in his opinion a contestant has been dazed or hurt but remains standing, administer a standing eight-count. A standing eight-count is considered a knockdown.

(vii) If a contestant who is down arises before the count of 10 is reached, and then goes down immediately, without being struck, the referee shall resume the count where he previously stopped counting.

(viii) When a contestant is knocked out, the referee shall perform a full 10 second count before terminating the match, provided however that if, in the opinion of the referee or physician, the contestant requires immediate medical attention, the referee shall not be required to count to 10.

(ix) If a contestant is knocked out of or has fallen out of the ring the referee shall allow the contestant no more than 20 seconds, to re-enter the ring without the assistance of anyone, provided however, that if the contestant was knocked out of the ring as a result of a legal technique and is unable to regain his feet, the referee shall consider this to be a knockdown and shall begin a 10 second count. The opponent shall be ordered to retire to the furthest neutral corner, where he shall remain until signaled by the referee to continue with the match. If a contestant intentionally falls through the ropes, his seconds shall not assist him and, the contestant shall be considered to have been knocked down and the appropriate count and procedures for knockdowns shall be initiated by the referee. If a contestant, enters the ring and immediately goes down, the referee shall begin a 10 second count or shall continue a 10 second count started after the contestant was knocked out of the ring. Any contestant who does not immediately re-enter the ring shall be deemed to have been knocked down and the appropriate count and procedures used in the event of a knockdown shall be used. If, in the opinion of the referee, the contestant has been dazed or hurt but remains standing, the referee shall administer a standing eight-count.

(x) If the contestant who is not down and who has been ordered to a neutral corner fails to stay in the neutral corner the referee and knockdown timekeeper shall cease the count and shall not resume the count until the contestant has retired to the neutral corner.

(xi) If a towel is thrown into the ring when a contestant is down, the towel shall be ignored and the referee and knockdown timekeeper shall continue to count as if it had not appeared.

(d) The following rules apply to the determination of a win or draw:

(1) A contestant who knocks out his opponent shall be declared the winner of the match.

(2) If both contestants are knocked down at the same time and both contestants remain down until the count of 10, the match shall be considered a technical draw.

(3) A contestant who is awarded a technical knockout shall be declared the winner of the match.

(4) A contestant who is knocked down three times in any one round shall be considered to have lost the match by a technical knockout. If requested by a sanctioning body, this Rule shall be waived for a championship fight.

(5) When the winner of a match is to be determined by the number of points awarded or deducted or by the number of rounds awarded to each contestant, the scores for all rounds shall be compiled for each judge and the following criteria shall be used:

(A) Three wins shall be declared a win;

(B) Two wins and one draw shall be declared a win;

(D) One win and two draws shall be declared a draw;

(E) One win, one draw and one loss shall be declared a draw;

(F) One win and two losses shall be declared a loss;

(G) Three draws shall be declared a draw;

(H) Two draws and one loss shall be declared a draw;

(I) One draw and two losses shall be declared a loss; and

(J) Three losses shall be declared a loss.

(6) A contestant shall not be declared the winner of a match on a claim of low blow foul and a contestant shall not lose a match by reason of a low blow foul.

(7) No contestant shall be awarded a match based on an unintentional foul unless the foul was unintentional butting. If a match is temporarily halted because of an unintentional foul, the referee shall determine whether the contestant who has been fouled can continue. If the referee determines that the contestant can continue, the referee shall order the match to be continued. If the referee determines that the contestant is unable to continue the match as a result of an unintentional foul other than for butting, the match shall be terminated but no decision shall be rendered by the referee, who shall order the purses of both contestants withheld. The Division representative shall then rule as to the disposition of the purses based on the prior contractual agreement between the promoter and the contestants. If no such contractual provision exists, then the purses shall be disposed of as follows: If the unintentional foul occurs in any round during the first half of the match, the purses shall revert back to the promoter. If the unintentional foul occurs in any round during the second half of the match, the Division representative shall award the purses in accordance with the determination of win, loss or draw based upon the score cards of the judges. If a contestant is unintentionally butted in a match so that he cannot continue, the referee shall declare the result of the match using the following criteria:

(A) If the unintentional butt occurs prior to the scoring of the third round and the fouled contestant is unable to continue, the result shall be a technical draw.

(B) During a four or six round match, if the unintentional butt occurs in any round subsequent to the scoring of the third round or occurs prior to the scoring of third round but the contestant is not determined to be unable to continue until after the scoring of the third round, the determination of win, loss or draw shall be based upon the score cards of the judges.

(C) During an eight round match, if the unintentional butt occurs in any round subsequent to the scoring of the fourth round or occurs prior to the scoring of fourth round but the contestant is not determined to be unable to continue until after the scoring of the fourth round, the determination of win, loss or draw shall be based upon the score cards of the judges.

(D) During a 10 round match, if the unintentional butt occurs in any round subsequent to the scoring of the fifth round or occurs prior to the scoring of fifth round but the contestant is not determined to be unable to continue until after the scoring of the fifth round, the determination of win, loss or draw shall be based upon the score cards of the judges.

(E) During a 12 round match, if the unintentional butt occurs in any round subsequent to the scoring of the sixth round or occurs prior to the scoring of sixth round but the contestant is not determined to be unable to continue until after the scoring of the sixth round, the determination of win, loss or draw shall be based upon the score cards of the judges.

(8) When an injury is produced by a fair punch but because of the severity of the injury the match cannot continue, the injured contestant shall be declared the loser by a technical knockout.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0104(o)-(p)(3) Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0107)
Transferred from 14A NCAC 12 .0503 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0504 Fouls - Boxing

(a) In a boxing match, except in the case of punching while the opponent is down, a foul, whether intentional or unintentional, may result in a deduction of a point, as determined by the referee. The first offense of punching while down shall result in the deduction of two points from the score of the contestant who punches his opponent while his opponent is down, unless the first offense is determined by the referee to be a blatant disregard of the rule. If such determination is made by the referee, the contestant committing the foul shall be immediately disqualified and his opponent shall be declared the winner by disqualification. The second offense of punching while down shall result in the disqualification of the contestant committing the offense and his opponent shall be declared the winner by disqualification. In the case of all other fouls, the referee shall determine whether or not a point is to be deducted, using as his criteria the severity of the foul and its effect upon the opponent. When the referee determines that he shall deduct a point from a contestant, he shall immediately advise the contestant and judges of such action. The referee shall not tolerate continual and repeated commission of fouls by a contestant. The referee shall give warning to a contestant who continually and repeatedly commits fouls and when, in the opinion of the referee, the contestant has displayed persistent disregard for the rule governing the commission of fouls, the referee shall disqualify the contestant, terminate the match and provide such findings to the Division representative for appropriate action. Points for fouls shall be deducted in the round in which the fouls occurred. A contestant shall not be penalized in a subsequent round for fouls that occurred in a previous round. The following actions are considered to be fouls, the committing of which may result in a deduction of points:

(1) Major fouls consist of the following:

(A) Punching below the belt;

(B) Punching an opponent who is down or is getting up after being down;

(D) Holding or deliberately maintaining a clinch after several warnings;

(E) Wrestling or kicking;

(F) Striking an opponent who is helpless as a result of punches received and so supported by the ropes that he does not fall;

(G) Butting with the head or shoulder or using the knee;

(H) Punching with an open glove, or with the butt of the hand, the wrist or elbow and all backhand punches;

(I) Purposely going down without being punched;

(J) Striking deliberately at that part of the back near the spine and over the kidneys;

(K) The deliberate use of the pivot punch or rabbit punch or any punch struck at the back of the neck near the base of the skull and which is not the result of the opponent turning his head to avoid a punch;

(L) Jabbing the opponent's eyes with the thumb of the glove;

(M) The use of abusive language in the ring;

(N) Any unsportsmanlike trick or action causing injury to an opponent;

(O) Punching on the break;

(P) Punching after the bell has sounded ending the round;

(Q) Roughing at the ropes;

(R) Pushing an opponent around the ring or into the ropes;

(S) Tripping; or

(T) Intentional spitting out of the mouthpiece or allowing the mouthpiece to fall out of the mouth.

(2) Minor fouls include:

(A) Punching or flicking with the open glove; and

(B) Clinching after warning has been given.

(b) Points for aggressiveness shall be awarded to the contestant who sustains the actions of a round by the greatest number of skillful attacks.

(c) A contestant shall be awarded points for sportsmanlike conduct, close adherence to the rules and refraining from taking technical advantage of situations which are unfair to his opponent. Points shall be deducted from a contestant for unsportsmanlike conduct, disregard of the rules and taking technical advantage of situations which are unfair to his opponent.

(d) Points shall be given for clever defensive work such as avoiding or blocking a punch.

(e) Points shall be awarded where ring generalship is conspicuous. Ring generalship includes the ability to:

(1) Quickly recognize and take advantage of every opportunity presented;

(2) Cope with a diversity of situations;

(3) Anticipate and neutralize an opponent's form of attack; and

(4) Force an opponent to adopt a style of boxing at which he is not particularly skillful.

(f) Points shall be deducted when a contestant persistently delays the action of a match by clinching, holding or lack of aggressiveness.

(g) If a contestant refuses to continue a match while physically able to do so, the referee shall disqualify him, and award the match to his opponent. The referee shall provide a written report to the Division. If the Division determines that the contestant refused to continue a match while physically able to do so, the Division shall impose a period of suspension for a period not less than six months and may impose a civil penalty.

(h) In any case where the referee determines that both contestants are not honestly competing, that a knockdown is intentional and predetermined by both parties or a foul has been prearranged so as to cause the match to be terminated, he shall not finish the knockdown count or disqualify either contestant for fouling or render a decision, but shall instead terminate the match not later than the end of the round and order the promoter to surrender the purses of both contestants to the Division representative pending an investigation of the alleged violation. The announcer or referee shall inform the audience that no decision has been rendered.

(i) If, in the opinion of the physician, the referee or a judge has received an injury, or has become ill the seriousness of which prevents him from continuing to officiate, time out shall be called and another official shall be immediately assigned by the Division representative to replace the incapacitated person.

(j) A decision rendered at the conclusion or termination of any match is final and shall not be changed unless it is determined that any of the following occurred:

(1) There was collusion affecting the result of any match;

(2) The compilation of the round or match score cards of the referee and judges shows an error which indicates that the decision was awarded to the wrong contestant;

(3) There was a violation of the rules in this Chapter, relating to drugs or foreign substances; or

(4) There was a violation of G.S. 143, Article 68 or the rules set forth in this Chapter which violation affected the result of the match.

If it is determined that any of the above occurred, the decision rendered shall be changed in an equitable manner as directed by the Division.

(k) As a result of injuries or suspected injuries sustained or suspected to have been sustained in any match, the Division representative shall, based upon the recommendation of the physician, order a medical examination to be given to any contestant or referee at any time if he has cause to believe that the health or safety of the contestant or referee is in jeopardy.

(l) When it appears to a physician, for whatever reason and regardless of how the injury was sustained, that a contestant or referee is no longer able to safely continue to compete or officiate, the physician shall report such findings, in writing, to the Division representative. If the physician has so recommended, the contestant or referee shall not be permitted to participate until such time as he is certified as fit to participate by the physician.

(m) A participant, losing by knockout or having been rendered a decision of technical draw as a result of being counted out in any jurisdiction, shall be automatically suspended for a period of time to be determined by the Division representative based upon the recommendation of the physician, or 60 calendar days from the date of the knockout or technical draw, whichever is longer. A contestant shall not engage in any match, contact exhibition or contact sparring for training purposes during the suspension period. After the suspension period and prior to engaging in any match, contact exhibition or contact sparring for training purposes he shall be examined by a physician. The contestant shall advise the physician of the previous knockout or technical draw and shall provide medical records or his permission for the physician to consult with the physician who treated him at the time of the previous knockout or technical draw. The results of this examination shall be filed with the Division prior to any further matches being approved for the contestant.

(n) A contestant losing by technical knockout shall be automatically suspended for a period of time to be determined by the Division representative based upon the recommendation of the physician, or 30 calendar days from the date of the technical knockout, whichever is longer. A contestant shall not engage in any match, contact exhibition or contact sparring for training purposes during the suspension period without the approval of the physician.

(o) Any contestant who has lost six consecutive matches shall be automatically suspended and not be reinstated unless he has been examined and pronounced fit by a physician. In the case of repeated knockouts and severe beatings, the license of the contestant shall be revoked and shall not be reissued or renewed.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0104(p)(4)-(z) Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. November 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0108)
Transferred from 14A NCAC 12 .0504 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0601 wEIGH-INS-kickboxing

Kickboxing shall be classified by weight as shown in the following schedule. A contest shall not be permitted if the difference in weight between the contestants exceeds the difference shown in the following schedule:

Weight Class Weight Allowances

(1) Flyweight - 118 pounds or under not more than 4 pounds

(2) Bantamweight - over 118 pounds to 125 pounds not more than 5 pounds

(3) Featherweight - over 125 pounds to 132 pounds not more than 6 pounds

(4) Lightweight - over 132 pounds to 140 pounds not more than 7 pounds

(5) Light Welterweight - over 140 pounds to 148 pounds not more than 7 pounds

(6) Welterweight - over 148 pounds to 155 pounds not more than 7 pounds

(7) Light Middleweight - over 155 pounds to 164 pounds not more than 8 pounds

(8) Middleweight - over 164 pounds to 170 pounds not more than 9 pounds

(9) Light Heavyweight - over 170 pounds to 180 pounds not more than 10 pounds

(10) Heavyweight - over 180 pounds to 195 pounds not more than 12 pounds

(11) Super Heavyweight over 195 pounds no limit

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0108(a)-(b) Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0113)
Transferred from 14A NCAC 12 .0601 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0602 EQUIPMENT - kickboxing

(a) Each kickboxing contestant shall wear the following:

(1) Kickboxing type trunks or karate style long pants, the belt of which does not extend above the waistline;

(2) A protective groin cup, which shall be firmly adjusted before entering the ring;

(3) An individually fitted mouthpiece which shall be in the contestant's mouth at all times during the fight period of each round;

(4) Breast protectors for female contestants; and

(5) An abdominal guard which provides sufficient protection to withstand any low blow.

Female contestants may wear a protective pelvic girdle to cover the pubic area, ovaries, coccyx and sides of the hips.

(b) All contestants shall be clean and present a neat appearance. This also applies to the contestants' ring apparel. If the Division representative determines the hair on the contestant's head or face presents any potential hazard to the safety of the contestant, his opponent or will interfere with the supervision of the match, he shall notify the contestant of such determination at the time of the weigh-in. If, at the time the inspector makes the final inspection of the contestant before the match begins, the contestant has not made the necessary corrections, he shall not be permitted to fight and shall be disqualified.

(c) Any contestant who fails to comply with the requirements in this Rule shall not be allowed to participate in a match and such failure to comply with the requirements in this Rule shall be grounds for suspension of the contestant's license.

(d) All contestants shall wear thumb attached kickboxing gloves, and footpads. Kickboxing gloves weighing a minimum of eight ounces shall be worn by contestants weighing 147 lbs. or less. Kickboxing gloves weighing a minimum of 10 ounces shall be worn by contestants weighing more than 147 lbs. A supply of kickboxing gloves and footpads in good condition, shall be kept on hand by the promoter. All gloves and footpads must pass the inspection of the referee or the Division representative, and the Division may require a new set of gloves or footpads for any event. Laces of gloves shall be knotted on the back of the wrist with tape applied over the laces so as to prevent injury to the opponent.

(e) Wrapping of hands is required, and shall conform to the standards as described in Rule .0502(b) of this Section. Footpads are required and shall be of a soft material of a type and construction normally used for kickboxing.

(f) Shinguards are required and shall be of a soft material of a type and construction normally used for kickboxing. Shinguards shall be held in place at two locations using no more than two windings of one 2 inch surgical tape.

(g) The ring shall meet the requirements in Rule .0502(d) of this Section.

(h) The length of each round of a match shall be two minutes with one minute rest intervals between rounds with a 10 second warning signal.

(i) A match shall be scheduled for four, six, eight, or 10 rounds.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0108(c)-(k) Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. October 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0114)
Transferred from 14A NCAC 12 .0602 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0603 SCORING - kickboxing

(a) Scoring kickboxing shall be by the "10 point must" system. The winner of any round shall be awarded 10 points by the scoring judge, provided however that penalty points shall be deducted for fouls or for failure to execute the eight required kicks. The loser of any round shall be scored seven to nine points, provided however that penalty points may be deducted for fouls or for failure to execute the number of required kicks. Scoring using half points (0.5) is permitted.

(b) The awarding or deducting of points by the judges and referee, the determination as to the occurrence of knockdowns, knockouts and fouls and the procedure to be used following such occurrence shall be accomplished in the following manner and based on the following criteria, which criteria is listed in the order of importance:

(1) Offensive full-contact professional karate punching, kicking and striking techniques, with the exception of those techniques identified in this Chapter as fouls, are appropriate, and the execution of such techniques in an effective and timely manner shall be scored highly. Professional karate techniques include all techniques in various karate, kung fu, tae kwon do and similar fighting systems, which techniques may be executed according to the individual kickboxer's style or system of fighting.

(2) A clean knockdown shall be highly scored. A successful sweep is not considered a knockdown. The following shall be used to determine when a knockdown has occurred and the procedure to be followed after a knockdown has occurred:

(A) A contestant shall be considered to be knocked down when:

(i) Any part of his body, other than his feet, is on the floor;

(ii) He is hanging helplessly over the ropes;

(iii) He is rising from a down position;

(iv) He purposefully falls down without being hit; or

(v) At the conclusion of a round in a match, he leaves the ring and fails to be in the ring when the bell sounds indicating the beginning of the next round.

(B) When a contestant is knocked down, the referee shall order the opponent to retire to the farthest neutral corner of the ring by pointing to that corner, and shall immediately begin a 10-second count, of which eight seconds shall be mandatory, over the contestant who is down. He shall announce the passing of the seconds, accompanying the count with a downward motion of his arm. The assistant or knockdown timekeeper, by effective signaling, shall provide the referee the correct one second interval for his count. The referee's count is the official count.

(C) If the contestant taking the count is still down when the referee calls the count of 10, the referee shall wave both arms to indicate that the contestant has been knocked out, provided however, that if the contestant is counted out by virtue of his failure to be in the ring when the bell sounds indicating the beginning of the next round, the match shall be terminated and the contestant who was counted out shall be declared the loser by technical knockout.

(D) If a contestant is knocked down and is down at the time the bell rings to end the round, the knockdown timekeeper shall continue to count. If the downed contestant fails to rise before the count of 10, he shall be considered to have been knocked out in the subsequent round. If a contestant is knocked down and is down at the time the bell rings in the final round, the knockdown timekeeper shall continue to count and if the downed contestant fails to rise before the count of 10 the downed contestant shall be considered to have been knocked out in the final round.

(E) If both participants are knocked down at the same time, counting shall continue as long as either remains down.

(F) A contestant who has been knocked down shall take a count of eight whether or not he has regained his feet before the count of eight has been reached.

(G) The referee shall, if in his opinion a contestant has been dazed or hurt but remains standing, administer a standing eight-count. The referee shall order the opponent to retire to the farthest neutral corner of the ring by pointing to that corner, and shall immediately begin the eight second count. He shall announce the passing of the seconds, accompanying the count with a downward motion of his arm. The assistant or knockdown timekeeper, by effective signaling, shall provide the referee the correct one second interval for his count. The referee's count is the official count. A standing eight-count is considered a knockdown.

(H) If a contestant who is down arises before the count of 10 is reached, and then goes down immediately, without being struck, the referee shall resume the count where he previously stopped counting.

(I) When a contestant is knocked out, the referee shall perform a full 10 second count before terminating the match, provided however that if, in the opinion of the referee or physician, the contestant requires immediate medical attention, the referee shall not be required to count to 10. The referee shall waive his arms to indicate that the contestant is knocked out and shall immediately summon the physician.

(J) If a contestant is knocked out of or has fallen out of the ring the referee shall allow the contestant no more than 20 seconds, to re-enter the ring, without assistance of anyone, provided however, that if the contestant was knocked out of the ring as a result of a legal technique and is unable to regain his feet, the referee shall consider this to be a knockdown and shall begin a 10 second count. The opponent shall be ordered to retire to the furthest neutral corner, where he shall remain until signaled by the referee to continue with the match. If a contestant intentionally falls through the ropes, his seconds shall not assist him and, the contestant shall be considered to have been knocked down and the appropriate count and procedures for knockdowns shall be initiated by the referee. If a contestant enters the ring and immediately goes down, the referee shall begin a 10 second count or shall continue a 10 second count started after the contestant was knocked out of the ring. Any contestant who does not immediately re-enter the ring shall be deemed to have been knocked down and the appropriate count and procedures used in the event of a knockdown shall be used. If, in the opinion of the referee, the contestant has been dazed or hurt but remains standing, the referee shall administer a standing eight-count.

(K) When a contestant rises from being knocked down, the referee shall, if he deems it advisable, step between the participants for such period of time to assure himself that the contestant who has just arisen is able to continue. When so assured, he shall, without loss of time, order both participants to proceed with the match.

(L) Should the contestant who is not down and who has been ordered to a neutral corner, fail to stay in the neutral corner, the referee and knockdown timekeeper shall cease the count and shall not resume the count until the contestant has retired to the neutral corner.

(M) Unless otherwise agreed upon by the contestants and managers before the match, a towel thrown into the ring shall be ignored and the match shall commence as though it had not appeared.

(N) If a contestant slips, falls down or is pushed down, the referee shall immediately order him to his feet, clean his gloves of any dirt and debris and order the match to continue.

(O) If a contestant is knocked down three times during any one round, he shall be declared the loser by technical knockout, provided however, that this Part may be waived in advance for a championship match.

(3) Legal kicks are those which are attempts to land hard on a target area of the opponent's body with the intent to do damage. The determination of a legal kick shall be made by the kick count judge using flip cards. The minimum kick requirement shall be eight legal kicks delivered above the belt. For each legal kick less than the minimum number required, a contestant shall be penalized by the deduction of one point, not to exceed three points in any one round. Each knockdown in a round shall result in the reduction by one of the minimum number of kicks required for each participant. At the point of a knockdown, which shall be indicated by the referee performing the mandatory eight-count, both kick count judges shall flip a card to show the awarding of a kick to each participant, thereby reducing the number of required kicks remaining to be executed in order to meet the minimum. The scoring judges shall score the round, after which the point or points penalized for failure to execute the minimum number of kicks shall be deducted from the score.

(4) Sweeping is that technique used to throw the opponent off balance. When used, it must be an obvious attempt to unbalance the opponent's front leg and not be intended to injure the leg. Sweeps shall be executed with the arch part of the foot and delivered to the outside portion of the forward leg only. A sweep delivered to the inside, front or rear of the leg, or a kick directed to the inside region of the thigh, non-footpad to footpad or shin to shin sweeps are fouls and shall be so penalized. The low kick of French savate or coup de pied bas is considered a sweep and is subject to the same restrictions.

(1) A contestant who knocks out his opponent shall be declared the winner of the match.

(2) If both participants are knocked down at the same time and both participants remain down until the count of 10, the match shall be considered a technical draw.

(3) A contestant who is awarded a technical knockout shall be declared the winner of the match.

(4) A contestant who is knocked down three times in any one round shall be considered to have lost the match by a technical knockout. If requested by a sanctioning body, this Subparagraph shall be waived for a championship fight.

(5) When the winner of a match is to be determined by the number of points awarded or deducted or by the number of rounds awarded to each participant, the scores for all rounds shall be compiled for each judge and the following criteria shall be used:

(A) Three wins shall be declared a win;

(B) Two wins and one draw shall be declared a win;

(D) One win and two draws shall be declared a draw;

(E) One win, one draw and one loss shall be declared a draw;

(F) One win and two losses shall be declared a loss;

(G) Three draws shall be declared a draw;

(H) Two draws and one loss shall be declared a draw;

(I) One draw and two losses shall be declared a loss; and

(J) Three losses shall be declared a loss.

(6) If, as the result of a foul, whether unintentional or intentional, except for an unintentional butt, a contestant is unable to continue, the following procedure shall be used to determine the result of the match:

(A) If the foul occurs prior to the scoring of the first round the result shall be a technical draw;

(B) If the foul occurs in any round subsequent to the first round or the foul occurs in the first round but the contestant is not determined to be unable to continue until after the scoring of the first round, the winner shall be the contestant who is leading based upon the score cards of the judges.

(7) If, as the result of an unintentional butt foul, a contestant is unable to continue, the following procedure shall be used to determine the result of the match:

(A) If the foul occurs prior to the scoring of the third round and the fouled contestant is unable to continue, the result shall be a technical draw;

(B) If the foul occurs in any round subsequent to the third round or the foul occurs in the first, second or third rounds round but the contestant is not determined to be unable to continue until after the scoring of the third round, the winner shall be the contestant who is leading based upon the score cards of the judges;

(8) When an injury is produced by a fair strike but because of the severity of the injury the match cannot continue, the injured contestant shall be declared the loser by a technical knockout.

(9) If a contestant refuses to continue a match while physically able to do so, the referee shall disqualify him, and award the match to his opponent. The referee shall provide a written report to the Division. If the Division determines that the contestant refused to continue a match while physically able to do so, the Division shall impose a period of suspension for a period not less than six months and may impose a civil penalty.

(10) In any case where the referee determines that both participants are not honestly competing, that a knockdown is intentional and predetermined by both parties or a foul has been prearranged so as to cause the match to be terminated, he shall not finish the knockdown count or disqualify either contestant for fouling or render a decision, but shall instead terminate the match not later than the end of the round and order the promoter to surrender the purses of both participants to the Division director or his designee pending an investigation of the alleged violation. The announcer or referee shall inform the audience that no decision has been rendered.

(11) If, in the opinion of the physician, the referee or judge has received an injury, or has become ill, the seriousness of which prevents him from continuing to officiate, time out shall be called, and another official shall be immediately assigned by the Division representative to replace the incapacitated person.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0108(l)-(m)(4) Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0115)
Transferred from 14A NCAC 12 .0603 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0604 Fouls - kickboxing

(a) A kickboxing foul, whether intentional or unintentional, shall result in a warning or deduction of a point or points, as determined by the referee based on the following:

(1) The referee shall determine the severity of the penalty using as his criteria the intent of the contestant committing the foul and the result and effect of the foul upon the opponent.

(2) When the referee determines that he shall deduct a point or points from a participant, he shall immediately notify the Division representative or scorekeeper (if one is used), who shall ensure that the specified number of points are deducted from each of the judge's score cards at the end of the round.

(3) The referee shall not tolerate continual and repeated commission of fouls by a participant. The referee shall give warning to a contestant who continually and repeatedly commits fouls and when, in the opinion of the referee, the contestant has displayed persistent disregard for the rule governing the commission of fouls, the referee shall disqualify the participant, terminate the match and provide such findings to the Division for appropriate action.

(4) Points for fouls shall only be deducted in the round in which the fouls occurred. A contestant shall not be penalized in a subsequent round for fouls that occurred in a previous round.

(5) The following actions are fouls, the committing of which shall result in a deduction of points:

(A) Striking an opponent who is down or is getting up after being down;

(B) Holding an opponent with one hand and punching with the other;

(D) Butting with the head;

(E) Striking with the knee, elbow or palm-heel;

(F) Clubbing blows with the hand;

(G) Striking to the face with any part of the arm other than the gloved hand;

(H) Deliberately striking or kicking the groin area, women's breasts, women's ovaries, back of the head, neck or throat, or that part of the back near the spine and over the kidneys;

(I) The deliberate use of any scraping or rabbit blow;

(J) Flicking or jabbing the opponent's eyes with the thumb of the glove;

(K) Hitting with the open glove or with the wrist;

(L) The use of abusive language in the ring or corner, or spitting or biting;

(M) Kicking with the knee, or kicking into the knee or to the inside region of the thigh, and sweeps to the inside region of the leg or shin-to-shin sweeps;

(N) Linear or straight-in striking or kicking to the spine;

(O) Intentionally pushing, shoving or wrestling an opponent to the ring floor or out of the ring, or throwing or taking an opponent to the floor with foot sweeps that make contact with any area above the opponent's ankle knuckle;

(P) Attacking or striking on the break;

(Q) Striking after the bell has sounded ending the round;

(R) Intentionally delaying the contest through any action or failure to act;

(S) Leg checking which is the act of extending the leg to check an opponent's leg to prevent him from kicking;

(T) Grabbing or holding an opponent's leg or foot followed by a takedown, strike or kick;

(U) Pushing an opponent around the ring or into the ropes;

(V) Anti-joint techniques which is the act of striking or applying leverage against any joint;

(W) Holding the ropes with one hand while kicking, punching or defending with the other hand or the legs;

(X) Any unsportsmanlike action which causes or is intended to cause injury to an opponent; or

(Y) Intentional spitting out of the mouthpiece or allowing the mouthpiece to fall out of the mouth.

(b) Finality of decisions shall be governed by the following:

(1) A decision rendered at the conclusion or termination of any match is final and shall not be changed unless it is determined that any of the following occurred:

(A) There was collusion affecting the result of any match;

(B) The compilation of the round or match score cards shows an error which indicates that the decision was awarded to the wrong participant;

(D) There was a violation of the rules set forth in this Chapter which violation affected the result of the match.

(2) If it is determined that any of the above occurred, the decision rendered shall be changed in an equitable manner as directed by the Division.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0108(m)(5)-(p) Eff. April 1, 1996
Eff. April 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. October 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0116)
Transferred from 14A NCAC 12 .0604 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0605 Amateurs - Kickboxing

(a) In addition to compliance with 14B NCAC 10 .0201, .0301, .0402, .0502, and .0601 through .0604, the following requirements shall apply to amateur kickboxing matches.

(1) Any contestant competing as an amateur shall not currently be, or have ever been, a professional fighter in any striking sport, including mixed martial arts, boxing, and karate. "Strikes" is defined in Rule .0102 of this Chapter.

(2) Contestants shall wear footpads and shinguards that comply with the requirements of Rule .0602 of this Chapter.

(3) Contestants shall wear 10-ounce competition headgear with no jar bar or excessive ear padding. Training headgear is not allowed.

(4) Foot wrappings: For each foot, contestants shall use gauze bandage not more than two inches wide, held in place by surgical adhesive tape, not more than one and a half inches wide. Foot wrappings shall not exceed four windings of gauze bandages around the sole and instep and no more than four windings around the ankle.

(5) Kicks below the waist are not permitted.

(b) Matches shall be three, two-minute rounds, with a one-minute rest period between rounds that includes a 10- second warning signal.

(d) The promoter of record must provide to the Division the name, address, date of birth, and social security number of every amateur contestant scheduled to compete in an event. This information shall be submitted no later than seven calendar days prior to the event. The duties and requirements of the promoter of record are in Rules .0402 and .0404 of this Chapter.

(e) A contestant shall have competed in a minimum of five recorded amateur matches prior to being submitted to compete as a professional kickboxing contestant.

(f) Contestants under 18 years of age may compete only in matches supervised by an Amateur Sport Organization that has been recognized by the Division. To obtain recognition, any Amateur Sports Organization shall establish and enact rules for the implementation of health and safety standards and all requirements related to the conduct of matches that are at least as restrictive as the applicable standards and requirements of the Division. Events open to the public where admission is charged for viewing must be conducted by a promoter licensed in accordance with the provisions of Rule .0402 of this Chapter.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12. 0605 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
Amended Eff. October 1, 2025.

14B NCAC 10 .0701 Toughman Match

Contestants and officials in toughman events shall comply with Rules .0201, .0301, and .0402 of this Chapter, except for the following exceptions or additional rules:

(1) Each contest shall be limited to three one-minute rounds.

(2) Each contest shall be scored by the 10 point must system as outlined in Rule .0503 of this Chapter.

(3) There shall be four weight classifications: lightweight (up to but not over 140 pounds); middleweight (over 140 pounds to but not over 160 pounds); light heavyweight (over 160 pounds to but not over 185 pounds); and heavyweight (over 185 pounds).

(4) Boxing gloves weighing a minimum of 16 ounces shall be worn by all contestants.

(5) Headgear and abdominal and groin protectors, provided by the promoter, shall be worn by all contestants.

(6) The seconds shall use clean towels and mouth pieces for each match.

(7) All equipment shall be inspected by the referee or the Division representative to insure that it provides for the safety of the contestants, and does not give either contestant an unfair advantage.

(8) A contestant shall not participate in more than four matches in the same calendar day. The ringside physician shall check and record a contestant's blood pressure prior to each program of matches.

(9) A contestant shall not be allowed to compete in a toughman match if he has:

(A) Been a competitor in professional boxing, kickboxing or mixed martial arts: or

(B) Been a winner of more than five amateur boxing, kickboxing or mixed martial arts or toughman matches or more than five of any combination of amateur boxing, kickboxing or mixed martial arts or toughman matches.

(10) Competing for or winning a prize in a toughman contest shall not, in itself, make the contestant a professional within the scope of the rules in this Chapter.

History

Authority G.S. 143-652.1
Temporary Adoption Eff. January 1, 1996
Recodified from 18 NCAC 09 .0109 Eff. April 1, 1996
Eff. May 1, 1996
Transferred and recodified from 18 NCAC 09 Eff. November 8, 2002
Amended Eff. October 1, 2004
Amended Eff. March 1, 2008 (recodified from 14A NCAC 12 .0117)
Transferred from 14A NCAC 12 .0701 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0801 Weigh inS-mIXED MARTIAL ARTS

The mixed martial arts weigh-ins shall be conducted in accordance with the requirements of 14B NCAC 10 .0501, except for the following:

(1) Contestants shall be classified by weight and may fight above or below his or her weight class in accordance with this Item. The maximum amount of weight difference between the two contestants shall be decided by the lower weight class. A contestant shall not be permitted to compete if the difference in weight between the contestants exceeds the difference shown in the following schedule:

| Weight class | Weights | Allowances | | --- | --- | --- | | Straw weight | 115 pounds or less | 3 pounds | | Flyweight | 116 to125 pounds | 3 pounds | | Bantamweight | 126 to 135 pounds | 3 pounds | | Featherweight | 136 to 145 pounds | 5 pounds | | Lightweight | 146 to 155 pounds | 5 pounds | | Welterweight | 156 to 170 pounds | 5 pounds | | Middleweight | 171 to 185 pounds | 7 pounds | | Light Heavyweight | 186 to 205 pounds | 7 pounds | | Heavyweight | 206 to 265 pounds | 7 pounds | | Super Heavyweight | over 265 pounds | no limit |

(2) If the weight of any contestant fails to meet the weigh parameters as set forth in Item (1) of this Rule at the time of the official weigh-in, he or she shall have two additional hours to meet the weight parameters provided that:

(a) No contestant, weighing 145 pounds or less, may lose more than two pounds in less than 12 hours before a contest.

(b) No contestant, weighing more than 145 pounds or less than 186 pounds, may lose more than three pounds in less than 12 hours before a contest.

(d) Contestants may not gain weight after the official weigh-ins have begun to make weight parameters during the time of weigh-ins.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0801 Eff. June 1, 2013
Amended Eff. September 1, 2017
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0802 Appearance - Mixed MARTIAL ARTS

(a) Groin and breast protectors for mixed martial arts contestants:

(1) Male fighters must wear a groin protector which will protect them against injury from a foul blow.

(2) A female contestant may wear a protective girdle to cover the pubic area, coccyx and sides of the hip.

(3) Female contestants must wear a breast protector.

(b) At the time of the pre-bout physical, female contestants must submit a negative pregnancy test.

(c) Each contestant shall wear mixed martial arts shorts, biking shorts, or kick boxing shorts that must be approved by the Division representative as being safe and modest. The contestants may not wear the same color in the ring, cage or fenced area, without the approval of the Division representative. The Division shall approve the same color if the shorts can easily be distinguished by the judges with patterns or advertisements. Apparel or equipment which includes metallic or hard plastic or any edge or surface which could cause extraneous injury to the contestants is not allowed.

(d) "GI"s or shirts are permitted for male contestants only if both contestants wear the same attire. Female contestants shall wear a body shirt/blouse or any other attire approved by the Division representative as being safe and modest.

(e) Shoes are not permitted.

(f) Grappling shin guards are not permitted.

(g) Body grease, gels, balms or lotions may not be applied. Vaseline may be applied to the facial area at cage side or ringside in the presence of a inspector, referee, or Division representative. Any contestant applying anything prior to this may be penalized a point or disqualified.

(h) The contestant may not wear any jewelry or any other piercing accessories while competing in a match.

(i) Joint supports, made of neoprene only, may be worn. No metal supports may be worn.

(j) Finger and toe nail plates must be trimmed within 1/16 of an inch beyond the hyponychium.

(k) The Division representative shall determine whether head or facial hair presents any hazard to the safety of the contestant or their opponent or will interfere with the conduct of a match. Hair shall be secured with soft and non-abrasive material when the Division representative determines the hair could obstruct the fighter's vision. Facial hair may not be braided.

(l) The contestant may not wear any equipment that is not allowed in the rules in this Chapter.

History

Authority G.S. 143-652.1; 143-651(7a)
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0802 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0803 handwraps - MIXED MARTIAL ARTS

(a) In all weight classes except light heavyweight, cruiserweight and heavyweight, all bandages and handwraps applied to each hand of a mixed martial arts contestant shall be restricted to soft cloth, not more than 10 yards in length and two inches in width, held in place by not more than four feet of surgical tape.

(b) In the light heavyweight, cruiserweight and heavyweight weight classes, all bandages and handwraps applied to the hand of a contestant shall be restricted to soft cloth, not more than 12 yards in length and two inches in width, held in place by not more than eight feet of surgical tape.

(c) The use of six inches of surgical tape, not more than one inch in with, shall be permitted across the back of the hand before bandaging or wrapping the hands, provided however, that the tape shall not be applied across the knuckles.

(d) The bandages shall be evenly distributed across the hand.

(e) Bandages and tapes shall be placed on contestant's hands in the dressing room and must be inspected by the inspector or Division representative.

(f) The manager or chief second of the opponent may elect to be present when hands are being wrapped.

(g) Gloves shall not be placed on the hands of a contestant until checked by the inspector or Division representative.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0803 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0804 GLoves - MIXED MARTIAL ARTS

(a) For professional mixed martial arts contests each contestant must wear gloves that weigh not less than four ounces and not more than eight ounces.

(b) Amateur mixed martial arts contestants must wear gloves that weigh not less than six ounces and not more than eight ounces.

(c) The gloves shall be supplied by the promoter. The promoter shall use only models of gloves that have been approved by the Division representative as being clean, whole, sanitary and in good condition. Gloves shall not be twisted, cut, manipulated, altered, unfit or ill fitting in any manner. Gloves shall be constructed of soft leather material and shall be marked with the original manufacture's tag that indicates the correct weight of the glove.

(d) The gloves for every contest or exhibition that is designed as a championship match must be new, furnished by the promoter, and made to fit the hands of the contestants.

(e) Both contestants shall wear same size gloves.

(f) Gloves must be inspected and passed by the inspector, referee or Division representative prior to starting the bout. If gloves to be used in preliminary contest or exhibition have been used before, they must be whole, clean, and in sanitary condition. If a glove is found to be unfit, it must be replaced with a glove that meets the requirements of this Section.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0804 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0805 Ring Requirements -MIXED MARTIAL ARTS

(a) Mixed martial arts may be held in a ring, cage or a fenced area with overhead lighting bright enough to illuminate the entire ring floor.

(b) The ring specifications for mixed martial arts must meet the following requirements:

(1) The ring may be no smaller than 20 feet square and no larger than 32 feet square within the ropes.

(2) One of the corners must have a blue designation, the corner directly across must have a red destination.

(3) The ring floor must extend at least eighteen inches beyond the ropes. The ring floor must be padded with ensolite or a similar closed-cell foam, with at least a one inch layer of foam padding. Padding must extend beyond the ring ropes and over the edge platform, with a top covering of canvas, duck or similar material tightly stretched and laced to the ring platform. Material that tends to gather in lumps and ridges may not be used.

(4) The ring platform must be no more than four feet above the floor of the building and must have steps for the use of the contestants.

(5) Ring posts must be made of metal, not more than three inches in diameter, extending from the floor of the building to a minimum height of 58 inches above the ring floor, and must be padded in a manner to prevent contact of contestant's body to a metal surface. Ring posts must be 18 inches away from the ring ropes.

(6) There must be five ring ropes, not less than one inch in diameter and wrapped in soft material. The lowest rope must be no higher than 12 inches from the ring floor.

(7) There must not be any obstruction or object, including advertisement for sponsors, on any part of the ring floor.

(1) The fenced or cage area must be circular or have as many as eight equal sides;

(2) Two sides opposite of each other must each have a designated color, one side blue the opposite red;

(3) The fenced or cage area must be no smaller than 20 feet wide and no larger than 32 feet across within the ropes;

(4) The floor of the fenced area must be padded with ensolite or another similar closed-cell foam, with at least a one inch layer of foam padding, with a top covering of canvas, duck or similar material tightly stretched and laced to the platform of the fenced or cage area. Material that tends to gather in lumps or ridges must not be used;

(5) The platform of the fenced or cage area must not be more than four feet above the floor of the building and must have steps for use of the contestants;

(6) Fence posts must be made of metal, not more than six inches in diameter, extending from the floor of the building to between five and seven feet above the floor of the fenced or cage area, and must be padded in a manner to prevent contact of contestant's body to any metal surface;

(7) A chain link fence, coated with vinyl, shall be used to enclose the fenced or cage area and made of a material strong enough that will prevent a contestant from falling out or breaking through the fenced or cage area onto the floor of the building or onto spectators;

(8) Any metal portion on the interior of the fenced or cage area must be covered and padded in a manner to prevent contact of contestant's body to any metal surface and must not be abrasive to the contestants;

(9) The fenced or cage area must have two entrances. The entrances must be padded or covered and padded so that is no exposed metal on the interior of the fenced or caged area;

(10) There must not be any obstruction on any part of the fence surrounding the area in which the contestants are competing;

(11) Any metal parts used to enforce the fenced or caged area wall must be positioned as to not interfere with the safety of the contestants;

(12) A crowd control barrier shall be installed at least eight feet away from the edge of the ring, cage, or fenced area and before the first spectator's seats. This barrier shall be capable of restraining spectators from entry to the ringside area.

(d) In venues that seat more than 12,000 spectators, the Division representative shall require the promoter of a mixed martial arts contest to place at least two video screens that will allow spectators to view action inside the ring, cage or fenced area.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0805 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0806 Duration and rounds - MIXED MARTIAL ARTS

Length and number of rounds shall be as follows:

(1) Non championship matches, exhibitions or mixed martial arts must not exceed three rounds of five minutes each with a one minute rest period that includes a 10 second warning signal.

(2) Championship bouts shall be five rounds of five minutes each with a one minute rest period that includes a 10 second warning signal.

(3) Amateur bouts shall be three rounds of three minutes each with a 60 second rest period that includes a 10 second warning signal.

(4) Amateur championship matches shall consist of five rounds of four minutes each with a 60 second rest period that includes a 10 second warning signal.

(5) A minimum number of 21 rounds must be scheduled for any mixed martial arts program of matches.

(6) "Pro/Am" events must have a combination of three professional bouts and five amateur bouts or five professional bouts and three amateur bouts scheduled. Professional bouts shall follow amateur bouts with no intermixing of the bouts.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0806 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0807 Seconds duties -MIXED MARTIAL ARTS

(a) In a Mixed Martial Art contest there may be three licensed seconds positioned in a designated area by a cage or fenced area or positioned in each corner of a ring. For championship bouts there may be four licensed seconds.

(b) Only the contestants and referee shall enter the ring, fenced area or cage during a match.

(c) The referee may, in his or her discretion, stop a contest if an unauthorized person enters the ring, fenced area or cage during a round.

(d) Only three seconds may enter the ring, cage or fenced area.

(e) There may be no loud yelling or profanity from anyone working the corner.

(f) If a second leaves the designated area, the fighter shall be disqualified.

(g) A fighter getting knocked out of a ring and onto the floor must get back into the ring within 20 seconds. The referee shall disqualify a contestant that receives assistance from anyone to return to the ring, cage or fenced area.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0807 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0808 Scoring - MIXED MARTIAL ARTS

(a) A mixed martial arts contest may end under the following results:

(1) Submission:

(A) Tap out: when a contestant physically uses his or her hand(s) to indicate that he or she no longer wish to continue.

(B) Verbal tap out: when a contestant verbally announces to the referee he or she does not wish to continue.

(2) Knockout "(KO)": failure to rise from the canvas. If the contestant was knocked out of the ring or cage as a result of a legal technique and is unable to regain his feet, the referee shall consider this to be a knockout.

(3) Technical knockout "(TKO)":

(A) Referee stops bout because contestant can no longer defend him or her self;

(B) Ringside physician advises referee to stop bout; or

(b) Bouts shall be scored by three judges. The "Ten-Point Must System" is the standard system of scoring a bout. The winner of the round is awarded 10 points and the loser of the round is awarded nine points or less, except for rare occasion of an even round, which is scored 10 to 10.

(c) Judges shall judge mixed martial art techniques, such as effective striking, effective grappling, and control of opponent, effective aggressiveness and defense as follow:

(1) Effective striking is judged by determining the total number of legal heavy strikes landed.

(2) Effective grappling is judged by considering the amount of successful executions of a legal takedown and reversal. Factors to consider are take downs from the standing position to a mount position, passing the guard to the mount position, and bottom position fighters using an active threatening guard.

(3) Effective control is judged by determining who is dictating the pace, location and position of the bout. Factors to be considered are: countering a grappler's attempt at a takedown by remaining standing and legally striking; take down an opponent to force a ground fight; creating threatening submission attempts; passing the guard to achieve a mount and creating striking opportunities.

(4) Effective aggressiveness means moving and landing legal strikes.

(5) Effective defense means avoiding being struck, take down or reversals while countering with offensive strikes.

(d) Decision via scorecards:

(1) Unanimous: when all three judges score the bout for the same contestant.

(2) Split decision: when two judges score the bout for one contestant and one judge scores for the opponent.

(3) Majority decision: when two judges score the bout for the same contestant and one judge scores the bout a draw.

(e) Draws:

(1) Unanimous: when all three judges score the bout a draw;

(2) Majority: when two judges score the bout a draw;

(3) Split when all three judges score it differently and the score total results in a draw.

(f) Disqualification: when an injury sustained during competition as a result of an intentional foul severe enough to terminate the contestant.

(g) Forfeit: when a contestant fails to begin competition or prematurely ends the contest for reasons other than injury or indicating a tap out.

(h) Technical draw:

(1) When an injury sustained during competition as a result of an intentional foul causes the injured contestant to be unable to continue and the injured contestant is even or behind on the score cards at the time of the stoppage.

(2) When an injury sustained during competition an a result of an unintentional foul causes the injured contestant to be unable to continue and a majority of rounds have been completed with the results of the scorecards being a draw.

(i) Technical decision: when the bout is prematurely stopped due to an injury and a contestant is leading on the scorecards.

(j) No contest: when a contestant is prematurely stopped due to accidental injury and a majority of rounds have not been completed.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0808 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0809 Fouls-MIXED MARTIAL ARTS

(a) Procedures to determine fouls in a mixed martial arts contest:

(1) The referee shall issue a warning after the initial foul. After the initial warning a penalty shall be issued as a result of second foul. The penalty may be a deduction of points or disqualification depending on the severity of the foul. Any points deducted for any foul must be deducted in the round which the foul occurred.

(2) The referee as soon as practical after a foul, shall call time and notify which contestant is being penalized and the total points the contestant is being penalized.

(3) If a bottom contestant commits a foul and in the referee's judgment is not in control, unless the top contestant is injured, the bout shall continue, so as not to jeopardize the top contestant's superior positioning at the time.

(4) Only the referee can assess a foul and any point deductions. Judges may not deduct points for what they interpret is a foul.

(5) The referee shall check the fouled contestant's condition to see if he or she can still participate in the contest.

(6) Disqualification occurs after any combination of three fouls or if the referee determines the foul to be flagrant.

(b) Intentional foul:

(1) If an intentional foul causes an injury and the bout is allowed to continue a mandatory two point penalty shall be assessed to the contestant committing the foul.

(2) If an injury sustained by a contestant as a result of the intentional foul causes the contestant to be unable to continue at a subsequent point, the injured contestant shall win by a technical decision, if he or she is ahead on the score cards. If the injured contestant is even or behind on the score cards at the time of the stoppage, the bout shall be declared a technical draw.

(1) If a bout is stopped because of an unintentional foul, the referee shall determine whether the contestant who has been fouled can continue or not. If the contestant's chance of winning has not been seriously jeopardized as a result of the foul and if the foul did not involve concussive impact to the head of the contestant who has been fouled, the referee may order the bout continued after a recuperative interval of not more than five minutes. Immediately after stopping the bout or at the end of the round the referee must immediately inform the inspector or Division representative of his determination that the foul was accidental and unintentional.

(2) If the referee determines either from his observation or that of the ringside physician that the bout may not continue because of the injury from the unintentional foul the bout shall be declared a no contest if the foul occurred:

(A) During the first two rounds of a non-championship bout, or

(B) During the first three round of a championship bout.

(3) If the unintentional foul renders the contestant unable to continue the bout, the outcome shall be determined by scoring the completed rounds and the round which the referee last stopped the bout. The second round must be completed in a non championship bout or the third round must be completed in a championship bout.

(4) If an injury from an intentional foul later becomes aggravated by fair blows and the referee orders the bout stopped because of the injury, the outcome must be determined by scoring the completed rounds and the round which the referee stops the contest.

(5) A contestant may not be declared the winner of a bout on the basis of his or her claim that the opponent fouled him or her unintentionally by hitting him or her in the groin. If after a recuperative interval of not more than five minutes, a contestant is unwilling to continue because of the claim of being hit in the groin, the bout shall be declared a no contest if the second round has not been completed in a three round bout or the third round has not been completed in a five round bout.

(d) The following are types of fouls in a mixed martial arts contest:

(1) Butting with the head.

(2) Eye gouging of any kind.

(3) Biting.

(4) Hair pulling.

(5) Fishhooking.

(6) Groin attacks of any kind.

(7) Putting a finger into any orifice or into any cut or laceration on an opponent.

(8) Small joint/single digit manipulation, finger and toe locks.

(9) Striking to the spine or back of head.

(10) Striking downward using the point of the elbow. (Arcing elbow strikes are permitted).

(11) Throat strikes of any kind, including grabbing the trachea.

(12) One or two handed chokes applied directly to the trachea or windpipe.

(13) Knuckle gouging to the face or any part of the body including into the throat.

(14) Clawing, twisting or pinching the flesh.

(15) Grabbing the clavicle.

(16) Kicking the head of a grounded opponent.

(17) Kicking the front of the opponents knee.

(18) Kneeing the head of a grounded opponent.

(19) Spiking an opponent to the canvas on his head or neck.

(20) Stomping on a grounded opponent. A contestant is considered grounded when his or her torso or three points of his or her body is touching the canvas.(example: two legs and a hand are touching canvas.) This definition applies to Subparagraphs (d)(16), (d)(18), and (d)(20) of this Rule. A downed opponent may kick up to all legal striking points of the body.

(21) Kicking to the kidney with the heel.

(22) Throwing, lifting, pushing, or otherwise forcing an opponent out of the ring area or fence area.

(23) Holding the shorts or glove of an opponent.

(24) Spitting on an opponent.

(25) Engaging in any unsportsmanlike conduct that causes an injury to an opponent.

(26) Holding the ropes or cage.

(27) Using abusive language or illicit gestures in the cage or ring area.

(28) Attacking an opponent on or during the break.

(29) Attacking an opponent who is under the care of the referee, medical personnel or other ring officials.

(30) Attacking an opponent after the bell has sounded to end the round.

(31) Flagrantly disregarding the instructions of the referee.

(32) Timidity, including avoiding contact with an opponent, intentionally or consistently dropping the mouthpiece, delaying the contest due to improper equipment, or faking an injury.

(33) Interference from anyone working the corner or cornermen leaving their area.

(34) Throwing in the towel during competition.

(35) Any act in the judgment of the referee that is detrimental and places an opponent at a disadvantage.

(36) Rope or cage grabbing to avoid a submission hold, or continually holding the rope to rest or pull self from action, or gain advantage.

(e) Fighters may not grab the ring ropes or cage at any time the two fighters are in contract with each other during the match in an attempt to stall action, trap his opponent, escape a technique, or otherwise gain advantage in the match.

(f) Fighters may momentarily grab the ring ropes or cage to steady themselves or to gain/maintain their balance.

(g) If a fighter grabs or otherwise secures any ring rope with a hand, arm foot or leg during the match to avoid a submission hold, the referee shall stop the match and deduct a point from the fighter who so grabbed the rope.

(h) If a fighter continually holds the ring ropes to rest or pull himself from the action, avoid the bout's action, or otherwise gain advantage in the match, the referee shall deduct one point from the resting fighter the first time and two points each additional time.

(i) Excessive grabbing or other use of the ring ropes in violation of the Rules in this Chapter may result, in the referee's discretion, in a fighter's disqualification and an award of the bout to the fighter's opponent.

(j) The referee shall verbally instruct fighters to release the ring ropes or cage prior to warning, deducting points, or disqualifying a fighter for violating the Rules in this Chapter.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0809 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 10 .0810 Amateur-Mixed Martial Arts

(a) In addition to compliance with Rules .0201, .0301, .0402, and .0801 through .0809 of this Chapter, the following requirements apply to amateur mixed martial arts matches:

(1) Any contestant competing as an amateur shall not currently be or have ever been, a professional fighter in any striking sport, including mixed martial arts, boxing, and karate. "Strikes" is defined in Rule .0102 of this Chapter.

(2) Grappling shin guards are optional;

(3) Elbow strikes to the head shall not be allowed;

(4) Striking with the point of the elbow shall not be allowed;

(5) Knees to the head at anytime shall not be allowed;

(6) Kicks of any type to the head shall not be allowed; and

(7) A contestant shall only strike to the head with his or her fist.

(b) The promoter of record shall comply with the provisions of Rules .0402 and .0404 of this Chapter. Provide to the Division the name, address, date of birth, and social security number of every amateur contestant scheduled to compete in an event. This information shall be submitted no later than seven calendar days prior to the event.

(c) A contestant shall have a minimum of five recorded amateur matches prior to being submitted to compete as a professional mixed martial arts contestant. This five-match requirement shall be waived by the Division representative if the contestant has previously competed in at least five professional boxing or kickboxing matches, or any combination thereof.

(d) Contestants under 18 years of age shall compete only in matches supervised and regulated by an Amateur Sports Organization that has been recognized by the Division. To obtain recognition, any Amateur Sports Organization shall establish and provide rules for the implementation of health and safety standards and all requirements related to the conduct of matches that are at least as restrictive as the applicable standards and requirements of the Division. Events open to the public where admission is charged for viewing shall be conducted by a promoter licensed in accordance with the provisions of Rule .0402 of this Chapter.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0810 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
Amended Eff. October 1, 2025.

14B NCAC 10 .0811 Suspensions - MIXED MARTIAL ARTS

(a) The following apply to determine the length of suspension for mixed martial arts contestants. The Division representative or ringside physician may increase or decrease the length of suspension if deemed appropriate:

(1) TKO (Technical Knockout) - 30 Days.

(A) Referee stoppage from submission or choke hold prior to verbal commitment or tap out.

(B) Referee stoppage from strikes prior to verbal commitment or tap out.

(2) KO (Knockout) - 60 Days.

(3) Second TKO/KO in 12 months and contestant has a losing record - 120 to 180 Days.

(4) TKO/KO and contestant has lost three or more of the last five fights in the first round - 180 to 365 Days.

(b) A contestant is designated as "High Risk" if one of the following criteria apply:

(1) 40 years of age or older;

(2) Has six consecutive losses or three consecutive losses in the first round by TKO/KO;

(3) Lost more than 25 total fights;

(4) Has a career duration of more than 350 rounds;

(5) Has suffered a severe concussion (Grade 3) or difficulty in a match where the ringside physician recommends more medical test; or

(6) Has been inactive for 30 or more months.

(c) Contestants designated as "High Risk" must provide the results of any or all of the following medical test to the Division representative prior to being approved to compete in a match based on the contestant's past medical history and suspensions:

(1) MRI (Magnetic Resonance Imaging);

(2) Complete Neurological Examination by a Neurologist;

(3) Overall physical conducted by a physician indicating that the contestant is physically fit to compete in a match;

(4) If the contestant is 40 years of age or older, cardiac examination and chest x-rays.

(d) A contestant may not compete until seven days have elapsed from his or her last match. The seven day period starts the day following the event in which he or she competed. The Division representative may waive this mandatory rest period if the contest ended in two rounds or less and contestant received no injuries.

History

Authority G.S. 143-652.1
Eff. March 1, 2008
Transferred from 14A NCAC 12 .0811 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Chapter 11 Division of Juvenile Justice

Subchapter A

14b NCAC 11A .0101 Scope

History

Status: expired
Authority G.S. 143B-512(a); 143B-516
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 01A .0101 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
Expired Eff. June 1, 2026 pursuant to G.S. 150B-21.3A.

14B NCAC 11A .0201 Petitions

(a) Any petition for the adoption, amendment, or repeal of a rule within Title 28 of the North Carolina Administrative Code must be made to the Secretary of the Department of Juvenile Justice and Delinquency Prevention and addressed to: Secretary/Administrative Hearing Officer, Department of Juvenile Justice and Delinquency Prevention, 1801 Mail Service Center, Raleigh, NC 27699-1801; or delivered in person to the Office of the Secretary.

(b) The petition shall contain the following information:

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

(2) the reasons for the petition;

(3) the effect on existing rules or orders;

(4) any data supporting the petition;

(5) the effect of the petition on existing practices in the area involved in cost factors;

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

(7) the name and address of the petitioner.

(c) The Secretary, shall determine, based on a study of the facts in the petition, whether the public interest will be served by granting the petition. The Secretary will consider all the contents of the submitted petition, plus any additional information deemed to be relevant.

(d) If the decision is to deny the petition, the petitioner shall be given notice that the decision including reasons why the petition was denied and may be appealed through Judicial Review as provided in G.S.150B-20(d).

History

Authority G.S. 143B-512(a); 150B-20
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 01A .0201 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11A .0202 Hearings

History

Status: expired
Authority G.S.143B-512(a); 150B-21.2
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 01A .0202 Eff. June 1, 2013
Transferred from 28 NCAC 01A .0203 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
Expired Eff. June 1, 2026 pursuant to G.S. 150B-21.3A.

14B NCAC 11A .0203 Fees

History

Status: expired
Authority G.S.143B-512(a); 150B-21.2
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 01A .0202 Eff. June 1, 2013
Transferred from 28 NCAC 01A .0203 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
Expired Eff. June 1, 2026 pursuant to G.S. 150B-21.3A.

14B NCAC 11A .0204 Declaratory Rulings

(a) The Secretary or his designee shall have the power to make declaratory rulings. All requests for declaratory rulings shall be by written petition and shall be submitted to: Secretary/Administrative Hearing Officer, Department of Juvenile Justice and Delinquency Prevention, 1801 Mail Service Center, Raleigh, NC 278699-1801.

(b) Every request for a declaratory ruling must include the following information:

(1) The name and address of the petitioner;

(2) The statute or rule to which the petition relates; and

(3) A concise statement of the manner in which the petitioner is aggrieved by the rule and the criteria under this Rule that justifies the request for a declaratory ruling.

(c) The Secretary or the Department's Hearing Officer shall issue notice to persons who may be affected by the ruling that written comments may be submitted or oral presentations received at a scheduled hearing.

(d) A record of all declaratory ruling proceedings shall be maintained by the Secretary's Office and shall be available for public inspection during regular business hours. This record shall contain:

(1) The original request;

(2) The reasons for refusing to issue a ruling when the request is denied;

(3) All written memoranda and information submitted;

(4) Any written minutes or audio tape or other record of the oral hearing; and

(5) A statement of the ruling when the request is granted.

History

Authority G.S. 143B-512; 143B-516; 150B-4
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 01A .0204 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11A .0301 designated AGENCIES AUTHORIZED to share information

The following agencies shall share with one another upon request, information in their possession that is relevant to any case in which a petition is filed alleging that a juvenile is abused, neglected, dependent, undisciplined or delinquent:

(1) The Department of Juvenile Justice & Delinquency Prevention;

(2) The Office of Guardian Ad Litem Services of the Administrative Office of the Courts;

(3) County Departments of Social Services;

(4) Area mental health developmental disability and substance abuse authorities;

(5) Local law enforcement agencies;

(6) District attorneys' offices as authorized by G.S. 7B-3100;

(7) County mental health facilities, developmental disabilities and substance abuse programs;

(8) Local school administrative units;

(9) Local health departments; and

(10) A local agency designated by an administrative order issued by the chief district court judge of the district court district in which the agency is located, as an agency authorized to share information pursuant to these Rules and the standards set forth in G.S. 7B-3100.

History

Authority G.S. 7B-3100
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 01A .0301 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11A .0302 Information Sharing Among Agencies

(a) Any agency that receives information disclosed pursuant to G.S. 7B-3100 and shares such information with another authorized agency, shall document the name of the agency to which the information was provided and the date the information was provided.

(b) When the disclosure of requested information is prohibited or restricted by federal law or regulations, a designated agency shall share the information only in conformity with the applicable federal law and regulations. At the request of the initiating designated agency, the designated agency refusing the request shall inform that agency of the specific law or regulation that is the basis for the refusal.

History

Authority G.S. 7B-3100
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 01A .0302 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter B

14B NCAC 11B .0101 Scope

The rules in this Subchapter establish the requirements for state funding to counties in order to assist in the development of residential and non-residential community based, intervention and prevention programs for delinquent youth, undisciplined youth and those youth at risk of becoming delinquent.

History

Authority G.S. 143B-544; 143B-550
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0101 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0102 Definitions

In this Subchapter the following terms have the listed meanings:

(1) Juvenile Crime Prevention Council Fund (JCPC Fund). The funding account allocated by the General Assembly to the Department for the use of county government on a matching basis to establish and to maintain intervention and prevention services planned for by the Juvenile Crime Prevention Council.

(2) Cash Match. The local funding provided by county government and other local resources and used to provide the share of a program budget proportionate to the Department funds as required by the Department.

(3) In-Kind Match. A non-cash, local contribution to the operating costs of a Juvenile Crime Prevention Council funded program.

(4) Youth Services Programs. Youth Services Programs are local intervention and prevention programs that provide services to the delinquent youth, undisciplined youth and those youth at risk of becoming delinquent.

(5) Multi-County Programs. Multi-county programs are programs that are administered by a single agency with a single revenue and expenditure budget and that contract for services using Juvenile Crime Prevention Council program agreement with two or more counties. Those individual program agreements meet all requirements for county participation in the Juvenile Crime Prevention Council fund.

(6) Discretionary Juvenile Crime Prevention Council Funds. Discretionary Juvenile Crime Prevention Council Funds are those funds allocated to counties by the Department that remain uncommitted for a period of six months or are released by the county. Those funds are released for redistribution in accordance with this Subchapter.

History

Authority G.S. 143B-516(e); 143B-543; 143B-550
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0102 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0103 County Eligibility

(a) The Department shall provide to counties annual written notification of the amount of the Juvenile Crime Prevention Council funds available and the local match required to utilize these state appropriated dollars.

(b) The Chairperson of the Board of County Commissioners, in order to indicate the desire of the county to participate in the Juvenile Crime Prevention Council fund, shall submit an annual funding plan to provide intervention and prevention funding.

(c) Counties may withdraw from the program at any time by giving 30 days prior written notice of the withdrawal. Funds designated for a county choosing to withdraw shall be placed in the Discretionary Juvenile Crime Prevention Council Fund. Notice of withdrawal must be signed by the Chairperson of the Board of County Commissioners.

(d) Counties shall not spend Juvenile Crime Prevention Council funds to duplicate services otherwise required by law.

(e) Counties shall not use the Juvenile Crime Prevention Council fund to supplant existing funds for services or programs.

History

Authority G.S. 143B-516; 143B-543; 143B-550
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0103 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0104 Funding

(a) Every participating county shall receive continuation funds in the amount of the previous fiscal year as provided by the legislature. The Department may apportion expansion funds with either:

(1) an equal amount per county;

(2) a proportionate amount per county based on the county population that is 10-17 years of age; or

(3) a combination of the two.

(b) If the legislative appropriation for any fiscal year is less than that of the previous year, the Department shall calculate reductions in the county allocations using the same amount per county or the same proportionate amount as the overall state fund reduction or both.

History

Authority G.S. 143B-516(b)(9); 143B-550
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0104 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0105 Local Match

(a) Local match required for the expenditure of Juvenile Crime Prevention Council funds allocated for each county during any fiscal year may include either cash or in-kind contributions, except that capital expenditures shall require a cash match.

(b) Cash used as a required match may include any local general revenue funds collected by the local government and included in the current fiscal year budget.

(1) For purposes of this Rule, cash match may not include any state or federal monies; however, Juvenile Crime Prevention Council program funds may be used as a match for federal grants. Juvenile Crime Prevention Council administrative funds may be used as match for federal funds only if approved by the Department in the certification budget.

(2) Cash used as a required match may also include any private foundation grant or individual contribution so long as such grant or contribution is made a part of the operating budget of the local program and is reported to the County Finance Officer on the Program Agreement and Accounting forms.

(c) In-kind contributions may include non-cash goods or services within a county's current assets or operation that is used to support the operation of any new or continuing program for which Juvenile Crime Prevention Council funds are requested.

(d) In documenting the value of an in-kind contribution, the county will:

(1) Use the value of goods or services that directly benefits and is specifically identifiable to the program's activities; and

(2) Provide justification to the Department of the value claimed.

History

Authority G.S. 143B-516(b)(11)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0105 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0106 Budget and Budget Amendments

(a) A Program Agreement Form including a line item budget shall be required for each program receiving Juvenile Crime Prevention Council funds.

(b) Juvenile Crime Prevention Council funds shall be administered by county governments in accordance with the provisions of G.S. 159-15.

(d) The county shall receive from the program and shall submit a line item budget amendment with the Department in accordance with G.S. 159-15 when there is an adjustment in the revenues or in the cost center expenditures. Notice to the Department of any budget amendment shall be made by submission of a program agreement revision prior to June 30 of the fiscal year of operation.

(e) Prior to the expenditure of funds, a county shall receive from a program and shall submit a program agreement revision for approval when a budget change within a program will result in a change in the overall impact of service delivery capability. Such changes include:

(1) Eliminating a staff member or function in the program;

(2) Assigning a staff member to a service delivery function not included in the approved Program Agreement;

(3) Shifting Juvenile Crime Prevention Council funds from one currently funded program to another within the same county; and

(4) Any request for Discretionary Funds.

(f) Counties shall use funds only for the purposes approved by the Department in a program agreement or revision.

History

Authority G.S. 143B-516
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0106 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0107 Discretionary Funds

(a) Discretionary funds shall be treated as additional state funds over and above the annual allotment to a county and shall not be available for more than one year. Discretionary Funds may not be expended on routine operations of a local program that causes increased recurring cost to the state.

(b) In order to receive discretionary funds, the program must:

(1) Be a program funded by the department, which is in danger of closing or reducing its level of service and shall submit a statement of projected future funding sources documenting how the program plans to continue in operation during the next year; or

(2) Be a currently operating departmentally funded program in need of equipment, materials, renovations, or staff development, which will expand or enhance the service capability of the program on a continuing basis. A program shall show a measurable expansion of services, which may include:

(A) More youth physically served in the renovated facility;

(B) Additional staff training that will add a new treatment dimension to the ongoing program; or

(c) Discretionary Funds may be used for emergency placement of youth for whom all local resources have been exhausted but where Department placement is inappropriate.

(d) Juvenile Crime Prevention Council funds that remain uncommitted for six consecutive months, that are released by the withdrawal of a county from the Juvenile Crime Prevention Council fund and that are released with the third quarter accounting shall be transferred to the discretionary fund and made available to participating counties.

History

Authority G.S. 143B-516; 143B-512
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0107 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0108 Disbursement, Reversions and Final Accounting

(a) Funds approved for Juvenile Crime Prevention Council programs shall be disbursed monthly, except for seasonal programs. Seasonal program funds shall be disbursed as determined by the Department.

(b) The county shall submit the third quarter accounting forms for the Juvenile Crime Prevention Council and all funded programs to the Department at the end of the ninth month of the fiscal year unless otherwise required by the Department. This statement shall be prepared jointly by the program director, program fiscal officer and the county finance officer.

(c) A Final Accounting Form must be submitted not later than August 1 of each fiscal year to the Department unless otherwise directed by the Department.

(1) If a reversion is indicated from the Final Accounting Form, the Department shall notify the county finance officer of the reversion and the county shall refund all reverted funds to the Department within 45 days of notification.

(2) Reversion identified in the multi-county programs shall be billed to the program with notification to the participating counties. This direct billing is for the purpose of facilitating reversion and doe not eliminate the responsibility of each participating country for the proper use and accounting of the funds received by the county for the program and for any requested reversion of those funds.

History

Authority G.S. 143B-516(a); 143B-550
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0108 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0109 Third Party Payments

(a) Client fees may not be required by programs which receive Juvenile Crime Prevention Council funds.

(b) When third party payments are billed on behalf of youth served in Juvenile Crime Prevention Council programs, the revenue generated shall be used only for authorized expenses, and documented through a program agreement revision approved by the Department during the fiscal year in which the payment is received by the program. Authorized expenses include:

(1) Expansion of services;

(2) Purchase or replacement of supplies or equipment, or to make other one-time expenditures that will directly enhance the effectiveness or the program; or

(3) Reduction of the amount of Juvenile Crime Prevention Council funds necessary to meet the program's obligations during the fiscal year. Notification to the Juvenile Crime Prevention Council is required so that Juvenile Crime Prevention Council funds may be reallocated to meet other needs within the county or released to the Department.

(c) Third party payments shall not be used as local match funds. Third party payments shall be treated as other revenue and the amount and the source of funds must be included in the final accounting report.

History

Authority G.S. 143B-516; 143B-550
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0109 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0110 Capital Expenditures

(a) Capital expenditures include equipment valued in accordance with Office of State Budget policy and with a useful life of more than one year. Equipment expenses incurred by programs where Juvenile Crime Prevention Council funds constitute the major funding source shall be subject to the following:

(1) Inventory control shall be maintained by placing all equipment purchased by funded programs on the local equipment inventory.

(2) Equipment purchased by such programs shall, for the life of that equipment, be used solely for the purpose stipulated in the Program Agreement.

(3) The disposal of such equipment shall be in accordance with the county's surplus equipment policy and any revenue realized by the county shall be returned to the program for which the equipment was purchased.

(4) Should the program cease operation during the useful life of the equipment, the county may, with the approval of the Department, transfer the equipment to another youth services program within the county.

(5) If the property cannot be transferred to another youth services program, the county in agreement with the Department may reimburse the program at the fair market value of the property and transfer the property.

(6) The county, in agreement with the Department, may sell property and transfer revenue to any youth services program.

(b) All Juvenile Crime Prevention Council funded programs shall abide by the administering agency's policy for capital expenditures. If no administering agency policy exists, then the county government shall establish a policy. The program shall abide by the county government policy.

History

Authority G.S. 143B-516; 143B-550
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0110 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0201 Responsibilities of County Government

Each county desiring to receive funding from the Juvenile Crime Prevention Council fund shall:

(1) Notify the Department of the establishment of the Juvenile Crime Prevention Council;

(2) Ensure that Juvenile Crime Prevention Council funds are used exclusively for programs that provide direct services to juveniles who have either been adjudicated delinquent or undisciplined, petitioned for delinquent acts or undisciplined behavior, diverted from intake, or at-risk of becoming delinquent;

(3) Determine whether or not it is in its best interests to collaborate with other counties for the development of programs to address their juvenile needs;

(4) Utilize generally accepted accounting procedures that guarantee the integrity of the expenditure of Juvenile Crime Prevention Council funds in local programs;

(5) Report to the North Carolina Department of Juvenile Justice and Delinquency Prevention at or about the end of the third quarter of each year the anticipated balance of unexpended funds and to report program expenditures at the end of the fiscal year;

(6) Provide the North Carolina Department of Juvenile Justice and Delinquency Prevention with an annual risk and needs based plan for the provision of services to address the local juvenile justice need; and

(7) Ensure that programs receiving state funds are public agencies or private non-profit organizations and that they are appropriately licensed.

History

Authority G.S. 143B-516; 143B-517; 143B-544; 143B-549; 143B-550
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0201 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0202 Juvenile Crime Prevention Council Responsibilities

In implementing the planning requirements of G.S. 143B-543, the Juvenile Crime Prevention Council's shall:

(1) Monitor currently funded Juvenile Crime Prevention Council programs and evaluate the availability of intermediate and community level sanctions;

(2) Maintain a current and ongoing assessment of the needs of children involved or potentially involved in the juvenile justice system;

(3) Submit to the county commissioners an annual plan for the provision of intervention/prevention services which shall include:

(a) A list of services which prioritizes funding for intermediate and community level sanction programs and may include prevention programs;

(b) A statement from the Juvenile Crime Prevention Council, verifying the existence of adequate intermediate and community level sanctions if prevention programs are included in the funding recommendations;

(d) Program proposals that are recommended for funding;

(4) Explore alternative funding sources, including other state and federal funds and private corporations and foundations; and

(5) Promote public awareness of delinquency, risk factors, and prevention strategies.

History

Authority G.S. 143B-549; 143B-550
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0202 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0203 Juvenile Crime Prevention Council Certification

(a) In order to receive funds from the Department, each Juvenile Crime Prevention Council shall satisfy the following:

(1) Have membership appointed by the Board of County Commissioners;

(2) Have written bylaws that ensure open meetings, recorded minutes, notice of meetings and distribution of minutes prior to or during subsequent meetings;

(3) Have established external communication requirements as follows:

(A) The Juvenile Crime Prevention Council shall communicate through the media and by written Request for Proposals the availability of funding to all public and private non-profit agencies and interested community members, that serve at risk children, and their families;

(B) The Juvenile Crime Prevention Council shall make annual needs assessment information available to all non-profit agencies and interested community members that serve at risk children and their families; and

(C) The Juvenile Crime Prevention Council shall inform its members and other interested members of the community about full Council meetings.

(b) To apply for certification, each Juvenile Crime Prevention Council shall complete an Application for Certification, which is available through the Department.

(c) The completed Application for Certification shall be signed by the Juvenile Crime Prevention Councils Chairperson, the Chairperson of the Board of County Commissioners or county manager and forwarded to the Department not later than June 30 of each year.

History

Authority G.S. 143B-516; 143B-544
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0203 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11B .0204 Juvenile Crime Prevention Council Administrative Grants

(a) The Department shall allow administrative grants as approved for each county Juvenile Crime Prevention Council certified under these Rules to fund administrative expenses.

(b) This administrative grant shall be deducted from the regular Juvenile Crime Prevention Council fund allocation set forth in Rule .0103 of this Subchapter.

(c) Administrative grants shall be used only for reasonable expenses incurred by or in support of the Juvenile Crime Prevention Council including but not necessarily limited to operating expenses, per diem expenses, and training.

(d) No local match shall be required for administrative grants. The Department shall request refunds of unexpended funds or unapproved expenditures.

History

Authority G.S. 143B-516; 143B-544; 143B-545; 143B-546; 143B-547; 143B-548
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 02A .0204 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter C

14B NCAC 11C .0101 Scope

(a) The rules in this Subchapter establish the requirements for programs assigned to the Intervention/Prevention and Youth Development Division within the Department.

(b) The programs covered by these Rules include the Governor's One on One Program, the Eckerd Wilderness Camping Program, the Multipurpose Juvenile Home Program, the Camp Woodson Program, the Support Our Students Program, the Teen Court Program and Juvenile Crime Prevention Council Programs.

(c) These Rules also apply to appropriations for other programs that are directed by the General Assembly for special projects or pilot initiatives where the funding and reporting of activities are assigned to the Department.

History

Authority G.S. 143B-516(b)(8)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0101 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0102 Definitions

In this Subchapter the following term has the listed meaning: Individual Plan of Care. A written record maintained on each juvenile served by programs operated by funding support received from the Department which shall include the following elements:

(1) A schedule of planned program activities;

(2) Any other specially designed activities to meet the needs of an individual client;

(3) The anticipated length of stay;

(4) Specific behavior and attitude changes expected to result from the implementation of the Plan of Care;

(5) A method of evaluating a program impact on such things as self esteem, academic performance, personal enrichment, social growth and development, delinquent behavior, school attendance; and

(6) A mechanism for periodic review and revision based on progress or lack thereof.

History

Authority G.S. 143B-516(b)(8); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0102 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0201 Funding Requirements

(a) All of the programs within the Intervention/Prevention and Youth Development Divisions shall be funded by contractual agreement between the organizations receiving the funds and the Department with the exception of Camp Woodson and the Eastern North Carolina Wilderness Camp for Juveniles.

(b) Each contract shall specify the authorized expenditures of the contractual agreement and shall detail those expenditures through a line-item budget as well as by a narrative description.

(c) Programs receiving funding from the Department under contractual agreement shall provide documentation of actual expenditures.

(d) Failure to comply with provisions of contractual agreements may result in forfeiture or repayment of funding.

(e) Any funds received under a contractual agreement and not expended during the contract period shall be returned to the Department.

History

Authority G.S. 143B-517; 143B-516(b)(10)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0201 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0301 Employment Policies

(a) Personnel in programs supported by funding from the Department shall be employees in good standing with a local governmental agency or with a private sector organization.

(b) For each position within programs operated by or receiving Department funding support there shall be a written job description detailing the primary duties of the position and stating the minimum education and experience requirements.

(c) In addition to the rules in this Chapter, individuals employed by programs receiving funding support through the Department shall be subject to the employment policies and procedures of the program receiving and administering that funding support.

History

Authority G.S. 143B-512(a); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0301 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0302 Appropriate Care and Treatment

(a) Procedures or philosophies that encourage or promote consistent patterns of humiliation, verbal abuse, manhandling, use of fear tactics, intimidation, or infliction of physical pain are prohibited.

(b) This Rule shall apply to staff, residents, and contracted services supported by Departmental funds. Programs funded by the Department shall make no referrals to programs or service providers who are known to violate this Rule.

History

Authority G.S. 143B-516(b)(4); 143B-516)(6); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0302 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0303 Behavior Management and Discipline

(a) In determining appropriate discipline, each program shall consider the child's age, intelligence, emotional makeup, and past experience.

(b) Each program shall develop and adhere to a written policy regarding behavior management and discipline which includes the following requirements:

(1) Physical or corporal punishment shall not be permitted;

(2) Physical or mechanical restraint shall be used only when necessary to protect a child from physical injury to self or others or when transporting a juvenile who is being held under a secure custody order;

(3) No juvenile shall be place in a locked room or other place, except for juveniles being held under a secure custody order; and

(4) Meals or nourishment shall not be denied.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0303 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0304 Solicitation of Funds and Juvenile Publicity

(a) Juveniles and their families served by any program funded by the Department shall not be required to raise or solicit funds for any agency. They may, however, organize or participate in fund raising activities on a voluntary basis. Individual juveniles may participate with written parental permission.

(b) Pictures or any other means of identifying children may not be used in public relations efforts for the program, unless a written statement of permission is obtained, signed by the child and either a parent or legal guardian.

(c) No juvenile shall be coerced or pressured into acknowledging in public his treatment at the agency or his gratitude for the treatment.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0304 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0305 Alcohol and Other Drug Possession and Use

Program managers, direct services staff, and volunteers of programs funded by the Department shall not possess or consume or be under the influence of any alcohol or controlled substance without a prescription while engaged in any program activities.

History

Authority G.S 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0305 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0306 Firearms and Other Weapons

Program managers, direct services staff, and volunteers shall not use or be in possession of any firearms or other weapons while working with youth in programs funded by the Department.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0306 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0307 Opportunities for Religion Provided

Residential programs funded by the Department shall provide opportunities for individual children to participate in religious services and other religious activities within the framework of their individual and family interest at the parent, juvenile or legal guardian's request.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0307 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0308 Insurance Required

Each program funded by the Department, other than programs operated by units of local government, shall maintain liability insurance in the amount of five hundred thousand dollars ($500,000) to cover any juvenile participating in the program and provide documentation of such at the request of the department.

History

Authority G.S. 143B-516(b)(4); 143B516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0308 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0309 Safety Concerns

(a) All programs funded by the Department shall ensure that safety measures, which include trained staff and safety equipment, are in place for all program sponsored functions.

(b) During periodic on-site visits by officials representing the Department, programs shall provide written documentation of staff training and competency in all program activities authorized by the contract.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0309 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0401 Staff Orientation and Training

(a) All programs funded by the Department must provide for staff and volunteer orientation and training. Written documentation of the program orientation and training policies and plans must be available upon request.

(b) All programs must provide personal and professional development training for staff and volunteers.

(d) All professional and volunteer staff who lead program activities which require special skills or certification must be trained in the skills necessary for each particular activity.

(e) All programs providing treatment services shall employ staff who are eligible by degree or credential to provide such treatment, or who receive clinical supervision by someone who is eligible to provide such treatment.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0401 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0402 Emergency Plan

(a) Each program shall develop and distribute to staff members and volunteers an emergency plan which includes names and phone numbers of individuals to be notified in emergency situations that may occur during program activities.

(b) The emergency plan must provide that in the event of an emergency resulting in a serious injury to or death of a program staff member, participant or volunteer the Department shall be notified immediately. This plan shall include the after hours phone numbers of individuals designated within the Department.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0402 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0403 Admission Guideline Requirements

(a) All programs receiving funding support from the Department shall develop within admission guidelines covering age and gender appropriateness, the primary reasons for which juveniles are considered for admission and any applicable admission restrictions that may apply.

(b) All programs shall provide a response to referring agencies regarding their admission decision within 15 days of the referral.

History

Authority G.S. 143B-516(b)(3); 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0403 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0404 Record of Client Contacts and Individual Plan of Care

(a) All programs shall maintain a written record of contact with clients that includes:

(1) The date of admission, source of and reason for referral and a summary of the problems the client was experiencing at the time of the referral;

(2) A record of the dates and activities of the client program participation;

(3) The date and reason for termination from the program; and

(4) An Individual Plan of Care.

(b) All information in the client's record shall be considered privileged and confidential and may be released only as required by law.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0404 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0405 Requirement of Release Policy

Programs shall develop written policies governing documentation of the release of clients. Release records shall include:

(1) The last date of program contact;

(2) The reason for release;

(3) A listing of all persons and agencies who receive notice; and

(4) The name of any agency contact person for additional information concerning the clients' progress during the program.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0405 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0406 Program Evaluation

(a) All programs shall collect and submit statistical information designed to measure the program effectiveness in correcting the program behaviors and underlying causes of delinquency and undisciplined behavior.

(b) Programs must develop strategies for measuring key behavior changes for at least 12 months after termination of services.

(1) The expected benefits of the program;

(2) The specific data that will document success;

(3) A specific schedule for reporting results; and

(4) A listing of those agencies and individuals who will receive the results.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0406 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0501 Compliance Monitoring

Compliance with the provisions of this Subchapter shall be monitored by on-site visits conducted by or authorized by the Department and by review of periodic reports documenting the provisions of the contractual agreement between the program and the Department.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0501 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11C .0502 Corrective Action and Penalties

(a) When any of the terms of the contract are documented to have been violated through the monitoring and evaluation of program requirements, the Department shall take measures to correct the violation.

(1) Where violations of state or federal law are documented the Department shall notify law enforcement officials; and

(2) Where conditions or practices are found within a program that create a threat or danger to students or staff the following measures shall be taken:

(A) Notification to local Division of Social Services and if appropriate law enforcement;

(B) Notification to designated Departmental officials;

(D) Maintenance of detailed written records of all actions taken until any issues of harm or danger are resolved.

(b) Where allegations or information indicates that conditions or practices may exist which constitute a threat or danger to staff or students within a program the Department shall conduct an on-site visit to the program. Additionally the following measures shall be taken:

(1) Notification to designated Departmental officials; and

(2) Maintenance of detailed written records of all actions taken until any issues regarding harm or danger are resolved.

(c) Where the program refuses to make good faith efforts to correct violations identified in the monitoring and evaluation process and where such refusal adversely impacts or affects the quality of services or reduces the number being served, the Department may:

(1) Impose the penalties provided for in the contractual agreement; or

(2) Without notice, terminate the contract.

History

Authority G.S. 143B-516(b)(4); 143B-516(b)(5); 143B-516(b)(9)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 03A .0502 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter D

14B NCAC 11D .0101 Definitions

In this Subchapter the following term has the listed meaning: Complaint. A written allegation that a juvenile is delinquent or undisciplined with a signature verifying that the allegation is true. A complaint initiates the intake process.

History

Authority G.S. 7B-1701; 143B-516(b)(5); 143B-516(b)(6)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 04A .0101 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11D .0102 Intake

(a) Complaints - Complaints alleging that a juvenile is undisciplined or delinquent are accepted by a juvenile court counselor for evaluation. All complaints shall be in writing and must contain the following:

(1) The juvenile's name;

(2) The juvenile's age and date of birth;

(3) The name of the juvenile's parents, guardians, or custodians;

(4) The juvenile's home address;

(5) The facts supporting any allegation that a juvenile is undisciplined or delinquent;

(6) The date the complaint is received by the court counselor;

(7) The complainant's name, address, and telephone number; and

(8) The complainant's signature, verified before an official authorized to administer oaths.

(b) Intake evaluation - In order to determine whether a complaint shall be filed as a petition, the juvenile court counselor in the best interest of the juvenile shall consider the following factors:

(1) Protection of the community;

(2) The seriousness of the offense;

(3) The juvenile's previous record of involvement in the legal system including previous diversions;

(4) The ability of the juvenile and the juvenile's family to use community resources;

(5) Consideration of the victim;

(6) The juvenile's age; and

(7) The juvenile's culpability in the alleged complaint.

(1) The juvenile court counselor shall retain a complaint and develop a diversion plan with the juvenile and the juvenile's parents, guardians or custodians if it is determined that intervention related to the offense is needed and may be accomplished without court involvement.

(2) A diversion plan may include a diversion contract as set out in G.S. 7B-1706.

(3) The complaint including a diversion plan or contract must be resolved within six months after a decision to divert and retain a complaint is made; and

(A) Written notice of the diversion plan is provided to the juvenile and the juvenile's parents, guardians or custodians; or

(B) A diversion contact has been entered.

(4) If the juvenile agrees to pay damages or restitution as part of a diversion plan or contact, payment shall be made directly to the victim or through a program set up to account for payment of such damages or restitution.

History

Authority G.S. 7B-1701; 143B-516(b)(50); 143B-516(b)(6)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 04A .0102 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11D .0103 Services to the Court

(a) The Department shall provide information and assistance concerning a juvenile case before, during or after a hearing as the court may require, including the preparation of written reports for the court, completion of risk and needs assessments to be used by the court at disposition and assistance in secure and non-secure custody matters.

(b) Secure and Non-secure custody - The Department shall assist in secure and non-secure custody matters regarding alleged or adjudicated delinquent and undisciplined juveniles in accordance with any administrative order entered in the judicial district or court order entered by a judge. The Department may transport any juvenile in secure custody to and from any placement facility.

History

Authority G.S. 7B-2413; 7B-1803; 7B-1900; 7B-1902; 7B-1903(e); 7B-1906(f); 143B-536
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 04A .0103 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11D .0104 Commitment to the Department

(a) Juvenile court counselors shall provide services to juveniles committed to the Department and their families during the commitment which includes:

(1) Serving as a liaison between the Department staff, the juvenile, and his family, community agencies and the court;

(2) Assisting in treatment planning during the commitment; and

(3) Participating in planning for post-release supervision.

(b) When a juvenile is committed to the Department for an offense that would have been a Class A or B1 felony if committed by an adult, the chief court counselor shall notify the victim or the victim's immediate family that they may request in writing to be notified in advance of the juvenile's schedule release date. The chief court counselor shall provide the victim or the victim's immediate family:

(1) The name of the juvenile; and

(2) The name, address and telephone number of the chief court counselor who is to receive the request to be notified.

History

Authority G.S. 7B-2513
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 04A .0104 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11D .0105 Post-Release Supervision

(a) Juvenile Court counselors shall provide post-release supervision services for any juvenile released from a youth development center.

(b) A needs assessment shall be completed by the court counselor to determine the social, medical and educational needs of the juvenile and make proper referrals and provide services during the post-release supervision period.

(c) The chief court counselor or designee shall determine the appropriate level of supervision for the juvenile and shall assign the case to a court counselor for supervision.

(d) Juvenile court counselors shall document the level of supervision in the juvenile's file.

History

Authority G.S. 7B-2514
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 04A .0105 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 11D .0106 Substance Abuse Testing

(a) The Department shall contract for testing services and shall provide supplies for testing juveniles for use of alcohol and controlled substances.

(b) Alternate drug and alcohol testing services may be used for individual juveniles at the expense of the parent or another agency if approved by the court.

(c) Other entities may be used to provide alcohol or drug testing services in a district if the chief court counselor submits a plan to the Department insuring that testing services that are at least equal to the services provided through the Department are readily available to the court for juveniles under the court's jurisdiction.

(d) Juvenile court counselors shall administer drug and alcohol tests only if ordered by the court.

History

Authority G.S. 143B-516(b)(7)
Temporary Adoption Eff. July 15, 2002
Eff. April 1, 2003
Transferred from 28 NCAC 04A .0106 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Chapter 12 Division of Corrections

Subchapter A

14b NCAC 12A .0101 Location

History

Status: expired
Authority G.S. 143B-10; 143B-260; 143B-261.1
Eff. December 1, 2008
Transferred from 05 NCAC 01F .0101 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12A .0102 Cost of Copies

History

Status: expired
Authority G.S. 132-6.2; 143B-10; 150B-19
Eff. January 1, 2009
Transferred from 05 NCAC 01F .0102 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12A .0201 Filing a Petition for Rulemaking

(a) Any person may petition the Department of Correction (DOC) to adopt a new rule, or amend or repeal an existing rule by submitting a rule-making petition to DOC. The petition shall be addressed to:

The North Carolina Department of Correction

Controller's Office

2020 Yonkers Road; MSC 4220

Raleigh, North Carolina 27699-4220

(b) The petition shall be labeled "Petition for Rule-making" and must include the following information:

(1) the name(s) and address(es) of the petitioners;

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

(3) a draft of the proposed text of the requested rule or amended rule;

(4) an explanation of why the new rule or amendment or repeal of an existing rule is requested;

(5) the effect of the new rule, amendment, or repeal on the procedures of DOC;

(6) a fiscal note on the impact of the proposed rule on existing practices in the area involved, including cost factors and basis of analysis; and

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

History

Authority G.S. 150B-18; 150B-19; 150B-20; 150B-21
Eff. December 1, 2008
Transferred from 05 NCAC 01F .0201 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter B

14B NCAC 12B .0101 General

(a) Inmates may write to anyone, but an individual inmate's privileges to write to a particular person or persons may be withdrawn by the superintendent/warden of the correctional facility to which the inmate is assigned, upon request of the recipient, or if the recipient is a minor, at the request of his or her parents or legal guardian. Writing privileges also may be terminated for any of the reasons stated in Rule .0307(e) of this Section. The reason for withdrawal must be stated in a written notice to the inmate that should refer specifically to the letters previously returned.

(b) It is the purpose of the mail policy to protect citizens in the community from offensive or threatening letters and prevent criminal activities and escape plots from developing through correspondence. To accomplish this, it is the responsibility of each facility mail room to stamp the outside of each piece of outgoing inmate mail (including packages) with the name of the correctional facility, (ex., Mailed from Columbus Correctional Center). The stamp should be affixed to the front of the envelope above the address and between the return address and the postage stamp. This is not required at community residential facilities, i.e., Wilmington Residential Facility for Women.

(c) The superintendent/warden will be responsible for developing and implementing facility mail procedures consistent with this policy. The facility procedures must be reviewed annually to assure compliance with current Division of Prisons policy.

History

Authority G.S. 148-11
Eff. November 1, 1991
Transferred from 05 NCAC 02D .0306 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 12B .0102 Correspondence

History

Status: expired
Authority G.S. 148-11
Eff. November 1, 1991
Amended Eff. October 1, 1992
Transferred from 05 NCAC 02D .0307 Eff. June 1, 2013 (14B NCAC 12B .0102)
Transferred from 05 NCAC 02D .0308 Eff. June 1, 2013 (14B NCAC 12B .0103)
Transferred from 05 NCAC 02D .0309 Eff. June 1, 2013 (14B NCAC 12B .0104)
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12B .0103 Procedures for Censorship

History

Status: expired
Authority G.S. 148-11
Eff. November 1, 1991
Amended Eff. October 1, 1992
Transferred from 05 NCAC 02D .0307 Eff. June 1, 2013 (14B NCAC 12B .0102)
Transferred from 05 NCAC 02D .0308 Eff. June 1, 2013 (14B NCAC 12B .0103)
Transferred from 05 NCAC 02D .0309 Eff. June 1, 2013 (14B NCAC 12B .0104)
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12B .0104 Packages and Other Items

History

Status: expired
Authority G.S. 148-11
Eff. November 1, 1991
Amended Eff. October 1, 1992
Transferred from 05 NCAC 02D .0307 Eff. June 1, 2013 (14B NCAC 12B .0102)
Transferred from 05 NCAC 02D .0308 Eff. June 1, 2013 (14B NCAC 12B .0103)
Transferred from 05 NCAC 02D .0309 Eff. June 1, 2013 (14B NCAC 12B .0104)
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12B .0201 Policy

(a) General. The policy of the State of North Carolina is that all able-bodied prison inmates shall be required to perform diligently all work assignments provided for them. Work assignments and employment shall be for the public benefit to reduce the cost of maintaining the inmate population while enabling inmates to acquire or retain skills and work habits needed to secure honest employment after their release.

(b) Conditions for Use of Inmate Labor. The use of inmate labor for public work projects must meet the following conditions:

(1) The project or service involved is a type of work that inmates are qualified to perform.

(2) The project or service is of benefit to the citizens of North Carolina or units of state or local government.

(3) The project or service is not one that would normally be performed by private industry or non-inmate labor if inmate labor were not available.

(c) Contracts. The Department of Correction may make contracts with departments, institutions, agencies, and other political subdivisions of the State of North Carolina for the use of inmate labor that will help make the prisons as nearly self-supporting as is consistent with the purpose of their creation.

(d) Prohibitions. The following prohibitions apply to inmates being used for public work projects:

(1) Inmates who are eligible and have been accepted for work release, study release and vocational rehabilitation may not be used.

(2) Adult inmates are prohibited from working at or being on the premises of any school or institution operated or administered by the Division of Youth Services, Department of Human Resources.

History

Authority G.S. 66-58; 148-26
Eff. February 11, 1976
Amended Eff. June 1, 1984
Transferred from 05 NCAC 02D .0701 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 12B .0202 Approval of Contracts

History

Status: expired
Authority G.S. 148-26.5
Eff. June 1, 1984
Transferred from 05 NCAC 02D .0706 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

Subchapter C

14B NCAC 12C .0101 Donations

If a group, organization, or individual desires to make a monetary or material donation to the unit as a whole for hobbycraft activities, it may be accepted, but no gift or donation of hobbycraft tools or materials shall be accepted for a specified individual inmate.

History

Authority G.S. 143B-361.1; 148-11
Eff. March 17, 1978
Transferred from 05 NCAC 02E .1005 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 12C .0201 Procedures: Notification: Completed Restitution/Reparation

The following procedures apply to the notification of the completion of orders/recommendations of restitution.

(1) If an inmate chooses to fulfill his restitution obligations through his own funds, the following procedures are to be followed:

(a) If the inmate's family pays off his restitution indebtedness to the court, they will supply to the unit a receipt from the sentencing court noting the full payment of the inmate's restitution obligation, along with the victims' names and docket number.

(b) If the inmate deposits sufficient funds in his trust fund account to pay in full his restitution indebtedness, the unit will forward a trust fund check to the victims, noting "full payment" on the check.

(c) Following the completion of either one of the above requirements, Form DC-191-A will be sent to the clerk of the sentencing court by the unit superintendent or institution head of the facility to which the inmate is assigned, noting and verifying full payment of this inmate's restitution indebtedness.

(2) If the inmate decides to pay his restitution indebtedness through his work release earnings, the following procedures are to be followed:

(a) Work release accounting will be responsible for making deductions from his work release earnings to make restitution payment or payments with the last payment to the victim noting "paid in full."

(b) Following this, Form DC-191-A will be completed by the Work Release Accounting Office and sent to the sentencing court, noting the completion of this inmate's restitution indebtedness.

History

Authority G.S. 148-11; 148-33.2
Eff. June 10, 1978
Amended Eff. February 10, 1981
Transferred from 05 NCAC 02E .1104 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

Subchapter D

14B NCAC 12D .0101 Searches of Visitors and Other Persons

(a) Before and after every visiting period within the confines of a facility, a search of the room or area where the visits are held will be made to assure that no contraband has been concealed in or under any structure, equipment or furniture.

(b) All visitors and all other persons who seek entry to any facility for any purpose may be subjected to a routine search of their person or their effects upon entering or leaving a facility or any time they are within the confines of a facility. Such searches are authorized at the discretion of the Officer-In-Charge. Appropriate documentation shall be made to the Superintendent.

(c) A routine search may also include the search of personal effects. Personal effects such as handbags, boxes, briefcases, or other items under the immediate control or access of the visitor, should remain outside the confines of the facility. When in the judgment of the Officer-In-Charge that it is necessary for any of these personal effects to be carried within the Institution, such personal effects will be subject to a thorough search. Visitors who refuse to agree to a search of personal effects will not be authorized to visit.

(d) Routine searches of visitors and other persons seeking entry to a facility must be conducted by an officer of the same sex as the visitor or other person seeking entry to a facility. Wherever possible, more than one staff person should be present for such searches. If an officer of the same sex as the visitor is not available to conduct the routine search, visitors suspected of carrying contraband on their person must be denied entry into the facility. When visitors are suspected of carrying contraband, the Officer-In-Charge is authorized to request the assistance of local law enforcement provided that such assistance results in a search of the visitor by an officer of the same sex.

(e) If contraband is found on the person or in the personal effects of the visitor, the contraband should be confiscated and local law enforcement authorities notified immediately. Reasonable efforts short of the Use of Force should be utilized to encourage the visitor to remain until local law enforcement authorities arrive. If the visitor refuses to remain, as much descriptive and informational data as can be accumulated by correctional staff regarding the identity of the visitor and direction of departure and method of departure, should be communicated to the local law enforcement officers.

(f) A visitor seeking entry to the facility can avoid a routine search by leaving the facility. If the visitor refuses to submit to a routine search, the visitor shall be denied access to the facility. The visitor should also be considered for exclusion from an inmate's approved visitor's list in accordance with 05 NCAC 02D .0201(d)(1).

(g) If prior to visitation, prison officials receive reliable information that a visitor will attempt to smuggle contraband into the facility, the Officer-In-Charge should contact the local law enforcement agency for assistance.

(h) Complete searches of visitors is solely the authority of local law enforcement authorities with the consent of the visitor or by local law enforcement authorities having the legal basis to conduct the search. While such searches may be conducted on agency property, Division staff should not provide assistance. Any assistance provided should be in response to a request from local law enforcement authorities and predicated upon the maintenance of order and security at the facility.

History

Authority G.S. 14-258.1; 15A-404; 148-4; 148-11
Eff. November 1, 1991
Transferred from 05 NCAC 02F .0104 Eff. June 1, 2013
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018.

14B NCAC 12D .0201 Program Sponsors

History

Status: expired
Authority G.S. 148-4; 148-11
Eff. May 17, 1976
Transferred from 05 NCAC 02F .0204 Eff. June 1, 2013 (14B NCAC 12D .0201)
Transferred from 05 NCAC 02F .0207 Eff. June 1, 2013 (14B NCAC 12D .0202)
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12D .0202 Review Where Organization Barred

History

Status: expired
Authority G.S. 148-4; 148-11
Eff. May 17, 1976
Transferred from 05 NCAC 02F .0204 Eff. June 1, 2013 (14B NCAC 12D .0201)
Transferred from 05 NCAC 02F .0207 Eff. June 1, 2013 (14B NCAC 12D .0202)
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12D .0301 Other Requirements

History

Status: expired
Authority G.S. 148-11; 148-32.1
Eff. March 1, 1987
Transferred from 05 NCAC 02F .2205 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

Subchapter E

14B NCAC 12E .0101 Access to Private Counsel

History

Status: expired
Authority G.S. 148-11
Eff. June 16, 1978
Amended Eff. December 1, 1989
Transferred from 05 NCAC 02G .0205 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12E .0102 Telephone Access to Inmate Clients

History

Status: expired
Authority G.S. 148-11
Eff. December 1, 1989
Transferred from 05 NCAC 02G .0206 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

Subchapter F

14B NCAC 12F .0101 Advisory Committee on Religious Ministry in Prisons

History

Status: expired
Authority G.S. 143B-10; 148-11
Eff. April 1, 1990
Transferred from 05 NCAC 02H .0106 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

Subchapter G

14B NCAC 12G .0101 Grant Award Contracts

History

Status: expired
Authority G.S. 143B-273.8
Eff. July 1, 1995
Transferred from 05 NCAC 05 .0101 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

Subchapter H

14B NCAC 12H .0101 APPLICaTION

History

Status: expired
Authority S.L. 2001-378
Temporary Adoption Eff. March 6, 2002
Eff. April 1, 2003
Transferred from 05 NCAC 06 .0101 Eff. June 1, 2013 (14B NCAC 12H .0101)
Transferred from 05 NCAC 06 .0102 Eff. June 1, 2013 (14B NCAC 12H .0102)
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12H .0102 Purpose

History

Status: expired
Authority S.L. 2001-378
Temporary Adoption Eff. March 6, 2002
Eff. April 1, 2003
Transferred from 05 NCAC 06 .0101 Eff. June 1, 2013 (14B NCAC 12H .0101)
Transferred from 05 NCAC 06 .0102 Eff. June 1, 2013 (14B NCAC 12H .0102)
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12H .0201 Hiring Standards

History

Status: expired
Authority S.L. 2001-378
Temporary Adoption Eff. March 6, 2002
Transferred from 05 NCAC 06 .0201 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12H .0301 Training Standards

History

Status: expired
Authority S.L. 2001-378
Temporary Adoption Eff. March 6, 2002
Eff. April 1, 2003
Transferred from 05 NCAC 06 .0301 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

14B NCAC 12H .0401 Review of Compliance

History

Status: expired
Authority S.L. 2001-378
Temporary Adoption Eff. March 6, 2002
Eff. April 1, 2003
Transferred from 05 NCAC 06 .0401 Eff. June 1, 2013
Expired Eff. February 1, 2018 pursuant to G.S. 150B-21.3A.

Chapter 13 State Capitol Police

14B NCAC 13 .0101 Responsibilities and Scope

History

Status: expired
Authority G.S. 143B-911
Eff. February 1, 1976
Readopted Eff. February 27, 1979
Transferred from T01.03C Eff. November 25, 1986
Amended Eff. July 1, 1987
Transferred from 01 NCAC 04H .0103 Eff. June 1, 2013
Transferred from 01 NCAC 04H .0104 Eff. June 1, 2013
Amended Eff. July 1, 2016
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
Expired Eff. June 1, 2026 pursuant to G.S. 150B-21.3A.

14B NCAC 13 .0102 Authority

History

Status: expired
Authority G.S. 143B-911
Eff. February 1, 1976
Readopted Eff. February 27, 1979
Transferred from T01.03C Eff. November 25, 1986
Amended Eff. July 1, 1987
Transferred from 01 NCAC 04H .0103 Eff. June 1, 2013
Transferred from 01 NCAC 04H .0104 Eff. June 1, 2013
Amended Eff. July 1, 2016
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
Expired Eff. June 1, 2026 pursuant to G.S. 150B-21.3A.

14B NCAC 13 .0201 Arrests

History

Status: expired
Authority G.S. 143B-911
Eff. February 1, 1976
Readopted Eff. February 27, 1979
Transferred from T01.03C Eff. November 25, 1986
Amended Eff. July 1, 1987
Transferred from 01 NCAC 04H .0201 Eff. June 1, 2013
Transferred from 01 NCAC 04H .0206 Eff. June 1, 2013
Amended Eff. July 1, 2016
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
Expired Eff. June 1, 2026 pursuant to G.S. 150B-21.3A.

14B NCAC 13 .0202 Traffic Collisions

History

Status: expired
Authority G.S. 143B-911
Eff. February 1, 1976
Readopted Eff. February 27, 1979
Transferred from T01.03C Eff. November 25, 1986
Amended Eff. July 1, 1987
Transferred from 01 NCAC 04H .0201 Eff. June 1, 2013
Transferred from 01 NCAC 04H .0206 Eff. June 1, 2013
Amended Eff. July 1, 2016
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. January 9, 2018
Expired Eff. June 1, 2026 pursuant to G.S. 150B-21.3A.

14B NCAC 13 .0203 State Parking Lots

History

Status: repealed
Authority G.S.143B-900
Eff. February 1, 1976
Readopted Eff. February 27, 1979
Transferred from T01.03C Eff. November 25, 1986
Transferred from 01 NCAC 04H .0207 Eff. June 1, 2013
Repealed Eff. July 1, 2016.

Chapter 15 Alcoholic Beverage Control Commission

Subchapter A

14B NCAC 15A .0101 Purpose

The Alcoholic Beverage Control System shall provide regulation and control of the manufacture, distribution, advertisement, sale, possession and consumption of alcoholic beverages to serve the public health, safety and welfare in accordance with this Chapter.

History

Authority G.S. 18B-100; 18B-105; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0101 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14B NCAC 15A .0102 Location, Addresses and Business Hours

The principal office of the North Carolina Alcoholic Beverage Control Commission is located at 400 East Tryon Road, Raleigh, North Carolina 27610. The mailing address is 4307 Mail Service Center, Raleigh, North Carolina 27699-4307. The telephone number is (919) 779-0700. The Commission's email address is contact@abc.nc.gov. The Commission's website address is https://abc.nc.gov. The principal office is open to the public during regular business hours, from 8:00 a.m. to 5:00 p.m., Monday through Friday. Permit applications received after 3:00 p.m. shall not be processed until the following business day.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. December 1, 2012; January 1, 2011; August 1, 2010; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0102 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019; February 1, 2019; April 1, 2018.

14B NCAC 15A .0103 Definitions

(a) The following definitions apply in this Chapter:

(1) "Administrator" means the principal administrative officer of the Commission.

(2) "Alcohol law enforcement agent" or "ALE agent" means an enforcement agent of the Alcohol Law Enforcement Branch, North Carolina Department of Public Safety.

(3) "Applicant" means any person who requests the issuance of a permit from the Commission, unless the context clearly means otherwise.

(4) "Brand," in relation to wines, means the name under which a wine is produced. A brand shall not be construed to mean a class or type of wine, but all classes and types of wines sold under the same brand label shall be considered a single brand. Differences in packaging such as a different style, type, or size of container shall not be considered different brands.

(5) "Branded merchandise" means items, including glassware, cups, signs, t-shirts, hats, and other apparel, which bear the brand of the alcoholic beverage being served, or the brand of the brewery, winery, or distiller whose alcoholic beverages is being served, at a tasting conducted pursuant to G.S. 18B-1114.1, 18B-1114.5 or 18B-1114.7.

(6) "Brokerage" means a business that brokers in the State the sale of spirituous liquor on behalf of a spirituous liquor supplier.

(7) "Brokerage representative" means an individual who promotes spirituous liquor on behalf of a brokerage.

(8) "Chairman" means the chairman of the Commission.

(9) "Contractor" means the person or persons responsible for carrying out the storage and distribution of spirituous liquors at the State ABC warehouse.

(10) "Distiller representative" means an individual who promotes spirituous liquor on behalf of a distiller, or otherwise represents a distiller.

(11) "Distressed liquor" means liquor which is not saleable due to adulteration or damage to the bottle, label, or tax seal.

(12) "Industry Member" means any wholesaler, salesman, brewery, winery, bottler, importer, liquor importer/bottler, distiller, distiller representative, brokerage, brokerage representative, supplier representative, rectifier, nonresident vendor, vendor representative, or affiliate thereof, that sells or solicits orders for alcoholic beverages, whether or not licensed in this State.

(13) "Permittee" means a person to whom a permit has been issued by the Commission.

(14) "Rectifier" means a permittee that processes spirituous liquor by cutting, blending, mixing, or infusing the spirituous liquor with any ingredient that reacts with the constituents of the distilled spirits and changes the character and nature, or standards of identity, of the distilled spirits. "Rectifier" does not include a person who extracts spirituous liquor by original or continuous distillation, or who mixes spirituous liquor with other ingredients for immediate consumption.

(15) "Retail permittee" or "retailer" means any permittee holding a retail alcoholic beverage permit issued pursuant to the authority of G.S. 18B-1001 but does not include a non-profit or political organization that has been issued a special one-time permit pursuant to the provisions of G.S. 18B-1002(a)(2) or (5).

(16) "State ABC warehouse" means the contractor-operated facility or facilities storing spirituous liquors on behalf of the Commission pursuant to G.S. 18B-204, or, in cases of emergency, the facility or facilities operated by the State for the purpose of storing spirituous liquors.

(17) "Spirituous liquor supplier" means a distiller, liquor importer/bottler, or rectifier.

(18) "Supplier representative" means, as the term is used in G.S. 18B-1114.7, an individual who promotes on behalf of a spirituous liquor supplier, or otherwise represents a spirituous liquor supplier.

(19) "Vendor" means any brewery, winery, bottler, malt beverage or wine importer, or nonresident malt beverage vendor or nonresident wine vendor as those terms are used in G.S. 18B-1113 and 18B-1114.

(20) "Vendor representative" means any person who holds a permit issued pursuant to G.S. 18B-1112.

(21) "Wine" means both fortified wine and unfortified wine.

(b) The definitions in Chapter 18B apply to the rules in this Chapter.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. November 1, 2010; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0103 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14B NCAC 15A .0104 Payment of fees and fines

(a) Payment of fees and fines owed to the Commission may be paid by certified check, cashier's check, money order, electronic payment, or Discover, Mastercard, or Visa credit cards. However, payments for permit renewals for more than nine locations shall not be made by credit card.

(b) Credit card and electronic payments may be made online through the Commission's website.

History

Authority G.S. 18B-100; 18B-104; 18B-206; 18B-207; 18B-902; 18B-903
Eff. July 1, 2018.

14B NCAC 15A .0201 Commission

The North Carolina Alcoholic Beverage Control Commission shall be composed of a chairman and two associate members.

The chairman shall have the powers and perform the duties prescribed by the Commission including the authority to appoint, promote, demote, and discharge all subordinate officers and employees of the Commission.

The Commission shall have all the authority and duties given it by the provisions of the North Carolina General Statutes.

History

Authority G.S. 18B-100; 18B-200; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0201 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .0202 Commission Meetings

The Commission shall meet in monthly sessions open to the public in order to make final decisions on hearing cases, to adopt, amend or repeal alcoholic beverage control rules, and to consider and act upon any other business pending before the Commission. The Commission may call special meetings in addition to the monthly meetings to consider and act upon any unfinished business pending before the Commission.

The press shall be notified of the time and place of both monthly and special meetings.

The Commission may hold executive sessions with regard to personnel matters. These sessions are not open to the public nor is the press notified of these sessions.

Minutes of all Commission meetings shall be kept on file.

History

Authority G.S. 18B-100; 18B-200; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0202 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .0203 Administrative Functions

The principal administrative officer shall be the administrator who executes rules, policies and procedures governing the sale of alcoholic beverages and coordinates the functions of the Commission with local boards and industry.

History

Authority G.S. 18B-100; 18B-200(d); 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0204 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .0204 Legal Functions

The Legal Division processes cases involving permittees charged with violations of the ABC laws, and represents the Commission in contested cases before the Office of Administrative Hearings. Legal staff may also serve as hearing officers in cases filed under Article 12 of Chapter 18B.

History

Authority G.S. 18B-100; 18B-200(d); 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0205 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .0301 Distribution, Inspection and Copies of Abc Laws

(a) Distribution of Rules and Statutes. The Commission shall distribute at no charge one copy of Chapter 18B of the General Statutes and the Commission's Rules to each local ABC board, each ALE agent, ABC officer and local law enforcement officer employed by a contracting agency pursuant to G.S. 18B-501(f).

(b) Purchasing Copies of Documents. Copies of the following documents are available from the Commission:

(1) Chapter 18B of the General Statutes and the Commission's Rules;

(2) ABC Retail Guide; and

(3) Public records retained by the Commission.

Copies of the above documents are available at the "actual cost" as defined in G.S. 132-6.2(b) for making the copies and the mailing cost, if applicable. The Commission shall provide its "actual cost" of documents specified under Subparagraphs (b)(1) and (2) of this Rule on the Commission's website. Persons requesting copies of the above documents shall make payment by certified check, cashier's check, money order, or credit card to the Commission prior to receiving any copies of the above documents.

(c) Online Documents. Copies of Chapter 18B of the General Statutes and Commission rules, forms, minutes and reports shall be made accessible online on the Commission's website without charge at https://abc.nc.gov/.

History

Authority G.S. 12-3.1; 18B-100; 18B-207
Eff. July 1, 1992
Amended Eff. November 1, 2010
Transferred and Recodified from 04 NCAC 02R .0303 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14b NCAC 15A .0302 Fee for Computer Services

Fees for data processing services shall be determined by the Commission in accordance with G.S. 132-6.2(b) and shall be paid in advance by certified check, cashier's check, money order, or credit card. The requester shall request and receive a quote from the Commission prior to payment of requested services.

History

Authority 18B-100; 18B-207; 132.6.2; 150B-19(5)(e)
Eff. July 1, 1992
Amended Eff. November 1, 2010
Transferred and Recodified from 04 NCAC 02R .0304 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14B NCAC 15A .0401 Petition for Adoption of Rules

(a) Any person wishing to submit a petition requesting the adoption, amendment, or repeal of a rule by the Commission shall address the petition to the North Carolina Alcoholic Beverage Control Commission, Chief Counsel, 4307 Mail Service Center, Raleigh, North Carolina 27699-4307.

(b) Contents. In addition to the proposed text of the requested rule change, a statement of the effect of the change, and the name and address of each petitioner, the petition may also contain the following information:

(1) summary of the proposed rule's contents;

(2) reasons for the adoption, amendment or repeal of the proposed rule;

(3) citation of authorities showing the legality of the proposed adoption, amendment or repeal of the rule;

(4) effect of existing rules or orders;

(5) any data supporting the proposal; and

(6) effect of existing rules on existing practices in the area involved.

History

Authority G.S. 18B-100; 18B-207; 150B-20(a)
Filed November 24, 1981
Legislative Delay Eff. December 31, 1981
Eff. January 12, 1982
Amended Eff. August 1, 2010; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0402 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14B NCAC 15A .0402 Administrative Action

Based on a study of the petition and other supporting material submitted in accordance with Rule .0401(b) of this Section, the Commission shall deny the petition or initiate rule-making proceedings within a reasonable time following submission of the petition.

History

Authority G.S. 18B-100; 18B-207; 150B-20
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0403 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14B NCAC 15A .0403 Notice of Rule-Making Hearings; Mailing List

Mailing List. Any person desiring to be placed on the mailing list in accordance with G.S. 150B-21.2(d) for the rule-making notices may file a request in writing, furnishing the person's name, email and mailing address to the Commission.

History

Authority G.S. 18B-100; 18B-207; 150B-21.2
Eff. January 1, 1982
Amended Eff. July 1, 1992; August 1, 1988; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0404 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14B NCAC 15A .0404 Rule-Making Hearing

(a) Location. Unless otherwise stated in a particular rule-making notice, rule-making hearings shall be held in the administrative hearing room of the Commission's principal office.

(b) Oral Presentations. Any person desiring to present oral data, views or arguments on the proposed rule shall file a written notice of that desire with the Legal Division of the Commission. The notice of the oral presentation may contain a brief summary of the individual's or organization's views with respect to the proposed adoption, amendment or repeal of a rule, and a statement of the length of time the speaker would like to speak.

(c) The Chairman shall preside at the rule-making hearing and shall ensure that each person participating is given an opportunity to present oral arguments, comments and data supporting the person's position. The Chairman in open session may set the time limits on oral presentations during the hearing based on the number of people wishing to speak and the amount of time allocated to the public hearing.

History

Authority G.S. 18B-100; 18B-207; 150B-21.2(e)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0405 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14B NCAC 15A .0501 Revocation or Suspension of Permit

The Commission may revoke or suspend the permit of any person who violates any order of the Governor issued pursuant to G.S. 18B-110 when the sale of alcoholic beverages is suspended in any area of the State pursuant to a state of emergency as declared by the Governor in accordance with Article 1A of Chapter 166A of the General Statutes.

History

Authority G.S. 18B-110; 18B-104; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0502 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14B NCAC 15A .0601 Issuance: Grounds

Upon request of an aggrieved party, except where the Commission for good cause finds issuance of a ruling undesirable, the Commission shall issue a declaratory ruling if the request for such a ruling will:

(1) determine the validity of a rule previously adopted by the Commission; or

(2) determine the applicability of a particular statute or rule administered or adopted by the Commission to a given specific fact situation.

History

Authority G.S. 18B-100; 18B-207; 150B-4
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0602 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .0602 Request for Declaratory Ruling

(a) All requests for a declaratory ruling to contest the validity of a rule adopted by the Commission shall supply the following information:

(1) name and address of person aggrieved;

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

(3) a brief statement of the manner in which the person aggrieved is affected or may be affected by the statute or rule;

(4) names and addresses of additional third persons known to the person aggrieved who may possibly be affected by the requested ruling;

(5) statement of all material facts;

(6) statement whether or not the person aggrieved is aware of any pending Commission action or court action that may bear on the applicability of the statute or rule to the person's particular situation;

(7) statement of the arguments and legal authority supporting the person's position on the applicability of this statute or rule; and

(8) statement of whether or not a conference is desired and reasons for requesting conference.

The person aggrieved shall sign and verify the request before an officer qualified to administer oaths that the information supplied in the request form is true and accurate.

(b) The request and any supporting materials relevant to the request shall be sent to the North Carolina Alcoholic Beverage Control Commission, 4307 Mail Service Center, Raleigh, North Carolina 27699-4307.

(c) The Commission shall either deny the request, stating the reasons therefore, or issue a declaratory ruling. The Commission shall deny a request for a declaratory ruling when the Commission determines that:

(1) the request does not comply with the procedural guidelines within Paragraphs (a) and (b) of this Rule;

(2) the Commission has previously issued a declaratory ruling on substantially similar facts;

(3) the Commission has previously issued a final agency decision in a contested case on substantially similar facts;

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

(5) the subject matter is one concerning which the Commission is without authority to make a decision binding the Commission or the petitioner;

(6) the petitioner is not aggrieved by the rule or statute in question or otherwise has no interest in the subject matter of the request;

(7) there is reason to believe that the petitioner or some other person or entity materially connected to the subject matter of the request is acting in violation of the G.S. 18B or the rules adopted by the Commission; or

(8) the subject matter of the request is involved in pending litigation, legislation, or rulemaking.

(d) The Commission shall not issue a declaratory ruling when the petitioner or his or her request is the subject of, or materially related to, an investigation by the Commission or contested case before the Commission.

History

Authority G.S. 18B-100; 18B-207; 150B-4
Eff. January 1, 1982
Amended Eff. November 1, 2010; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0603 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .0603 Grounds for Denial of Ruling on Validity

A request for a declaratory ruling to determine the validity of a rule may be denied unless:

(1) It is shown that since the adoption of the rule by the Commission, circumstances have so changed that a declaratory ruling is warranted; or

(2) It is shown that in the records of the rule-making hearing that was held upon the rule in question, the Commission failed to consider specified relevant matters.

History

Authority G.S. 18B-100; 18B-207; 150B-4
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0604 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .0604 Grounds for Denial: Pending Controversy

History

Status: expired
Authority G.S. 18B-207; 150B-11; 150B-17
Eff. January 1, 1982
Transferred and Recodified from 04 NCAC 02R .0606 Eff. August 1, 2015
Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

14B NCAC 15A .0605 Withdrawal of Request for Declaratory Ruling

A petitioner may ask for a withdrawal of that person's request for a declaratory ruling by filing a written request with the Commission at any time prior to the issuance of a ruling. Upon this request, the Commission shall permit an aggrieved party to withdraw the request for a declaratory except when the Commission determines that other persons regulated by this Rule would benefit from the ruling.

History

Authority G.S. 18B-100; 18B-207; 150B-4
Eff. January 1, 1982
Transferred and Recodified from 04 NCAC 02R .0607 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14b NCAC 15A .0606 Effect of Declaratory Ruling

A declaratory ruling shall be binding upon the Commission in its dealings with the party requesting the ruling unless the Commission finds a misstatement of material fact or the failure to state a material fact, the omission of which makes the request misleading. The Commission, however, shall not be bound by that declaratory ruling in dealing with third parties where the Commission, for good cause, believes that a different course of action is justified and that a ruling should be changed with respect to different persons or fact situations.

History

Authority G.S. 18B-100; 18B-207; 150B-4
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0610 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .0607 Alteration of Declaratory Ruling

The Commission, on its own motion, or upon the motion of any interested person, may change or modify a declaratory ruling previously issued by the adoption of a new or different ruling. Such a subsequent ruling shall apply prospectively only.

History

Authority G.S. 18B-100; 18B-207; 150B-4
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0611 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .0608 Judicial Review of Declaratory Rulings

For purposes of judicial review, the Commission shall preserve any and all requests for rulings, written comments by interested parties, any manuscripts or summaries of oral proceedings, any matter considered by the Commission in making the decision, and the decision, together with the reasons therefor.

History

Authority G.S. 18B-100; 18B-207; 150B-4
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0612 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .0701 Disciplinary Action of Employee

History

Status: repealed
Authority G.S. 18B-100; 18B-202; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
RRC Objection due to lack of authority and lack of necessity Eff. May 21, 1992
Amended Eff. July 6, 1992
Transferred and Recodified from 04 NCAC 02R .0702 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Repealed Eff. September 1, 2019.

14b NCAC 15A .0801 NOTICE OF Alleged violation

If facts reported by a law enforcement officer indicate a violation of the ABC laws, the Commission shall send a notice of alleged violation to the permittee. Service of the notice of alleged violation shall be deemed complete in accordance with G.S. 1A-1, Rule 5(b). The permittee's address as stated on the permit shall be considered the permittee's last known address.

History

Authority G.S. 18B-100; 18B-203(a)(12); 18B-207
Eff. January 1, 1982
Amended Eff. February 1, 2012; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0802 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14B NCAC 15A .0802 Final Administrative Decision: Hearing

History

Status: expired
Authority G.S. 18B-207; 150B-36
Eff. January 1, 1982
Amended Eff. July 1, 1992; September 1, 1988; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0820 Eff. August 1, 2015
Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

14B NCAC 15A .0803 Article 12 Hearings; Petition and Notice

(a) Initiation of Hearing. A hearing under Article 12 of Chapter 18B of the General Statutes (Wine Distribution Agreements Act) shall be commenced by the filing of a petition with the Commission. The petition shall state the party's contentions in detail, and set forth chronologically the events surrounding the winery's termination of the agreement.

(b) Requests for Relief. In any case in which a wholesaler requests that the Commission provide relief in a dispute with a winery under Article 12, the Commission may deem that request to be in the nature of a request for a hearing, and may conduct a hearing to determine if the winery has good cause to terminate an agreement with the wholesaler, or to determine if the wholesaler has rectified the reasons given by the winery for the termination.

(c) Notice of Hearing. A Notice of Hearing shall be mailed to the parties in a dispute under Article 12 at least 15 days prior to the hearing. The notice will be served by certified mail or in accordance with G.S. 1A-1, Rule 4 (j1). In the event service is made by certified mail, the delivery date on the return receipt shall be the date of notice. The notice will contain a short and plain statement of the issues to be resolved by the Commission, the date, time, and place of the hearing, and the name of the hearing officer who will conduct the hearing, if the Commission determines that it will not preside at the initial hearing.

(d) Rules of Procedure. Hearings conducted under Article 12 of Chapter 18B of the General Statutes will be conducted in accordance with the Rules of Civil Procedure as contained in G.S. 1A-1, and the General Rules of Practice for the Superior and District Courts as authorized by G.S. 7A-34 and found in the Rules Volume of the North Carolina General Statutes.

History

Authority G.S. 18B-100; 18B-207; 18B-1205
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02R .0821 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .0804 Article 12 Hearings; Evidence

The provisions of G.S. 150B-29 relating to evidence shall apply to hearings conducted under Article 12 of Chapter 18B of the General Statutes.

History

Authority G.S. 18B-100; 18B-207; 18B-1205
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02R .0822 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .0805 article 12 HEARINGS; FINAL ADMINISTRATIVE DECISION; ORDER

(a) Right to Submit Proposed Findings. The parties in a hearing conducted under Article 12 of Chapter 18B of the General Statutes shall have an opportunity to file proposed findings of fact and conclusions of law within 30 days of the conclusion of the initial hearing.

(b) Recommended Decision. If a hearing conducted under Article 12 is presided over by a hearing officer, the hearing officer shall issue a recommended decision that contains proposed findings of fact and conclusions of law. The hearing officer shall serve a copy of the recommended decision upon all parties and the members of the Commission who will make the final administrative decision. Service shall be in the manner prescribed in Rule .0803(c) of this Section.

(c) Exceptions. The parties to a case heard under Article 12 shall have the right to file written exceptions to a recommended decision by the hearing officer. Exceptions shall be filed with the Commission within 30 days of receipt of the recommended decision.

(d) Hearing Conducted by Commission. In lieu of assigning a hearing officer to preside over the initial hearing, the Commission may conduct the initial hearing. After the time for the filing of proposed findings of fact and conclusions of law by the parties has expired, the Commission will issue a final administrative decision and order that determines the issues set forth in any pre-hearing order.

(e) Petition to Office of Administrative Hearings. In any case heard by the Commission under Article 12 of Chapter 18B of the General Statutes, if the Commission finds evidence of violations of Article 12 of Chapter 18B, or any other ABC law, it may commence proceedings in accordance with the provisions of Rule .0801 of this Section.

History

Authority G.S. 18B-100; 18B-207; 18B-1205; 18B-1207(c)
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02R .0823 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. September 1, 2019.

14b NCAC 15A .0901 Borrowing Money

Before a local board borrows money, it shall consider the following factors:

(1) the number of stores in a service area;

(2) the estimated population in a service area;

(3) the location of stores in a service area;

(4) the nature and amount of the outstanding debt of the local board;

(5) whether the borrowing is for the purchase of fixed assets, inventory or both;

(6) the adequacy of the accounting system used or proposed to be used by the local board;

(7) its compliance with rules of the Commission;

(8) history of operating profits; and

(9) projected profits and ability to retire the debt.

History

Authority G.S. 18B-100; 18B-203(a)(20); 18B-207; 18B-702(r),(u)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0901 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .0902 Maintenance of Working Capital

(a) A local board shall set its working capital requirements at not less than two weeks' average gross sales of the latest fiscal year nor greater than:

(1) four months average of the latest fiscal year for boards with gross sales less than one million five hundred thousand dollars ($1,500,000);

(2) three months average of the latest fiscal year for boards with gross sales greater than or equal to one million five hundred thousand dollars ($1,500,000) and less than fifty million dollars ($50,000,000); and

(3) two months average of the latest fiscal year for boards with gross sales equal to or greater than fifty million dollars ($50,000,000).

(b) A local board is considered insolvent if all of the following conditions apply:

(1) the local board does not adhere to the working capital requirements as stated in Paragraph (a) of this Rule;

(2) the local board's current assets are less than the local board's current liabilities and the current portion of long-term debt;

(3) the local board is unable to pay its debts as they fall due; and

(4) the Commission determines the projected revenues will not meet the projected expenses in the next fiscal year based upon factors including statewide trends in sales and revenues, the status of the local economy, and the local board's projected expenses based upon the prior fiscal year's expenses.

History

Authority G.S. 18B-100; 18B-203(a)(20); 18B-207; 18B-702(g),(u); 18B-805(d)
Eff. January 1, 1982
Amended Eff. November 1, 2011; July 1, 1992; June 1, 1988; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0902 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14B NCAC 15A .0903 Deposits

(a) Each local board shall designate as its official depositories one or more banks or trust companies in this State.

(b) The amount of funds on deposit in an official depository or deposited at interest shall be secured as provided in the Rules of the Local Government Commission at 20 NCAC 07, which are incorporated herein by reference, including subsequent amendments and editions.

History

Authority G.S. 18B-100; 18B-207; 18B-702(t),(u)
Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0903 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14B NCAC 15A .0904 Investments

(a) Each local board shall adopt an investment program suitable to its own needs and situation. The investment program shall be designed so that investments and deposits at interest can be converted into cash when needed.

(b) The finance officer shall manage the investment program subject to the directives and restrictions imposed by the local board and within the restrictions of applicable statutes.

History

Authority G.S. 18B-100; 18B-207; 18B-702(t),(u)
Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0904 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .0905 Daily Deposits

(a) Each officer whose duty it is to collect or receive moneys of the local board shall deposit the collections and receipts daily into an official depository. If the local board gives its approval, deposits shall be required only when the moneys on hand are equal to or are greater than two hundred fifty dollars ($250.00), but in any event a deposit shall be made of any amount of moneys on hand on the last business day of the month. Deposits in an official depository shall be reported to the finance officer by means of a duplicate deposit ticket.

(b) A change fund necessary for daily operation of an ABC store shall be established by each local board and maintained in a secure place on the store's premises and shall not be subject to the daily deposit rule set forth in Paragraph (a) of this Rule. Each change fund shall be maintained in the amount and place established by the local board.

(c) The finance officer may at any time audit the records maintained by any employee collecting sales revenue and may prescribe the form and detail of these records.

(d) The Commission shall waive or alter the daily deposit requirement set forth in Paragraph (a) of this Rule for any local board upon a written request where security for the funds involved would include a locked fireproof safe or other container designed for the protection of valuable documents or money.

History

Authority G.S. 18B-100; 18B-207; 18B-702(t),(u)
Eff. May 1, 1984
Amended Eff. November 1, 2010
Transferred and Recodified from 04 NCAC 02R .0905 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14B NCAC 15A .0906 Finance Officer: Duties

History

Status: expired
Authority G.S. 18B-702(e)
Eff. May 1, 1984
Amended Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02R .0906 Eff. August 1, 2015
Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

14b NCAC 15A .0907 Annual Independent Financial Audit

(a) Each local board shall have its accounts audited after the close of each fiscal year by an independent certified public accountant. The auditor shall be selected by and report to the local board. The audit contract shall be on a form provided by the Commission. The audit contract shall include a definition of the scope of work, a requirement that the audit be conducted in accordance with generally accepted auditing standards, and a requirement that all audited financial statements be prepared in accordance with GASB Statement 34. The audit report is due to the Commission 90 days after the end of the fiscal year. The financial officer shall ensure one unbound copy of the audit report and management letter is filed with the Commission.

(b) Each officer and employee of the local board having custody of public money or responsibility for keeping records of financial or fiscal affairs shall produce books and records requested by the auditor or the Commission and shall divulge any information relating to fiscal affairs as requested. If any member of the local board or any employee conceals, falsifies or refuses to deliver or divulge any books, records, or information with intent to mislead the auditor or impede or interfere with the audit, that individual is subject to removal for cause pursuant to G.S. 18B-203(a)(8).

(c) Each local board shall disclose the distribution of profits, including all distributions made pursuant to G.S. 18B-805, in a schedule to be included with the annual audited financial statements. The schedule shall be supported by a listing of each person who receives moneys from the local board, the date of payment and, if applicable, the purpose for which the payment was made and restrictions on use of the payment. The listing shall provide the same totals as were used in the schedule for each type of distribution.

History

Authority G.S. 18B-100; 18B-203(a)(8); 18B-207; 18B-702(s),(u)
Eff. May 1, 1984
Amended Eff. November 1, 2010
Transferred and Recodified from 04 NCAC 02R .0907 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14B NCAC 15A .0908 Accounting System

History

Status: expired
Authority G.S. 18B-702(e)
Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .0908 Eff. August 1, 2015
Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

14B NCAC 15A .0909 Travel Policies

History

Status: expired
Authority G.S. 18B-702(e)
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02R .0909 Eff. August 1, 2015
Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

14B NCAC 15A .1001 Use of Abc Property

Local board members and employees shall not engage in or allow the conduct of any business other than official business on property controlled by the ABC system, including stores, board facilities and warehouses.

History

Authority G.S. 18B-100; 18B-207; 18B-807
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1002 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1002 Consumption of Alcoholic Beverages

(a) No employee of any local board, while on duty during the hours prescribed by the supervisor, shall consume any alcoholic beverages except when that employee is engaged in undercover activities.

(b) No employee of a local board shall consume or permit the consumption of any alcoholic beverages on the premises of an ABC store or warehouse.

(c) No employee of a local board shall be or become intoxicated while on duty or on the premises of an ABC store or warehouse.

History

Authority G.S. 18B-100; 18B-207; 18B-301(f); 18B-807
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1003 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1003 Employment Age Requirement

A person employed by a local board shall be at least 18 years of age unless waived by the Commission. The Commission shall grant a waiver pursuant to this Rule subject to compliance with the conditions and limitations applicable to permittees pursuant to G.S. 95-25.5(j).

History

Authority G.S. 18B-100; 18B-207; 18B-302(h); 18B-807
Eff. January 1, 1982
Amended Eff. February 1, 1986
Transferred and Recodified from 04 NCAC 02R .1004 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14B NCAC 15A .1004 Warehouse: Presence of Unauthorized Person Prohibited

Only personnel employed by a local board may enter a local board's warehouse, except for:

(1) truck drivers who need to enter in order to verify the amount of merchandise delivered;

(2) members of the Commission and its representatives;

(3) local board members; and

(4) persons with approval from the local board or general manager; provided, they are accompanied by a board member or employee of the local board.

History

Authority G.S. 18B-100; 18B-207; 18B-807
Eff. January 1, 1982
Amended Eff. November 1, 2010
Transferred and Recodified from 04 NCAC 02R .1005 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1005 Employment: Removal: of Local Board Member or Employee

History

Status: expired
Authority G.S. 18B-203(a)(8); 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1006 Eff. August 1, 2015
Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

14B NCAC 15A .1006 Personnel Manual

(a) Each local board shall establish rules governing each of the following:

(1) Initial employment of employees, including qualifications and requirements for new employees;

(2) Compensation and benefits;

(3) Hours and days of work, holidays, vacation, sick leave;

(4) Promotion, transfer, demotion, and suspension of employees;

(5) Separation or termination of employees;

(6) Granting of salary increases; and

(7) Employee grievance procedures.

(b) A local board may model its personnel policies and procedures after those adopted by the county or municipality in which it operates.

History

Authority G.S. 18B-100; 18B-203(a)(10); 18B-207; 18B-700(g1); 18B-701(a); 18B-807
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02R .1009 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14b NCAC 15A .1101 Common Interest

It shall be the policy of the Commission to advise and consult with the local boards regarding matters of common interest to the alcoholic beverage control system.

History

Authority G.S. 18B-100; 18B-207; 18B-807
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1101 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .1102 Local Rules

(a) Submitted to Commission. A copy of all rules or amendments thereto that may be adopted by a local board to govern the operation of ABC stores or the enforcement of the ABC laws shall be submitted to the Commission at least 30 days prior to the date on which it is proposed that those rules or amendments are to become effective.

(b) Power to Approve. The Commission shall notify a local board within 15 days of receipt of a proposed rule or amendment if the rules are disapproved or the effective date of the rules will be delayed. Those rules or amendments shall become effective when and as approved by the Commission. If the Commission does not send a notice of disapproval within 15 days of receipt, those rules or amendments shall stand approved.

History

Authority G.S. 18B-100; 18B-203(a)(10); 18B-207; 18B-807
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1102 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14b NCAC 15A .1103 Cost of Audit

The cost of any audit or examination of records required by the Commission pursuant to G.S. 18B-205 shall be borne by the local board being audited or examined.

History

Authority G.S. 18B-100; 18B-205; 18B-207; 18B-702(u); 18B-807
Eff. January 1, 1982
Transferred and Recodified from 04 NCAC 02R .1104 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14b NCAC 15A .1201 Commission Prohibited from Entertaining Complaint

The Commission shall not entertain any complaint or petition protesting the action of any local board in discontinuing the operation of any existing ABC store or in refusing to establish an additional store or stores at any particular location.

History

Authority G.S. 18B-100; 18B-207; 18B-801
Eff. January 1, 1982
Transferred and Recodified from 04 NCAC 02R .1201 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .1202 Commission to Consider Objections

The Commission will consider objections to the opening of new ABC stores or the continuance of existing stores, but only upon showing that the local board concerned has either considered and overruled or ignored such objections.

History

Authority G.S. 18B-100; 18B-207; 18B-801
Eff. January 1, 1982
Transferred and Recodified from 04 NCAC 02R .1202 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .1203 Approval of New Stores

(a) Notice to Commission. The opening of any new ABC stores shall not be considered by the Commission unless a 45-day notice is given to the Chairman as to the intended location of the store and until a public notice of the intention to open the ABC store has been posted for 30 days at the proposed location.

(b) Sign Requirements. In order to meet the public notice requirements of Paragraph (a) of this Rule, the local board shall post at least one sign at the proposed new store site in accordance with all the following requirements:

(1) Dimensions of the sign shall be at least three feet high and three feet wide;

(2) The board shall state on the sign its intention to open an ABC store on the site and shall state the telephone number of the local board where public comments will be received;

(3) Lettering shall be at least four inches in height and background colors shall contrast so that the notice may be discerned by the viewer; and

(4) The sign shall be posted within 10 feet of the property line that is parallel to the public road or sidewalk that will be in front of the proposed store, or if the proposed store will be in an existing shopping center, the sign shall be posted on the front exterior of the existing storefront or building. Lettering on the sign shall face the public road or sidewalk, or if within an existing shopping center, the lettering shall face the exterior of the existing storefront or building.

(c) In considering whether to approve the opening of a new ABC store, in addition to determining whether the health, safety or general welfare of the community would be adversely affected, the Commission shall consider the factors enumerated in G,S. 18B-901(c)(3), (4), (5), (6), and (7).

History

Authority G.S. 18B-100; 18B-207; 18B-801
Eff. January 1, 1982
Amended Eff. November 1, 2010; July 1, 1992
Transferred and Recodified from 04 NCAC 02R .1203 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14b NCAC 15A .1204 New Stores Prohibited in Certain Areas

History

Status: repealed
Authority G.S. 18B-100; 18B-207; 18B-801
Eff. January 1, 1982
Transferred and Recodified from 04 NCAC 02R .1204 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Repealed Eff. December 1, 2019.

14b NCAC 15A .1301 Storage: Deliveries: Security

(a) Storage. Private warehouse contractors performing the receipt, storage, and distribution functions shall:

(1) Allocate space in the State ABC warehouse for each item listed on the price list adopted by the Commission. Space allocated shall be based on sales volume;

(2) Develop and publish a delivery schedule of spirituous liquors to all local boards based on each local board's sales volume and the economical delivery of spirituous liquor to all local boards, subject to approval of the Commission. Orders and shipments over the quantity on the approved schedule may be made as agreed between the local boards and the Contractor. All orders over the quantity on the schedule shall be accepted and delivered when the Contractor determines it is economically feasible based upon the size of the regular load and the size of the additional quantity.

(3) Develop and publish standard operating procedures not covered by these Rules for use by the Contractor and local boards. All procedures published shall be submitted to the Commission.

(b) Deliveries and Shipments. The processing of shipments upon receipt by the local boards shall be as follows:

(1) The Contractor shall provide the local board representative an Off-Loading Check Sheet, an Invoice Bill(s) of Lading, and a Transmittal Sheet with the shipment. The Off-Loading Check Sheet shall reflect the items and quantities being delivered in numerical order, and the quantities shall agree with those on the Invoice Bill(s) of Lading and the Transmittal Sheet;

(2) The system used for off-loading shall be such that an accurate count of the merchandise is made and all overages or shortages can be verified by the local board before any exceptions entries are made on the Transmittal Sheet;

(3) If there are no overages, shortages or breakage, remittance shall be made as referenced in Subparagraph (10) of this Paragraph;

(4) If there is an overage which is accepted by the local board representative, the local board representative shall line through the number of cases invoiced and shall write the correct number of cases on the Transmittal Sheet. The local board representative shall enter the quantity over, the stock code number and an explanation in the "comments" block on the Transmittal Sheet. Upon return of the Transmittal Sheet to the State ABC warehouse, the Contractor shall issue a debit adjustment. The debit adjustment shall have the original invoice number in the purchase order reference box as a cross reference. Remittance shall be made as referenced in Subparagraph (10) of this Paragraph;

(5) If there is an overage that is not accepted by a local board representative, the local board representative shall enter the quantity, the stock code number and an explanation in the "comments" box on the Transmittal Sheet. The driver shall return the merchandise to the State ABC warehouse;

(6) If there is a shortage, the local board representative shall line through the number of cases invoiced and shall write the correct number of cases on the Transmittal Sheet. The local board representative shall enter the quantity under, the stock code number and an explanation in the "comments" box on the Transmittal Sheet. Upon return of the Transmittal Sheet to the State ABC warehouse, the Contractor shall issue a credit adjustment. Remittance shall be made as referenced in Subparagraph (10) of this Paragraph;

(7) The local board representative shall handle breakage discovered during the unloading process as a shortage in shipment in accordance with the procedure set forth in Subparagraph (6) of this Paragraph with the note in the "comments" block of the Transmittal Sheet indicating that the case was returned due to breakage. If the breakage involves a case that is an overage not accepted by the local board representative, the procedures in Subparagraph (5) of this Paragraph shall be followed. Remittance shall be made as referenced in Subparagraph (10) of this Paragraph;

(8) If a local board's shipment includes a shrink-wrapped pallet(s), the local board shall break down the pallet(s) and any overage, shortage, or breakage shall be reported to the State ABC warehouse as follows:

(A) The procedures for marking the Transmittal Sheet in Subparagraphs (4), (5), (6) and (7) of this Paragraph shall be followed; and

(B) The updated Transmittal Sheet shall be emailed, faxed or postmarked to the State ABC warehouse within three days of delivery of the pallet(s);

Remittance shall be made as referenced in Subparagraph (10) of this Paragraph;

(9) Except as provided for in Subparagraph (8) of this Paragraph, the local board representative and the driver shall sign the Transmittal Sheet(s) and the driver shall return the Transmittal Sheet(s) to the State ABC warehouse. The local board representative shall receipt date stamp or sign the distiller's Invoice Bills of Lading copies and the driver shall return them to the State ABC warehouse; and

(10) The local board shall remit payment to the party listed in the "Remit to" information listed on the Invoice Bill(s) of Lading which includes any Bailment Invoices or Surcharge Invoices. The local board shall enter the Invoice Bill of Lading number on each check or each check stub.

(1) The conveyances (trucks and trailers) shall be secured with a serially numbered metal or plastic seal by the Contractor:

(2) The seal numbers will be entered on the "Seal Nos." line of the invoice transmittal sheet. Extra seals shall be included in sealed envelopes for resealing the unit when shipments are destined for more than one local board and for the return trip after final delivery;

(3) The local board general manager or the general manager's designated representative shall check the seal number on the unit with the number on the invoice transmittal sheet upon arrival of a shipment. If the numbers correspond the unit shall be unsealed by the local board's representative. If the numbers do not correspond the Contractor shall be contacted for further instructions; and

(4) The local boards' general manager shall not allow the Contractor's driver or his assistant to remove the seal.

(d) Local boards shall not pick up merchandise from the State ABC warehouse without prior approval from the Administrator or the Administrator's designee.

(e) Local boards may purchase, exchange, or otherwise obtain spirituous liquor from another local board and transport such beverages as necessary for the operation of its ABC stores. Payment for such transactions shall be satisfied as provided by 14B NCAC 15A .1406.

History

Authority G.S. 18B-100; 18B-204; 18B-207; 18B-701(a)(1)
Eff. January 1, 1982
Amended Eff. January 1, 2011; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1302 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14B NCAC 15A .1302 Commercial Transportation: Permit and Bond Required

(a) Any person transporting spirituous liquors into and through the State shall first secure a blanket fleet permit for the transportation of spirituous liquors signed by the Chairman or Administrator. That permit shall designate the spirituous liquors to be shipped.

(b) Driver to Possess Permit. Any person applying for and receiving this permit shall require the driver or operator of any truck, tractor, or trailer to have in the driver's possession a copy of all the documents required pursuant to G.S. 18B-1115(d)(3) and (4).

(c) Commission to Provide Forms. Blank forms for the bond shall be supplied by the Commission upon request. The bond form shall include the name of the principal, the name and address of the surety, the bond number, and an obligation on the surety to insure the permittee's lawful transport and delivery of alcoholic beverages in the State in the amount of one thousand dollars ($1000).

(d) A local board owning and operating trucks for the purpose of transporting spirituous liquors from a local warehouse to the various local stores within a local ABC system shall not be required to give bond and shall be permitted to operate its trucks without a common carrier permit.

History

Authority G.S. 18B-100; 18B-207; 18B-1115
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1303 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14B NCAC 15A .1303 Transportation from State Abc Warehouse

Except as authorized by statute or the rules of the Commission, no spirituous liquors or antique spirituous liquors shall be transported within, into, or through this State for delivery to a local board except from the State ABC warehouse.

History

Authority G.S. 18B-100; 18B-101; 18B-207; 18B-701(a)(1); 18B-1001
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1304 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. January 1, 2018.

14B NCAC 15A .1304 Direct Shipments

(a) A "direct shipment" means a shipment from the distiller or a warehouse of spirituous liquors, or from an antique spirituous liquor seller, directly to a local board without passing through the State ABC warehouse.

(b) In addition to direct shipments authorized pursuant to G.S. 18B-800(c2), direct shipments shall be allowed by the Commission in emergency situations when the State ABC warehouse is closed or in a situation where, for transportation reasons, it is mutually advantageous to local boards and the operator of the State ABC warehouse.

(c) Direct shipment shall have prior written approval from the Commission. Merchandise authorized to be shipped by direct shipment shall be consigned by the State ABC warehouse to the distiller's account in care of the local board. The local board shall acknowledge receipt of the merchandise on the shipping documents and forward them to the Contractor for processing through the accounting system as though the merchandise were shipped from the State ABC warehouse.

(d) Upon compliance with 14B NCAC 15A .1403, an antique spirituous liquor seller may deliver antique spirituous liquor listed in its inventory directly to the local board that placed the special order for that inventory.

History

Authority G.S. 18B-100; 18B-204; 18B-207; 18B-403; 18B-701(a)(1)
Eff. January 1, 1982
Amended Eff. January 1, 2011; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1305 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. February 1, 2021; January 1, 2018.

14b NCAC 15A .1305 transportation between abc boards

(a) A local board may authorize a distiller representative, brokerage representative, or supplier representative, on its behalf, to transport spirituous liquor owned by the local board to another local board that has purchased, exchanged, or otherwise obtained the spirituous liquor pursuant to Rule 14B NCAC 15A .1301(e). The authorization shall be in writing and shall be accompanied by an invoice for the spirituous liquor being transported.

(b) A copy of the authorization to transport the spirituous liquor and the invoice for the spirituous liquor shall be in the possession of the distiller representative, brokerage representative, or supplier representative during the transportation.

(c) The transferring local board shall be responsible for any damage, breakage, or theft of the spirituous liquor being transferred until receipt of the delivery is acknowledged in writing by the receiving local board.

(d) A copy of the acknowledgement of receipt signed by the receiving local board shall be sent by the receiving local board to the transferring local board together with any applicable payment in accordance with Rule 14B NCAC 15A .1406.

(e) A distiller representative, brokerage representative, or supplier representative transporting spirituous liquor pursuant to this Rule shall be exempt from the provisions of G.S. 18B-1115 pursuant to G.S. 18B-1115(g).

History

Authority G.S. 18B-100; 18B-204; 18B-207; 18B-1115(g)
Eff. February 1, 2021.

14B NCAC 15A .1401 Purchase Limited to Approved Brands

History

Status: expired
Authority G.S. 18B-207; 18B-800(c)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1401 Eff. August 1, 2015
Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

14B NCAC 15A .1402 Permit Required to Sell Alcoholic Beverages

No purchase of any spirituous liquor, antique spirituous liquor, or fortified wine for resale in ABC stores shall be made by any local board from any person that does not hold a permit from the Commission authorizing the sale of those beverages to the local boards. However, brands approved for sale in North Carolina on which all taxes have been paid may be purchased for resale in a sale ordered pursuant to G.S. 18B-503. A local board shall purchase fortified wine only from a North Carolina wholesaler who holds an active wine wholesaler permit.

History

Authority G.S. 18B-100; 18B-101; 18B-207; 18B-304(a); 18B-503(e); 18B-1107(a)(2)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1402 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. January 1, 2018.

14B NCAC 15A .1403 Special Orders

(a) Spirituous liquor products shall be approved for purchase from the Special Orders Price List as follows:

(1) When requested by a customer, a local board shall request that the Commission consider approval for inclusion on the Special Orders Price List any spirituous liquor brand or container size that is not otherwise approved.

(2) The Commission shall consider the local board's request, and approve, in accordance with 14B NCAC 15C .0203 and .0204, any brand or product for special order and the addition to the Special Orders Price List, including the special item case size requirement as established by the vendor.

(b) When requested by a customer, a local board shall place an order with the Commission for any special item case on the Special Orders Price List. A local board is not required to place an order on behalf of a customer for a quantity less than the case size requirement established by the vendor. If a customer desires to purchase a quantity less than the special item case size of any product, a local board may purchase any unsold bottles in the special item case for public sale. Any bottles purchased by the local board in excess of the quantity ordered by customers shall not be eligible to be sold below the uniform price pursuant to Rule 14B NCAC 15A .1702.

(c) All customer orders shall be prepaid by the customer prior to the order being placed with the Commission. However, a local board may waive the requirement for the customer to prepay for the order if the local board elects to purchase the portion of the special item case in excess of the quantity ordered by the customer.

(d) Upon receipt of the special order from the local board, the Commission shall place the order with the vendor for shipment to the State ABC warehouse for delivery to the local board by the Contractor with the Contractor's next regularly scheduled shipment to the local board.

(e) For purposes of this Section and implementation of G.S. 18B-800(c1), the following terms mean:

(1) "Special item case" means the vendor's minimum bottle case size for special item products.

(2) "Special item list" means Special Order Price List.

(3) "Special Order Price List" means the list of spirituous liquor products approved by the Commission for sale in the State that are not available through the State ABC warehouse, but are available by special order in accordance with this Rule and Rule 14B NCAC 15A .1407.

History

Authority G.S. 18B-100; 18B-101; 18B-207; 18B-800(c); 18B-804; 18B-807
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1404 Eff. August 1, 2015
Agency did not readopt rule pursuant to G.S. 150B-21.3A by RRC established deadline of May 31, 2017
Eff. January 1, 2018 (Codifier approved request from agency to reuse rule number)
Amended Eff. February 1, 2021.

14b NCAC 15A .1404 Commemorative Bottles

The Commission shall approve local boards' orders and sales of specially designed bottles commemorating particular events, occasions, or ceremonies, provided advertising borne upon commemorative bottles is limited to commemorating historical events of the local board and non-profit, charitable enterprises. Other businesses, other than the distiller, shall not advertise themselves or their products via commemorative bottles.

History

Authority G.S. 18B-100; 18B-207; 18B-807
Eff. January 1, 1982
Amended Eff. November 1, 2010
Transferred and Recodified from 04 NCAC 02R .1405 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. December 1, 2019.

14B NCAC 15A .1405 Records Required

(a) A record of all orders, receipts, invoices, and payments shall be maintained by local boards and be available for inspection by any representative of the Commission during the local board's normal business hours.

(b) Local boards shall retain the following records for the length of time specified in this Paragraph:

(1) sales report until the annual audit is completed;

(2) warehouse report for one year;

(3) daily store report until the annual audit is completed;

(4) stock difference report for three years;

(5) receiving report until the annual audit is completed;

(6) clerk's daily sales and cash report until the annual audit is completed;

(7) paid invoices for three years;

(8) loss and damage claim records for three years; and

(9) required records pursuant to 14B NCAC 15A .1903 and 14B NCAC 15B .0501 related to the sale of mixed beverages for three years.

History

Authority G.S. 18B-100; 18B-203(a)(4); 18B-205; 18B-207; 18B-702(s), (u)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1406 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. March 1, 2021; December 1, 2019.

14B NCAC 15A .1406 Payment

(a) Local boards shall remit full payment of the Contractor's statement of account pertaining to the bailment charge within 30 days of receipt of the statement.

(b) Local boards shall remit full payment of the Contractor's statement of account pertaining to the bailment surcharge within 30 days of receipt of the statement.

(d) Local boards that obtain spirituous liquor from another local board pursuant to 14B NCAC 15A .1301(e) shall remit full payment within 15 days of the transaction.

History

Authority G.S. 18B-100; 18B-203(a)(14) and (15); 18B-207; 18B-702(u)
Eff. May 1, 1984
Amended Eff. November 1, 2010; July 1, 1992
Transferred and Recodified from 04 NCAC 02R .1407 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. January 1, 2020.

14B NCAC 15A .1407 aNTIQUE SPIRITUOUS LIQuOR SPECIAL ORDERS

(a) In addition to the provisions set forth in Paragraph (a) of Rule .1403 of this Section, antique spirituous liquor products shall be approved for purchase from the Special Orders Price List as follows:

(1) Upon receipt of a request for inclusion of an antique spirituous liquor on the Special Orders Price List from either the owner of antique spirituous liquor, a local board at the request of the owner of antique spirituous liquor, or a mixed beverages permittee, the Commission shall consider the request.

(2) The seller of the antique spirituous liquor shall provide to the Commission an inventory of each product to be sold, the seller's selling price per bottle, and a picture or copy of the label of each product legible to the Commission that allows it to identify the product to be sold.

(3) Any antique spirituous liquor brand or product approved by the Commission for sale shall be added to the Special Orders Price List, listed by seller. The Commission shall determine the retail price for each product based on the markup formula pursuant to G.S. 18B-804, set up each product in its pricing system, assign code numbers for each product, and notify the local board and the State ABC warehouse of the price and product code number of each product.

(b) An owner of antique spirituous liquor who wants to sell antique spirituous liquor shall obtain a special one-time permit pursuant to G.S. 18B-1002(a)(4) prior to the sale.

(c) A mixed beverages permittee who wants to order antique spirituous liquor from the Special Orders Price List from an antique spirituous liquor seller shall first obtain an antique spirituous liquor permit pursuant to G.S. 18B-1001(20).

(d) When requested by an antique spirituous liquor permittee, a local board shall place an order from the antique spirituous liquor seller for spirituous liquor on the Special Orders Price list.

(e) Upon delivery of the antique spirituous liquor to the local board by the antique spirituous liquor seller, the local board shall notify the antique spirituous liquor permittee the order is available for pickup and the location where it may be picked up. The local board shall collect payment for the antique spirituous liquor from the antique spirituous liquor permittee at the time of the pickup and shall pay the seller's price to the antique spirituous liquor seller from the proceeds of the sale.

(f) Once the local board has possession of the antique spirituous liquor to be sold, the local board shall notify the Commission and the State ABC warehouse and forward the invoice bill of lading for the product to the State ABC warehouse. The State ABC warehouse shall bill the local board for the bailment and bailment surcharge for the product. The local board shall pay the bailment and bailment surcharge to the Commission.

History

Authority G.S. 18B-100; 18B-101; 18B-207; 18B-800(c); 18B-804; 18B-807; 18B-1001; 18B-1002(a)(4)
Recodified from 14B NCAC 15A .1403(e) through (j) Eff. February 1, 2021
Eff. February 1, 2021.

14b NCAC 15A .1501 Price Increases

Distillers shall not increase F.O.B. prices except at a regularly scheduled effective date of the Commission's official price list, namely: February 1, May 1, August 1, and November 1 of each year.

History

Authority G.S. 18B-100; 18B-203(a)(3); 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1501 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1502 Markup Formula

(a) On every delivered case of spirituous liquors, there shall be an added markup, which is derived by the following formula:

(1) local board markup, plus

(2) (one added to the local board markup) multiplied by the state excise tax, plus

(3) (one added to the local board markup) multiplied by 3.5 percent, equals

(4) the total markup.

(b) The selling price of spirituous liquor is derived by the following steps:

(1) Determine the subtotal case cost by adding base case cost, freight and bailment together;

(2) Multiply the subtotal case cost by the total markup calculated in Paragraph (a) of this Rule, to four decimals;

(3) Add the bailment surcharge;

(4) Divide the result by the number of bottles in the case;

(5) Add five cents ($.05) rehabilitation tax [Add one cent ($.01) for bottles 50 ml. or less];

(6) Add five cents ($.05) for the local board charge [Add one cent ($.01) for bottles 50 ml. or less];

(7) Round the result to an integer evenly divisible by five cents. The break point is one cent, one mill.

(8) The result is the retail selling price per bottle.

History

Authority G.S. 18B-100; 18B-203(a)(3); 18B-207; 18B-804
Eff. January 1, 1982
Amended Eff. November 1, 2010; November 1, 1993; August 1, 1991; November 1, 1988; June 1, 1986
Transferred and Recodified from 04 NCAC 02R .1502 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1503 Special Purchase Allowances; Post Offs; Pass Throughs

(a) Temporary Price Reductions. The Commission will, from time to time, reduce the retail prices of selected liquor products to reflect manufacturer or importer offers of special price reductions.

(b) Selection of Items. Individual liquor products will be selected for retail price reductions based on the following criteria:

(1) Amount of reduction offered by industry member;

(2) Profitability of product;

(3) Sales history of product;

(4) Quantity of product available; and

(5) Marketing support offered by industry member.

(c) Offers of Reductions. In order for a product to be considered, an industry member shall file, within the time set by the Commission, special purchase allowances offered for its products.

(d) Time Periods. If approved by the Commission, the reduction of the retail price of a liquor product will be in effect for a period of 30 days. The Commission will notify industry members and local boards at least 30 days in advance of the effective date of a reduced price for each approved price reduction.

(e) Supplemental Price Lists. The Commission will publish additional price lists indicating price reductions to supplement the quarterly price lists published in February, May, August and November of each year. Supplemental price lists shall be made available by each local board in each of its ABC stores, and all reduced prices shall be posted by either affixing the price of the product to the shelf or affixing a price sticker on the container. Additional signs may be utilized by an ABC store to notify customers of the price reductions.

(f) Reduced Prices Effective Statewide. A local board that sells a product selected for a temporary price reduction shall sell that product at the reduced price for the entire period the lower price is in effect.

History

Authority G.S. 18B-100; 18B-203(a)(3); 18B-207; 18B-702(u); 18B-804(a); 18B-807
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02R .1503 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1601 Permit Required

Permits to store spirituous liquors will be issued to privately-owned bonded warehouses when application has been made to the Commission if the applicant complies with the conditions as set forth in this Section and the requirements of G.S. 18B-900.

History

Authority G.S. 18B-100; 18B-204; 18B-207; 18B-900
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1601 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1602 Inspection Upon Application

Upon receipt of an application for a storage permit from a privately-owned bonded warehouse, the Commission shall cause an inspection to be made of the warehouse to determine whether the warehouse has adequate security measures necessary for safe and proper storage and whether the warehouse is a safe and proper physical structure for the storage of spirituous liquors.

History

Authority G.S. 18B-100; 18B-204; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1602 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1603 Requirements for Storage

All privately-owned bonded warehouses holding permits for the storage of spirituous liquors are required to:

(1) store all liquor separate and apart from other merchandise;

(2) store all military codes separate and apart from State codes;

(3) store all liquor of the same code together and spaced evenly for inventory purposes;

(4) submit to the Commission monthly reports of all spirituous liquors received and delivered so that a perpetual inventory may be kept at the Commission. The report must match the inventory at the bonded warehouse at all times and upon inspection;

(5) take at their expense, and submit to the Commission, at least once every 12 months inventories of all spirituous liquors being held in the bonded warehouse. These inventories may be observed by representatives of the Commission or the State Auditor's Office;

(6) return to the distiller all liquor that is distressed when received within 30 days of its receipt;

(7) destroy all liquor that becomes distressed after it is received, after notifying the distiller and obtaining in writing the distiller's approval to destroy the distressed liquor. The distiller, or a representative of the distiller, shall be given an opportunity to:

(a) be present in person or by video conference at the destruction; or

(b) request proof of destruction by photographs or video recordings showing the distressed liquor before and after the destruction.

The warehouse shall provide the distiller with a written or electronic copy of the Destruction of Unsalable Merchandise Report for the distressed liquor destroyed. A written or electronic copy of the report shall be sent quarterly by the warehouse to the Commission.

History

Authority G.S. 18B-100; 18B-204; 18B-207; S.L. 2018-100, s. 2
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1603 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. April 1, 2019.

14B NCAC 15A .1604 Prohibited Practices

(a) The removal of any spirituous liquors except as provided for in these Rules to any place except the State ABC warehouse, military posts, points outside the State, or the shipping distillery shall be prohibited.

(b) No liquor, distressed or otherwise, shall be given to any distiller representative or employee of the warehouse but, in accordance with Rule .1603 of this Section, shall be returned to the distiller or destroyed and recorded in the Destruction of Unsalable Merchandise Report.

History

Authority G.S. 18B-100; 18B-204; 18B-207; S.L. 2018-100, s. 2
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1604 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. April 1, 2019.

14B NCAC 15A .1605 Inspection of Premises and Records

All warehouses receiving a permit for the storage of spirituous liquors shall make available to the Commission on request all records, invoices, and inventories pertaining to the storage of spirituous liquors. All spirituous liquors inventories shall be kept segregated and filed according to distillery name. These records shall be retained by the warehouse for a period of three years.

History

Authority G.S. 18B-100; 18B-204; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1605 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1606 Suspension of Permit

(a) Notice of suspension and discontinuance of the storage of spirituous liquors by privately-owned bonded warehouses may be given to any person holding storage permits by the Commission. Upon receiving this notice, permittees shall halt the storage of spirituous liquors until the Commission has by appropriate action declared that storage may be resumed in the warehouse. Upon notification, the warehouse permittee shall remove all spirituous liquors to a proper storage facility within 30 days.

(b) The Commission may revoke or suspend the permit of any person violating any order issued pursuant to these Rules.

History

Authority G.S. 18B-100; 18B-104; 18B-204; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1606 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14b NCAC 15A .1701 Removal of Beverages from Abc Stores

(a) Except as allowed pursuant to Paragraph (b) of this Rule, spirituous liquor, either distressed or otherwise, shall not leave the custody of a local board after receipt unless:

(1) The spirituous liquor is sold at retail;

(2) The liquor is returned to the State ABC warehouse; or

(3) The liquor is purchased, exchanged, or otherwise obtained by another local board as provided by 14B NCAC 15A .1301(e).

Any spirituous liquor otherwise leaving the local board is nontaxpaid spirituous liquor.

(b) Distressed Liquor. Distressed liquor shall be given to a public or private hospital for medicinal purposes only or destroyed and the destruction witnessed by the manager, or the manager's designee, in accordance with this Paragraph. The local board shall notify the distiller, or a representative of the distiller, in writing of the intent to destroy the distressed liquor, and obtain the distiller's, or a representative of the distiller's, written approval to destroy the distressed liquor. The distiller, or a representative of the distiller, shall be given an opportunity to:

(1) be present in person or by video conference at the destruction; or

(2) request proof of destruction by photographs or video recordings showing the distressed liquor before and after the destruction.

(c) A Destruction of Unsalable Merchandise Report shall be completed and signed by the party destroying the distressed liquor and the party approving the destruction on behalf of the distiller. The report shall contain the following:

(1) the name of the entity submitting the report;

(2) the date of the report;

(3) the name of the distiller of the distressed liquor;

(4) the product code and brand name of the distressed liquor;

(5) the quantity of bottles being destroyed;

(6) the cost of each bottle;

(7) the total cost of all bottles destroyed;

(8) an explanation of the type of damage that makes the liquor distressed;

(9) the name and title of the distiller, or representative of the distiller, who provided written approval to destroy the distressed liquor; and

(10) the date the approval to destroy was given.

A written or electronic copy of the report shall be sent to the distiller and a written or electronic copy shall be sent quarterly to the Commission by the local board. The original shall be retained by the local board for a period of three years.

(d) No sales of alcoholic beverages shall be made to employees, board members, or other retail customers on credit. This does not prohibit purchases made by the use of credit cards.

History

Authority G.S. 18B-100; 18B-207; 18B-806; 18B-807; S.L. 2018-100, s. 2
Eff. January 1, 1982
Amended Eff. January 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1701 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. April 1, 2019.

14B NCAC 15A .1702 Sale of Certain Beverages Below Retail Price

The Commission may authorize a local board to sell certain alcoholic beverages at below the uniform price.

History

Authority G.S. 18B-100; 18B-207; 18B-804(a); 18B-807
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1702 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1703 Stores: Appearance and State List

(a) Interior Appearance of Stores. Stores shall meet the following standards:

(1) Stores shall be well lit so as an average customer can shop safely and be free of trash;

(2) Floors shall be clean;

(3) Bottles and shelves shall be clean;

(4) Signs and displays shall not be faded or worn;

(5) Televisions that are on shall be tuned to a news, weather or community service channel when not providing liquor related information and the volume shall be kept low enough so as not to interfere with sales;

(6) Smoking shall not be permitted in any stores, warehouses or storage areas; and

(7) Security systems shall be functional.

(b) Exterior Appearance of Stores. Stores shall meet the following standards:

(1) Areas around stores shall be well lit and free of trash; and

(2) Signs shall not be faded or worn.

(c) State List to be Available. Every store shall make available for its customers' inspection a copy of the most current complete state price list and any supplemental price lists. A local board may draw up and post its own price list for items or brands sold in its stores, provided the items and prices listed on the local list are also listed on the complete state list.

History

Authority G.S. 18B-100; 18B-203(a)(20); 18B-207; 18B-807
Eff. January 1, 1982
Amended Eff. November 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1703 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1704 Hours of Sale

(a) No local board shall sell any alcoholic beverages at any store:

(1) after the closing hours as established by the local board; provided, however, that no sales shall be made between 9:00 p.m. and 9:00 a.m.;

(2) on any day the local board so designates;

(3) on Sundays; and

(4) on the following holidays: New Year's Day, Fourth of July, Labor Day, Thanksgiving Day and Christmas Day.

(b) No employee shall enter a store at any time the store is not open, as designated in this Rule, except by permission of the store manager.

History

Authority G.S. 18B-100; 18B-207; 18B-802; 18B-807
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1705 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1705 Customer Service

(a) The manager and the employees in every store shall see that customers are waited on professionally and as soon as possible to reduce customers' wait time. The manager and the employees shall not allow people without the intent to purchase to loiter.

(b) If a local board has a price discrepancy between the price on the shelf or bottle and the cash register, and the price on the shelf or bottle is lower, the local board shall sell the item at the shelf or bottle price and correct the shelf or bottle price to match the Commission's published price.

(c) If a customer inquires about a product that a local board does not carry, the local board's manager or employee shall inform the customer that a case of the product can be special ordered. The manager or employee shall also inform the customer what guidelines must be followed to place the special order.

History

Authority G.S. 18B-100; 18B-203(a)(20); 18B-207; 18B-807
Eff. January 1, 1982
Amended Eff. November 1, 2011
Transferred and Recodified from 04 NCAC 02R .1706 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1706 Purchase-Transportation Permits

History

Status: repealed
Authority G.S. 18B-100; 18B-207; 18B-403; 18B-403.1; 18B-404; 18B-807
Eff. January 1, 1982
Amended Eff. November 1, 2010; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1708 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Repealed Eff. February 1, 2021.

14B NCAC 15A .1707 Alcohol Rehabilitation Collections Permitted

(a) Local boards may provide containers for the collection of voluntary contributions to alcohol rehabilitation programs approved by the Commission.

(b) Collection or solicitation of contributions for any other purpose is prohibited.

History

Authority G.S. 18B-100; 18B-207; 18B-807
Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1709 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1708 Shelf Management

(a) Each local board shall establish and maintain a shelf management plan. The local board shall establish policies within its plan that incorporates the following concepts:

(1) set the higher priced items on the upper shelves at eye level and set the lower priced items on the bottom shelves;

(2) block categories in vertical sets per their category;

(3) arrange bottle sizes so they increase left to right of the same item;

(4) create brand billboard by stacking all brand sizes together;

(5) set shelf space for products considering the following factors:

(A) market share;

(B) promotions;

(D) seasonal sales; and

(E) cross merchandising;

(6) set and maintain all bottles at the front of the shelf; and

(7) discontinue low profit slow moving items.

(b) Each local board shall keep a copy of its shelf management plan at each store location and, upon request, provide a copy to a Commission representative.

History

Authority G.S. 18B-100; 18B-203(a)(20); 18B-207; 18B-807
Eff. December 1, 2011
Transferred and Recodified from 04 NCAC 02R .1711 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1801 Purchase-Transportation Permits for Wine and Liquor

History

Status: expired
Authority G.S. 18B-100; 18B-207; 18B-403
Eff. January 1, 1982
Amended Eff. November 1, 2010; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1801 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. February 1, 2021
Expired Eff. September 1, 2025 pursuant to G.S. 150B-21.3A.

14B NCAC 15A .1802 MIXED beverages PERMIT/INVOICE FORM

(a) A local board in a jurisdiction where the sale of mixed beverages is lawful shall provide to a mixed beverages permittee purchasing spirituous liquor for resale in mixed beverages a Purchase-Transportation Permit/Invoice Form for every purchase of spirituous liquor by the permittee.

(b) Each Purchase-Transportation Permit/Invoice Form shall be printed in duplicate and shall show on the face of the form the information required by 14B NCAC 15B .0501. The local board shall retain one copy in its permanent records for a period of three years and shall give one copy of the Form to the mixed beverages permittee, or the mixed beverages permittee's designated employee or independent contractor, to accompany the spirituous liquor during transport.

History

Authority G.S. 18B-100; 18B-205(b); 18B-207; 18B-404(b); 18B-807
Eff. January 1, 1982
Amended Eff. November 1, 2010; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1802 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. March 1, 2021.

14b NCAC 15A .1803 Cabinet Permittees; Purchase-Transportation Permits

(a) Approved Container Sizes. Local ABC Boards may sell 50 milliliter, 100 milliliter, 200 milliliter, 355 milliliter, and 375 milliliter containers of liquor to a hotel that has been issued a Guest Room Cabinet Permit.

(b) Purchase-Transportation Permits. A local board receiving an order from a guest room cabinet permittee for liquor intended for resale from guest room cabinets shall provide a separate Purchase-Transportation Permit/Invoice form for the permittee in the same manner as for sales of liquor for mixed beverages permittees, as specified in Rule .1802 of this Section. The Purchase-Transportation Permit/Invoice shall contain all the information required by 14B NCAC 15B .0501(b), and in addition, shall show on the face of the form the permittee's Guest Room Cabinet Permit number. One copy of the Purchase-Transportation Permit/Invoice form for guest room cabinet permittees shall be retained by the local board for a period of three years.

(c) Minimum Orders. A local board may require a guest room cabinet permittee to make a minimum purchase of multi-bottle packages or "sleeves" packaged by the manufacturer or bottler, but may not require minimum purchases in case quantities except as authorized by Rule .1404 of this Subchapter.

History

Authority G.S. 18B-100; 18B-205; 18B-207; 18B-404(d); 18B-1001(13)
Eff. July 1, 1992
Amended Eff. November 1, 2010
Transferred and Recodified from 04 NCAC 02R .1803 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1804 Tax Stamp Procedures for Guest Room Cabinet Permittees

(a) A local board selling liquor for resale in guest room cabinets shall either affix the mixed beverages tax stamp to each individual container of liquor sold to a guest room cabinet permittee, or shall give the permittee one tax stamp for each container purchased so the permittee may affix the stamps to the containers so long as the unaffixed stamps conform to the requirements in Paragraph (b) of this Rule.

(b) A local board choosing to give unaffixed mixed beverages tax stamps to a guest room cabinet permittee shall use a stamp substantially different in size and color from the mixed beverages tax stamp used for regular mixed beverages sales.

(c) Each mixed beverages tax stamp for liquor sold to a guest room cabinet permittee shall contain the same information required by Rule .1901 of this Subchapter, except that the permittee's Guest Room Cabinet Permit number shall appear on the stamp in lieu of the permittee's Mixed Beverages Permit number.

(d) Nothing in this Rule shall be construed to allow a local board to give unaffixed mixed beverages tax stamps to a mixed beverages permittee for liquor containers purchased for resale in mixed beverages.

History

Authority G.S. 18B-100; 18B-203(a)(20); 18B-207; 18B-807
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02R .1804 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1805 Local Rules Required for Guest Room Cabinet Sales

(a) Each local board selling liquor to a hotel with a Guest Room Cabinet Permit shall adopt rules governing purchases of liquor by guest room cabinet permittees and shall submit those rules to the Commission for approval as required by Rule .1102 of this Subchapter.

(b) Areas to be regulated shall include:

(1) minimum purchase requirements;

(2) responsibility for affixing tax stamps;

(3) pre-ordering requirements;

(4) special orders; and

(5) times when sales shall be made.

(c) Upon approval by the Commission, the local board shall provide a copy of such rules to each guest room cabinet permittee, and shall have a copy available on the premises of the store from which sales will be made.

History

Authority G.S. 18B-100; 18B-203(a)(10); 18B-207; 18B-701(a)(2); 18B-807
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02R .1805 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .1901 Mixed Beverages Tax Stamp

(a) Except as permitted pursuant to Paragraph (c) of this Rule, prior to the sale of any container of spirituous liquor or antique spirituous liquor to a permittee, the local board shall affix to the container a mixed beverages tax stamp that states the following:

(1) the local board system of sale;

(2) the permittee's transaction number; and

(3) the permittee's Mixed Beverage Permit number.

(b) The mixed beverages tax stamp shall be affixed to any vertical portion of each container. In no event shall the stamp be affixed to the cap or closure of a container. Where a case of one brand has been purchased, the mixed beverages tax stamp shall be affixed to each container in the case and it shall not be sufficient to stamp the exterior of the case.

(c) For sales of liquor to a guest room cabinet permittee, a local board may affix the mixed beverages tax stamp to any portion of the container other than the cap or closure. In lieu of affixing the stamp to each container purchased by a guest room cabinet permittee, a local board may choose to give to the guest room cabinet permittee one tax stamp for each container of liquor purchased for resale from a guest room cabinet, to be affixed by the permittee as authorized by Rule .1804 of this Subchapter.

(d) Mixed beverage permittees may transport no more than eight liters of opened containers of spirituous liquor without a purchase-transportation permit to and from a local board in the non-passenger area of a motor vehicle for the purpose of replacing mixed beverage tax stamps that are defaced or that have worn out numbers.

History

Authority G.S. 18B-100; 18B-203(a)(1); 18B-207; 18B-807; S.L. 2018-100, s. 3
Eff. January 1, 1982
Amended Eff. January 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02R .1901 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015
Amended Eff. April 1, 2019; January 1, 2018.

14B NCAC 15A .1902 Local Board Product Identification

History

Status: expired
Authority G.S. 18B-807
Eff. May 1, 1984
Amended Eff. September 1, 1993; July 1, 1992
Transferred and Recodified from 04 NCAC 02R .1903 Eff. August 1, 2015
Expired Eff. September 1, 2015 pursuant to G.S. 150B-21.3A.

14B NCAC 15A .1903 delivery of mixed beverages permittee orders

(a) A local board's employee or independent contractor may deliver spirituous liquor purchased by a mixed beverage permittee to the permittee's licensed premises if all of the following conditions are met:

(1) the mixed beverages permittee paid the local board for the spirituous liquor prior to transportation to the mixed beverage permittee;

(2) alcoholic beverages are transported from the place of purchase to the permitted premises;

(3) deliveries are made by 9:30 p.m. on the date of purchase;

(4) a copy of the Purchase-Transportation/Invoice Form for the alcoholic beverages being transported is in the possession of the individual during transportation and shall be provided to the mixed beverages permittee at the time of delivery;

(5) the local board's employee or independent contractor obtains a signed acknowledgment of receipt of the alcoholic beverages delivered from the mixed beverages permittee and shall return a copy of the signed acknowledgement to the local board. The local board shall retain a copy of the signed acknowledgement of receipt pursuant to 14B NCAC 15A .1405(b)(9); and

(6) the local board is liable for any damage, breakage or theft of the alcoholic beverages being transported until possession is acknowledged by the mixed beverages permittee.

(b) A local board may contract with an independent contractor to provide delivery of spirituous liquor from an ABC store or the local board's warehouse to a mixed beverages permittee if all of the following conditions are met:

(1) the local board enters into a written contract with the independent contractor;

(2) the independent contractor furnishes proof to the local board that the independent contractor is a motor vehicle carrier with a surety bond in compliance with G.S. 18B-1115(d) and (e);

(3) the contract may be terminated at will by either party without cause;

(4) the independent contractor maintains in force an indemnity and fidelity insurance policy with the local board named as an additional insured in an amount sufficient to insure the value of the alcoholic beverages to be delivered by the independent contractor on the behalf of the local board; and

(5) the independent contractor remains in compliance with this Rule.

(c) An independent contractor may deliver spirituous liquor to a mixed beverages permittee pursuant to a contract with a local board if all of the following conditions are met:

(1) the local board issues a purchase-transportation permit to the independent contractor pursuant to G.S. 18B-403 for the spirituous liquor to be delivered; and

(2) the independent contractor assumes liability for any damage, breakage, or theft of the spirituous liquor to be delivered from the time possession is taken by the independent contractor from the local board until delivery of the spirituous liquor is acknowledged by the mixed beverages permittee that purchased the spirituous liquor.

(d) A local board may charge a mixed beverages permittee any amount of a fee for the delivery of spirituous liquor to a mixed beverages permittee by an employee of the local board. In determining the amount of the fee to be charged for the delivery of spirituous liquor to a mixed beverages permittee by an employee of the local board, the local board shall set the fee structure or rate at a public meeting. In setting the delivery fee structure or rate, the local board shall specify what cost factors the local board considered in determining the fee structure or rate.

(e) If a local board uses an independent contractor to deliver spirituous liquor to a mixed beverages permittee, the local board shall charge a mixed beverages permittee any amount of a fee for the delivery, provided that the amount of the fee covers at a minimum the actual amount paid by the local board to the independent contractor for the delivery. The fee charged pursuant to this Paragraph shall be set in accordance with Paragraph (d) of this Rule.

History

Authority G.S. 18B-100; 18B-207; 18B-701(a)(1) and (2); S.L. 2019-182, s. 25.(b)
Eff. March 1, 2021.

14B NCAC 15A .1904 TRANSPORT OF MIXED beverages PERMITTEE ORDERS

(a) A mixed beverages permittee may contract with an independent contractor to transport alcoholic beverages purchased by the mixed beverages permittee from a local board or from a wine wholesaler to the licensed premises of the mixed beverages permittee if all of the following conditions are met:

(1) the mixed beverages permittee enters into a written contract with the independent contractor;

(2) the independent contractor furnishes proof to the mixed beverages permittee that the independent contractor is a motor vehicle carrier with a surety bond in compliance with G.S. 18B-1115(d) and (e);

(3) the mixed beverages permittee furnishes the local board with a copy of the mixed beverages permittee's contract with the independent contractor. The mixed beverages permittee shall notify the local board within two business days of the termination of any contract the mixed beverages permittee previously had with an independent contractor pursuant to this Rule; and

(4) the independent contractor remains in compliance with this Rule.

(b) A mixed beverages permittee may authorize an independent contractor to transport alcoholic beverages on behalf of the mixed beverages permittee from a local board or a wine wholesaler if all of the following conditions are met:

(1) the independent contractor has in its possession a copy of the executed contract with the mixed beverages permittee at the time the independent contractor receives and possesses alcoholic beverages on behalf of the mixed beverages permittee from a local board or a wine wholesaler;

(2) the independent contractor possesses a purchase-transportation permit issued by the local board to the independent contractor pursuant to G.S. 18B-403 for the alcoholic beverages to be delivered;

(3) the independent contractor possesses a copy of the Purchase-Transportation/Invoice Form for the alcoholic beverages being transported during transportation to the mixed beverages permittee that shows the independent contractor as the agent for the mixed beverages permittee;

(4) the mixed beverages permittee signs an acknowledgment of receipt of the spirituous liquor delivered and a copy of the signed acknowledgement is returned by the mixed beverages permittee to the local board within two business days of the date of the delivery for retention by the local board;

(5) the mixed beverages permittee assumes liability for any damage, breakage, or theft of the spirituous liquor to be transported from the time possession is taken by the independent contractor from the local board until delivery of the spirituous liquor to the mixed beverages permittee; and

(6) the mixed beverages permittee may by contract require the independent contractor to assume liability and maintain in force an indemnity and fidelity insurance policy with the mixed beverages permittee named as an additional insured in an amount sufficient to insure the value of the alcoholic beverages to be delivered by the independent contractor on the behalf of the mixed beverages permittee. The policy may include coverage for any damage, breakage, or theft of the alcoholic beverages to be delivered from the time possession is taken by the independent contractor from the local board or wine wholesaler until delivery of the alcoholic beverages is acknowledged by the mixed beverages permittee that purchased the alcoholic beverages.

History

Authority G.S. 18B-100; 18B-207; 18B-701(a)(1) and (2); S.L. 2019-182, s. 25.(b)
Eff. March 1, 2021.

14B NCAC 15A .2001 local board members and employees

(a) All board members, finance officers and general managers of local boards shall complete a Commission training course for local boards by August 2, 2011. Completion of a Commission training course for local boards prior to May 2, 2011, is acceptable. Thereafter:

(1) All board members shall complete a Commission training course for local boards within 12 months of their initial appointment. All board members shall complete a Commission training course for local boards within 12 months of any subsequent appointment.

(2) All finance officers and general managers shall complete a Commission training course for local boards within 12 months of their initial employment.

(3) After taking the initial Commission training course for local boards, all finance officers and general managers shall complete a Commission training course for local boards every three years that they are employed by a local board.

(b) Non-Commission training courses are not acceptable forms of training and do not meet the requirements of this Rule.

(c) Board members, finance officers and general managers of local boards who do not meet the requirements of this Section are subject to removal by the Commission as referenced by G.S. 18B-704(c)(iii).

History

Authority G.S. 18B-100; 18B-203(a)(21); 18B-207; 18B-701(b); 18B-704(c)(iii); 18B-706(b)
Temporary Adoption Eff. May 2, 2011
Eff. August 1, 2011
Transferred and Recodified from 04 NCAC 02R .2001 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .2002 local board Training Courses

All Commission training courses for local boards shall consist of two hours of ethics as a subject matter and no more than two hours of other subject matter.

History

Authority G.S. 18B-100; 18B-203(a)(21); 18B-207; 18B-701(b); 18B-704(c)(iii); 18B-706(b)
Temporary Adoption Eff. May 2, 2011
Eff. August 1, 2011
Transferred and Recodified from 04 NCAC 02R .2002 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .2003 Participation standards and attendance requirements

(a) Instructors shall require that participants comply with the following participation standards:

(1) Attendees shall direct their attention to the instruction being provided and refrain from engaging in activities unrelated to the instruction.

(2) Attendees shall refrain from engaging in any activities which are distracting to other participants or the instructor, or which otherwise disrupt the orderly conduct of a class.

(b) Instructors may dismiss from a training course any attendee who fails to comply with the participation standards prescribed in Paragraph (a) of this Rule.

(c) Instructors shall not issue a training course completion certificate to any attendee who fails to comply with the participation standards set forth in Paragraph (a) of this Rule, nor shall instructors include the name of such attendee on their reports verifying completion of a training course. Instructors shall submit to the Commission with their reports for the training course a written statement which includes the name of the attendee and the name of the attendee's local board for whom the instructor does not report course credit, details concerning the attendee's failure to comply with the participation standards, and names of other persons in attendance at the class who witnessed the attendee's conduct.

(d) Attendees must complete at least 90 percent of a Commission local board training course to be issued a local board training course completion certificate. Attendees shall not be admitted to a scheduled local board training course after 10 percent of the allotted time has elapsed. Instructors may not make any exceptions to the attendance requirement.

History

Authority G.S. 18B-100; 18B-203(a)(21); 18B-207; 18B-701(b); 18B-706(b)
Temporary Adoption Eff. May 2, 2011
Eff. August 1, 2011
Transferred and Recodified from 04 NCAC 02R .2003 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 22, 2015.

14B NCAC 15A .2101 prior approval from abc commission

(a) Prior to selling spirituous liquor distilled at the distillery on the premises to consumers, a distillery permittee shall submit a written request for approval to the Commission regarding its intent to sell bottles direct to consumers.

(b) The Commission shall verify compliance with G.S. 18B-1105(a)(4).

(c) Within 15 days of receipt of the request, the Commission shall send written notice to the permittee of approval based on satisfying the requirements in Paragraph (b) of this Rule, or of disapproval and the reasons for disapproval.

History

Authority G.S. 18B-100; 18B-207; 18B-1105
Eff. January 1, 2018.

14B NCAC 15A .2102 RETAIL SALES AT DISTILLERy'S Permitted PREMISES

(a) No retail sales shall be made on the distillery's permitted premises on:

(1) New Year's Day;

(2) Fourth of July;

(3) Labor Day;

(4) Thanksgiving Day;

(5) Christmas Day;

(6) Any Sunday; or

(7) Any other day between the hours of 9:00 p.m. and 9:00 a.m.

(b) Any distillery employee involved with the sale of spirituous liquor to the consumer shall be at least 18 years of age.

(c) Distillery products to be sold directly to consumers shall be stored in a retail area in the permitted premises separate from distillery products to be shipped to the State ABC warehouse for sale to local boards.

(d) The distillery permittee shall not sell any bottle of spirituous liquor to a consumer until after the consumer has completed a tour of the distillery.

History

Authority G.S. 18B-100; 18B-207; 18B-802; 18B-1105
Eff. January 1, 2018.

14B NCAC 15A .2103 Distillery Record-Keeping

History

Status: repealed
Authority G.S. 18B-100; 18B-207; 18B-502; 18B-1105
Eff. January 1, 2018
Repealed Eff. February 1, 2021.

14B NCAC 15A .2104 distillery issued purchase-transportation permits

History

Status: expired
Authority G.S. 18B-100; 18B-207; 18B-403
Eff. February 1, 2021
Expired Eff. September 1, 2025 pursuant to G.S. 150B-21.3A.

14B NCAC 15A .2201 Definitions

The following definitions apply to this Section:

(1) "Collector" means a person, other than an industry member, engaged in the collection of one or more wines, decorative decanters of spirituous liquor, or antique spirituous liquors.

(2) "Decorative decanters of spirituous liquor" means the manufacturer's original sealed decanters, limited in quantities as a specialized limited run or as a limited edition, filled with spirituous liquor by a person issued a permit pursuant to state or federal law.

(3) "Private sale" means a sale between two collectors, neither of who are required to hold permits pursuant to Chapter 18B of the General Statutes, except for permits issued pursuant to G.S. 18B-1002(a)(4).

History

Authority G.S. 18B-100; 18B-207; 18B-1002
Temporary Adoption Eff. February 23, 2018 (See S.L. 2017-87, s. 19.(a))
Eff. December 1, 2018.

14B NCAC 15A .2202 Collector transport or sale Permits

To qualify for a permit issued pursuant to G.S. 18B-1002(a)(4), in addition to the applicable information required pursuant to G.S. 18B-900, a collector shall submit an application to the Commission that requires the following information:

(1) the basis for qualification as a collector;

(2) whether the application is for the transportation or sale of wine or spirituous liquors;

(3) a list of the specific wine or spirituous liquors being transported, possessed, or sold, including the name, brand, quantity, and volume of each bottle or decanter;

(4) pictures of the containers of spirituous liquors to be transported, possessed, or sold in sufficient clarity for the content of the labels to be legible;

(5) if the application is for a sale, the details of the method of sale including whether the sale will be as a special order pursuant to 14B NCAC 15A .1403, by auction, or by private sale, including the name of the buyer if by special order or private sale, or the name of the auctioneer if by auction; and

(6) certification under oath to the conditions for permits pursuant to G.S. 18B-900.

History

Authority G.S. 18B-100; 18B-207; 18B-900; 18B-1002
Temporary Adoption Eff. February 23, 2018 (See S.L. 2017-87, s. 19.(a))
Eff. December 1, 2018.

14B NCAC 15A .2203 permissible sales under collector transport or sale permit

(a) Sales of wine or spirituous liquor by the holder of a permit issued pursuant to Rule .2202 of this Section shall be subject to the following conditions:

(1) sales shall only be made to persons at least 21 years of age;

(2) sales shall only be made as a special order pursuant to 14B NCAC 15A .1403, by auction, or by private sale;

(3) sales shall be conducted subject to the dates, time, place, and manner specified in the permit;

(4) no sales shall be made to a person who is intoxicated as defined in 14B NCAC 15B .0101(2); and

(5) the quantity of wine or spirituous liquor sold to a single buyer shall not be in excess of the limits set forth in G.S. 18B-303, unless the buyer of the wine or spirituous liquor has a valid permit issued pursuant to G.S. 18B-1002(a)(4).

(b) The wine or spirituous liquor sold pursuant to a permit issued pursuant to this Rule shall remain in the possession of the collector until transferred to the buyer.

(c) A permit issued pursuant to G.S. 18B-1002(a)(4) is not required for sales of wine or spirituous liquors by auction pursuant to G.S. 18B-1002.1.

History

Authority G.S. 18B-100; 18B-207; 18B-1002
Temporary Adoption Eff. February 23, 2018 (See S.L. 2017-87, s. 19.(a))
Eff. December 1, 2018.

14B NCAC 15A .2204 special auction permits

(a) To qualify for a permit issued pursuant to G.S. 18B-1002.1, in addition to the applicable information required pursuant to G.S. 18B-900, an auction firm or auctioneer licensed pursuant to Chapter 85B of the General Statutes shall submit an application to the Commission that requires the following information:

(1) a copy of the applicable active license issued by the North Carolina Auctioneers Commission;

(2) the details of the date, time, duration, place, and manner of the auction;

(3) a list of the specific wine or spirituous liquors which may be subject to auction, including the name, brand, quantity, and volume of each bottle or decanter; and

(4) pictures of the containers of spirituous liquors to be sold in sufficient clarity for the content of the labels to be legible.

(b) No permit is required pursuant to G.S. 18B-1002.1 for sale at auction of alcoholic beverages pursuant to a permit issued pursuant to G.S. 18B-1002(a)(1), (2) or (3), or a permit issued pursuant to G.S. 18B-1002(a)(4) when the auction is conducted on the collector's premises and the alcoholic beverages remain in the possession of the collector until transferred to the buyer.

History

Authority G.S. 18B-100; 18B-207; 18B-900; 18B-1002.1
Temporary Adoption Eff. February 23, 2018 (See S.L. 2017-87, s. 19.(a))
Eff. December 1, 2018.

14B NCAC 15A .2205 conditions of sale under special auction permits

Sales at auction of wine or spirituous liquor by the holder of a permit issued pursuant to Rule .2204 of this Section shall be subject to the following conditions:

(1) the auctioneer shall be in physical possession of the wine or spirituous liquor subject to sale at auction;

(2) sales shall only be made to persons at least 21 years of age;

(3) sales shall be conducted subject to the date, time, place, and manner specified in the permit;

(4) no sales shall be made to a person who is intoxicated as defined in 14B NCAC 15B .0101(2);

(5) delivery of possession of a quantity of wine or spirituous liquor sold pursuant to this Rule to a single buyer in excess of the limits set forth in G.S. 18B-303 shall not be permitted unless the buyer at auction of the wine or spirituous liquor has a valid permit issued pursuant to G.S. 18B-1002(a)(4) or otherwise complies with the provisions of G.S. 18B-303;

(6) records of sales maintained in accordance with G.S. 85B-7(d) of an auction conducted pursuant to Rule .2204 of this Section shall be open to inspection by the Commission and law enforcement agents in accordance with G.S. 18B-502; and

(7) purchases by the holder of a permit issued pursuant to Rule .2204 of this Section who bids on and purchases at auction wine or spirituous liquor shall be subject to the conditions, limitations, and requirements of Items (2), (4), and (5) of this Rule.

History

Authority G.S. 18B-100; 18B-207; 18B-303; 18B-502; 18B-1002; 18B-1002.1
Temporary Adoption Eff. February 23, 2018 (See S.L. 2017-87, s. 19(a))
Eff. December 1, 2018.

14B NCAC 15A .2206 Nonprofit sales at raffle or auction

(a) Sales of alcohol under a special one-time permit pursuant to G.S. 18B-1002(a)(5) by a nonprofit organization as a prize in a raffle or at auction shall be sold for off-premises consumption and shall not be consumed on the permitted premises.

(b) Possession of the alcohol sold as a prize at a raffle or at auction pursuant to this Rule shall not be given by the nonprofit organization to the raffle prize winner or buyer at auction until the conclusion of the event or until the time the buyer leaves the event.

(c) Sales of alcohol pursuant to G.S. 18B-1002(a)(5) by a nonprofit organization shall be subject to the following conditions:

(1) sales shall only be made to persons at least 21 years of age;

(2) no sales shall be made to a person who is intoxicated as defined in 14B NCAC 15B .0101(2); and

(3) delivery of possession of a quantity of alcohol sold pursuant to this Rule to a single buyer in excess of the limits set forth in G.S. 18B-303 shall not be permitted unless the raffle prize winner or buyer at auction of the alcohol has a valid permit issued pursuant to G.S. 18B-1002(a)(4) or otherwise complies with the provisions of G.S. 18B-303.

History

Authority G.S. 18B-100; 18B-207; 18B-303; 18B-1002
Eff. April 1, 2019.

14B NCAC 15A .2301 Definitions

As used in this Section:

(1) "Competition" means, as the term is used in G.S. 18B-306, a gathering or activity organized by homemakers at which homemade product is entered to be judged, that is either:

(a) sanctioned by a national or international beer or wine judging program; or

(b) judged by individuals of whom at least 50% are currently certified as judges by a national or international beer or wine judging program.

National or international beer or wine judging programs include the American Homebrew Association/Beer Judge Certification Program, the Cicerone Certification Program, the International Wine and Spirits Guild Certification Program, the American Wine Society Certification Program, and the National Wine School Sommelier Certification Program.

(2) "Contest" means, as the term is used in G.S. 18B-306, a gathering or activity organized by a homemaker club at which homemade product of members of the club is entered to be judged.

(3) "Exhibition" means, as the term is used in G.S. 18B-306, a gathering or activity at which homemade product produced by multiple homemakers is displayed or shown but is not consumed or judged.

(4) "Event" includes an organized affair, exhibition, or competition.

(5) "Family" means a spouse, lineal descendant, ancestor, sibling, spouse's lineal descendant, spouse's ancestor, and spouse's sibling of the homemaker, and the spouse of any of these individuals.

(6) "General public" means any individual not a homemaker, a homemaker's family, or a guest.

(7) "Guest" means an individual known to the homemaker or the homemaker's family who is invited to the event by direct contact, including in person or by telephone, mail, or electronic mail, between the individual and the homemaker or the homemaker's family, and that person's guest.

(8) "Homemade product" means wine or malt beverages produced pursuant to G.S. 18B-306.

(9) "Homemaker" means a person who makes homemade product.

(10) "Homemaker club" means an organization devoted to homemade product that:

(a) has a defined membership with a stated common purpose;

(b) has a written policy for granting membership that includes a written application submitted by each member, both of which may be produced or maintained electronically; and

(c) maintains a list of all active members and their addresses that is present at all organized affairs of the club and is open to inspection by alcohol law-enforcement agents upon request.

(11) "Organized affair" means, as the term is used in G.S. 18B-306, a gathering or activity, other than a competition or exhibition, organized in whole or part by homemakers that includes as one of its purposes tasting or judging of homemade product. An organized affair includes meetings of a homemaker club, and a home product production educational meeting that meets the requirements of Rule .2305 of this Section, if tasting of homemade product is included as part of the meeting.

(12) "Tasting" means, as the term is used in G.S. 18B-306, a gathering or activity at which samples of one or more home products are given for immediate consumption by a homemaker to another homemaker, that homemaker's family, or that homemaker's guest or to registered attendees at a home product production education meeting in accordance with the requirements of Rule .2305 of this Section.

History

Authority G.S. 18B-100; 18B-207; 18B-306
Eff. January 1, 2019.

14b NCAC 15A .2302 Competitions

(a) Consumption of homemade products at a competition, other than at a private residence, shall be limited to judges and stewards of the competition, as defined by a national or international beer or wine judging program, who are identified in advance of the competition by the competition organizer. Judges may enter their homemade product in competitions in which they judge provided they do not judge any competition category in which they have entries. A competition may be limited to invitees or open to the general public, except as prohibited in Paragraph (c) of this Rule.

(b) A competition may be held on a premise holding a retail ABC permit if the following conditions are met:

(1) the competition shall be segregated from the remainder of the premises in a separate space with closable doors, or by a barrier that may include curtains, partitions or other structures, that separates the competition area and makes the competition not visible from the portion of the premises where food or beverages are served to the general public during the time of the event;

(2) no homemade product shall be consumed outside of the homemade product consumption area designated pursuant to Subparagraph (1) of this Paragraph during the times any portion of the retail premises is open to the general public;

(3) the retail permittee shall only provide or offer commercial alcoholic products to participants in the competition at the same rate and method as offered to the general public at any other times of that business day that the permittee is authorized to sell; and

(4) homemade product for the competition shall not be stored on permitted premises for more than 48 hours prior to the competition, provided the homemade product is sealed, labeled as "homemade product for competition entry," and segregated from other alcoholic beverages located on the premises. No homemade product shall remain on the permitted premises the day after the conclusion of the competition. All containers of homemade product left on the permitted premises contrary to the provisions of this Rule shall be disposed of by the permittee or the permittee's employee by making the homemade product unsuitable for, or incapable of, being consumed.

(1) the area for consumption of homemade product during a competition shall only be in the areas of the permitted premises without active production;

(2) the competition shall only be held on those portions of permitted premises that are not open to the public;

(3) no homemade product shall be consumed on the commercial permitted premises, except for judges and stewards, during the times any portion of the commercial premises is open to the general public; and

(4) homemade product for the competition shall not be stored on permitted commercial premises for more than 30 days prior to the competition, provided the homemade product is sealed, labeled as "homemade product for competition entry," stored only in post-production areas that may also contained sealed alcoholic beverages produced by the commercial permittee, and segregated from other alcoholic beverages located on the premises. No homemade product shall remain on the permitted premises the day after the conclusion of the competition. All containers of homemade product left on the permitted premises contrary to the provisions of this Rule shall be disposed of by the permittee or the permittee's employee by making the homemade product unsuitable for, or incapable of, being consumed.

(d) Cash prizes may be paid to entrants in a competition from the registration fees collected so long as not all homemakers participating in the event share in the proceeds from the registration fees.

History

Authority G.S. 18B-100; 18B-207; 18B-306
Eff. January 1, 2019.

14B NCAC 15A .2303 eXHIBITIONS

(a) An exhibition may be open to the general public.

(b) An exhibition shall not be held at a private residence.

History

Authority G.S. 18B-100; 18B-207; 18B-306
Eff. January 1, 2019.

14B NCAC 15A .2304 Organized Affairs

(a) Homemade product may be consumed at organized affairs provided that, if the affair is a contest, it is not sanctioned by a national or international beer or wine judging program and no fee is charged to attend or participate, except for fees as authorized pursuant to Rule .2305 of this Section. Consumption at organized affairs shall be limited to homemakers, their families, and their guests.

(b) All judges of a contest shall be members of the homemaker club or their guests. Prizes shall not be awarded as a result of the contest, but homemakers may be recognized for their homemade products.

(1) the area for consumption of homemade product during an organized affair shall be segregated from the portion of the premises open to the general public during the time of the event by vertical boundaries that separate the private event from areas open for public consumption;

(3) the retail permittee may sell or offer commercial alcoholic products the permittee is authorized to sell to persons attending the organized affair on the retail permittee's premises, provided that all alcoholic beverages offered to participants in the organized affair shall be at the same price and method as offered to the general public at any other times of that business day; and

(4) for an organized affair, homemade product may be stored on permitted premises for no more than 48 hours prior to the organized affair, provided that the homemade product shall be sealed, labeled as "homemade product for contest entry," and segregated from other alcoholic beverages located on the premises. No homemade product shall remain on the permitted premises the day after the conclusion of the organized affair. All containers of homemade product left on the permitted premises contrary to the provisions of this Rule shall be disposed of by the permittee or the permittee's employee, by making the homemade product unsuitable for, or incapable of, being consumed.

(d) An organized affair may not be held on a premise holding a commercial ABC permit.

(e) There shall be no admission or entrance fee charged for an organized affair occurring at a private residence.

History

Authority G.S. 18B-100; 18B-207; 18B-306
Eff. January 1, 2019.

14B NCAC 15A .2305 home product production education meeting

A home product production education meeting shall be an organized affair of a state, regional, national, or international homemade beer or wine organization that requires payment of dues for membership, that includes programs to educate and inform homemakers concerning the production of homemade products. Registration may be charged to participate in the educational portions of the program. In addition to educational programs, the home product production education meeting may include homemade product tastings by registered attendees of homemade product brought to the meeting by registered attendees. Commercial alcoholic products may be sold or offered at home product education meetings by a retail permittee, in addition to home products, provided that all commercial alcoholic products offered by the retail permittee to participants at the meeting shall be at the same price and method as offered to the general public at any other times of that business day.

History

Authority G.S. 18B-100; 18B-207; 18B-306
Eff. January 1, 2019.

14B NCAC 15A .2306 POSSESSION, CONSUMPTION, TRANSPORTATION, and disposition of homemade product

(a) Possession and consumption of homemade product shall be limited to persons who are 21 years of age or older. Homemade product shall not be offered, given to, or consumed by the general public.

(b) Except as limited by this Section, events may be held at locations where possession and consumption of malt beverages and unfortified wine are otherwise authorized by law.

(1) at an exhibition;

(2) when the homemade product is under the control of a retail permittee or a commercial permittee in accordance with Rules .2302 and .2304 of this Section; or

(3) when transfer of possession is acknowledged and custody, control and liability is assumed in writing by an individual acting on behalf of the organizer or sponsor of a competition held in accordance with Rule .2302 of this Section.

Only a homemaker shall deliver that person's homemade product to the location of an event.

(d) A homemaker may transport quantities of homemade product up to the limits set forth in G.S. 18B-303(a), provided that the maximum aggregate amount of all homemade product transported by an individual homemaker at any one time for any one event shall not exceed 80 liters.

(e) All containers of homemade product remaining on non-permitted premises after the conclusion of an event, other than events held at a private residence, shall be removed from the premises or the contents of the container shall be disposed of by being made unsuitable for, or incapable of, being consumed at the conclusion of the event.

History

Authority G.S. 18B-100; 18B-207; 18B-306
Eff. January 1, 2019.

14B NCAC 15A .2307 allowable fees

(a) No admission fee shall be charged to persons consuming homemade product.

(b) A fee required to enter into the site of a competition may be charged for a competition, except that no fees shall be charged for a competition occurring at a private residence.

(d) A registration or entry fee may be charged to a homemaker for entering a homemade product to be judged in a competition, or for participating in a home product production education meeting.

History

Authority G.S. 18B-100; 18B-207; 18B-306
Eff. January 1, 2019.

Subchapter B

14B NCAC 15B .0101 Definitions

In addition to the definitions found in Sections 18B-101 and 18B-1000 of the North Carolina General Statutes, the following definitions apply to this Subchapter:

(1) "Employee" means any person who performs a service for any person holding an ABC permit, regardless of whether that person is compensated for the performance of those services.

(2) "Intoxicated" means the condition of a person whose mental or physical functioning appears to be presently substantially impaired as a result of the use of alcohol or other substance, as set forth in G.S. 122C-3(18), and shall be when the person appears to a reasonable observer to be so far under such influence that:

(A) the person's emotions are conspicuously uncontrolled; or

(B) the person's intelligence, sense-perceptions, judgment, continuity of thought or of ideas, speech and coordination of volition with muscular action, or some of these faculties or processes are materially impaired.

(3) "Modified Plan Permits," as used in Rules .0105 and .0106 of this Section, mean on-premise malt beverage permits authorized by elections held pursuant to G.S. 18B-602(a)(4).

(4) "Original container" means a bottle, can, or other alcoholic beverage product container filled by a manufacturer or bottler that has been approved for sale within this State.

(5) "Premises" means the same as defined in G.S. 18B-101(12a). A diagram attached to the investigative report and kept in the permittee's file is prima facie evidence of the premises covered by that permit and for which the permittee and the permittee's employees are responsible. Permits shall authorize the sale and possession or consumption of alcoholic beverages only on the premises described in the investigative report and diagram furnished by the investigating agent.

(6) "Private dining area" means any area of a restaurant or hotel that is or can be closed off from public view.

(7) "Sports and entertainment venue," as used in G.S. 18B-1000(7a) and in this Subchapter, shall include a building, structure, or place in which sporting competitions or contests are held, or shows, performances, or other entertainment is provided.

History

Authority G.S. 18B-100; 18B-207; 18B-1000; 18B-1008
Eff. January 1, 1982
Amended Eff. January 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0101 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Amended Eff. April 1, 2019.

14B NCAC 15B .0102 Applications for Permits: General Provisions

(a) Application forms for all ABC permits may be obtained from the North Carolina Alcoholic Beverage Control Commission's office or website as set forth in 14B NCAC 15A .0102.

(b) An applicant operating noncontiguous buildings or structures, except as permitted pursuant to G.S. 18B-1120, or businesses with separate trade names, shall obtain and hold separate permits for each building or business for which he or she wants permits, and shall pay the application fees as set forth in G.S. 18B-902(d). If the applicant requests a single permit for a business that is operated in contiguous buildings or structures over which the applicant has exclusive control over the buildings and the space between buildings, the Commission shall determine if the business is operating as a single business with the same operating scheme and purpose. If so, the Commission shall issue a single permit for the business.

(c) Each individual required to qualify for an ABC permit under G.S. 18B-900(c) shall file a written application with the Commission and in the application shall state, under oath, the following information:

(1) the name, address, email address, last four digits of social security number, and telephone number(s) of the applicant;

(2) the name of the business and whether the business is a sole proprietorship, corporation, limited liability company, or partnership;

(3) the mailing address and location address of the business for which a permit is desired, and the county, and city if applicable, where the business is located;

(4) the trade name of business;

(5) the applicant's date of birth;

(6) if the business is a corporation or limited liability company, the name and address of the person authorized to accept service of process under G.S. 1A, Rule 4(j) of Commission notices or orders;

(7) if the applicant is a non-resident, the name and address of a resident of this State appointed as the applicant's attorney-in-fact in accordance with Chapter 32C of the General Statutes for purposes of G.S. 18B-900(a)(2)b.;

(8) an actual diagram of the premises showing:

(A) the entrances and exits;

(B) the storage area for alcoholic beverages;

(D) the exterior areas under lease, authority, or control of the applicant;

(9) that the applicant is the actual owner or lessee of the premises, or controls the premises pursuant to a management agreement to operate the premises with the actual owner or lessee, where a permit is sought;

(10) that the applicant is an actual resident of the State of North Carolina or, as a non-resident, has appointed, by a power of attorney, a resident manager, who is an actual resident of this State, to serve as attorney-in-fact who will manage the business and accept service of process and official Commission notices or orders; and

(11) that the applicant is in compliance with G.S. 18B-900(a)(3) through (8).

(d) The following documents completed, signed, notarized, and recorded, as applicable, shall be attached to and submitted with an application, and shall be incorporated as part of the application:

(1) a Zoning and Compliance Form signed by the appropriate officials pursuant to G.S. 18B-901(c);

(2) for applicants for retail permits, a Proof of Alcohol Seller/Server Training Form containing the applicant's name, business name, address, and telephone number, and a certification of completion of an approved Alcohol Seller/Server training class with training date issued by the approved course provider unique to the applicant;

(3) the fingerprint card, Authority for Release of Information Form, and certified check, cashier's check, money order, electronic payment, or credit card payment made payable to the North Carolina ABC Commission in the amount of thirty-eight dollars ($38.00) for payment of a state and national fingerprint based check pursuant to 14B NCAC 18B .0405, which is incorporated herein by reference, including subsequent amendments and editions;

(4) payment of applicable permit fees as authorized in 14B NCAC 15A .0104;

(5) a certified copy of any recorded power of attorney registered in the county where the proposed licensed premises is located;

(6) a Recycling Compliance Form for on-premise malt beverage, fortified wine, unfortified wine, and mixed beverage permits only;

(7) for corporations not already holding a permit in this State, a copy of the Articles of Incorporation and notarized corporate certification of shareholders holding 25 percent or more of the shares of the corporation;

(8) for limited liability companies not already holding a permit in this State, a copy of Articles of Organization and notarized organizational certification of members owning 25 percent or more interest in the company. Additionally, if manager managed, a copy of the Operating Agreement;

(9) a black and white copy of applicant's current photo identification;

(10) a copy or memorandum of the lease showing the applicant as tenant, a copy of the deed showing the applicant as the grantee or owner, or a copy of a management agreement with the owner or lessee of the permitted property showing the applicant has the authority to operate the business at the permitted location;

(11) a diagram of the premises including the details required pursuant to Subparagraph (c)(8) of this Rule; and

(12) a Federal Employer Identification/Social Security Number Verification Form.

History

Authority 18B-100; 18B-207; 18B-900; 18B-901; 18B-902; 18B-903
Eff. January 1, 1982
Amended Eff. January 1, 2011; July 1, 1992; May 1, 1984
Temporary Amendment Eff. October 25, 2013
Amended Eff. September 1, 2014
Transferred and Recodified from 04 NCAC 02S .0102 Eff. August 1, 2015
Recodified Paragraphs (c)-(l) to 14B NCAC 15B .0103 Eff. July 1, 2018
Readopted Eff. July 1, 2018.

14B NCAC 15B .0103 Additional permit limitations and Requirements

(a) No permit for the possession, sale, or consumption of alcoholic beverages shall be issued to any establishment when there are living quarters in or connected to the premises being permitted, and no permittee shall establish or maintain living quarters in or connected to the permittee's licensed premises.

(b) No permit for the on-premises possession, sale, or consumption of alcoholic beverages shall be issued to any establishment unless there are two restrooms in working order on the premises. The Commission shall waive the two-restroom requirement upon a showing by the permittee that it is not possible to have a second restroom in the existing premises due to building restrictions under historical preservation or zoning laws, or building or fire codes.

(c) In determining the areas where alcoholic beverages may be sold and consumed, the Commission shall consider the convenience of the permittee and patrons, allowing the maximum use of the premises consistent with the control of the sale and consumption of alcoholic beverages. Consumption shall not be allowed in areas open to the general public other than patrons. To be approved, any premises shall have delineated vertical boundaries that the consumer would recognize as indicating the boundaries that physically separate areas where consumption is allowed from areas open to the general public other than patrons.

(d) The sale and delivery of alcoholic beverages by permitted retail outlets located on fairgrounds, golf courses, ball parks, race tracks, and other similar public places are restricted to an enclosed establishment in a designated place. No alcoholic beverages shall be sold, served, or delivered by these outlets outside the enclosed establishment, nor in grandstands, stadiums, or bleachers at public gatherings, except as provided in Paragraph (g) of this Rule. As used in this Paragraph, the term "enclosed establishment" includes a temporary structure or structures constructed and used for the purpose of dispensing food and beverages at events to be held on fairgrounds, golf courses, ball parks, race tracks, and other similar places. Sales of alcoholic beverages may be made in box seats only under the following conditions:

(1) table service of food and non-alcoholic beverages are available to patrons in box seats;

(2) no alcoholic beverages are delivered to the box seats area until after orders have been taken; and

(3) box seat areas have been designated as part of the permittee's premises on a diagram submitted by the permittee, and the Commission has granted written approval of alcoholic beverage sales in these seating areas.

(e) If one permittee has more than one location within a single terminal of an airport boarding at least 150,000 passengers annually and that permittee leases space from the airport authority, the permittee in such a situation may:

(1) obtain a single permit for all its locations in the terminal;

(2) use one central facility for storing the alcoholic beverages it sells at its locations; and

(3) pool the gross receipts from all its locations for determining whether it meets the requirements of G.S. 18B-1000(6) and 14B NCAC 15B .0514.

(f) Unless the business otherwise qualifies as a wine shop primarily engaged in selling wines for off-premise consumption, a food business qualifies for an off-premise fortified wine permit only if it maintains an inventory of staple foods worth at least one thousand five hundred dollars ($1,500) at retail value. Staple foods include meat, poultry, fish, bread, cereals, vegetables, fruits, vegetable and fruit juices, and dairy products. Staple foods do not include coffee, tea, cocoa, soft drinks, candy, condiments, and baked goods ingredients, except for ingredients also listed as staple foods in this Paragraph.

(g) Notwithstanding Paragraph (d) of this Rule, holders of a retail permit pursuant to G.S. 18B-1001(1) may have in-stand sales pursuant to G.S. 18B-1009, provided that:

(1) the permittee or the permittee's employee shall not wear or display alcoholic beverage branded advertising;

(2) the permittee or the permittee's employee shall not use branded carrying trays, coolers, or other equipment to transport malt beverage products;

(3) the permittee or the permittee's employee may display the malt beverage product names and prices provided that all of the product names are displayed with the same font size and font style; and

(4) in-stand sales shall cease, whichever is earlier, upon the cessation of other malt beverage sales otherwise in the sports facility or upon the commencement of:

(A) the eighth inning during baseball games. However, if a single ticket allows entry to more than one baseball game, then the eighth inning of the final game;

(B) the fourth quarter during football and basketball games;

(D) the third period during hockey games;

(E) the final 25 percent of the distance scheduled for automotive races; and

(F) the final hour of the anticipated conclusion of a contest or event for all other events.

History

Authority G.S. 18B-100; 18B-207; 18B-900; 18B-901; 18B-902; 18B-903; 18B-1000(3); 18B-1001; 18B-1008; 18B-1009
Existing rule text was recodified to 14B NCAC 15B .0109, and current rule text was transferred from 14B NCAC 15B .0102(c)-(l) Eff. July 1, 2018
Readopted Eff. July 1, 2018.

14B NCAC 15B .0104 Nonresident Permittee: Resident Manager Required

All nonresident applicants for retail ABC permits shall appoint a resident of North Carolina as manager of the business for which the permit is sought. In addition, the nonresident applicant shall execute a power of attorney, appointing the resident manager as attorney-in-fact for the nonresident. The power of attorney shall be registered in the county in which the proposed licensed business is located as provided in G.S. 47-28. A certified copy of the duly registered power of attorney shall be submitted with the application of all persons required to file and qualify under G.S. 18B-900(c).

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

History

Authority G.S. 18B-100; 18B-207; 18B-900(a),(c)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0104 Eff. August 1, 2015

14B NCAC 15B .0105 Special Requirements for Restaurants

(a) Requirements to Qualify for Brownbagging, On-premise Fortified Wine, Mixed Beverages, or Modified Plan Permits. To qualify as a restaurant for a Brownbagging, on-premise Fortified Wine or Mixed Beverages Permit, or a Malt Beverages Permit in areas approving on-premise malt beverages under G.S. 18B-602(a)(4), a business shall have an inside dining area set aside for the service of meals that contains seating for at least 36 persons. Food shall be available at all times that alcoholic beverages are being served. After 10:00 P.M., restaurants may offer a partial food menu or prepackaged food in individual servings.

(b) Typical Characteristics. Although a facility need not possess all of the following characteristics to qualify as a restaurant, each is typical of a bona fide restaurant and the Commission shall consider the extent to which a facility possesses these characteristics in deciding whether to issue, suspend, or revoke the permits listed in Paragraph (a):

(1) The facility has a printed menu listing full meals with substantial entrees;

(2) The facility has complete cooking and refrigeration equipment;

(3) The greatest portion of the food sold is prepared in the facility's own kitchen and prepackaged food is only an incidental part of the sales;

(4) The greatest portion of the food sold is consumed on the premises;

(5) There are separate kitchen and service staffs;

(6) Seating for dining customers is primarily at tables;

(7) Only a small portion of the premises is devoted to activities unrelated to the service and consumption of food; and

(8) Sales of food are significantly greater than sales of nonalcoholic beverages, especially nonalcoholic beverages sold as "set-ups."

(c) Requirements for Application. For a restaurant to obtain a permit listed in Paragraph (a), the applicant shall submit to the Commission the appropriate application fee and the following documents:

(1) a completed application on a form provided by the Commission, which includes the full names and addresses of all owners, officers, directors, shareholders owning 25 percent or more of the stock, interest holders holding 25 percent or more of the interest, and the manager; if, however, a corporation holds any other ABC permit, application by the manager is sufficient;

(2) a copy of the restaurant's menu or list of food served;

(3) photographs of sufficient detail to show the following:

(A) entire kitchen, including all equipment;

(B) all dining areas, showing seating arrangements, including patios or outdoor areas where alcoholic beverages will be sold or consumed;

(D) locked storage area or areas for storage of alcoholic beverages; and

(E) front exterior of premises or if establishment is located in an office building, mall or other larger structure, the main entrance.

History

Authority G.S. 18B-100; 18B-207; 18B-900; 18B-901; 18B-902; 18B-1000(6); 18B-1008
Eff. January 1, 1982
Amended Eff. January 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0105 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0106 Special Requirements for Hotels

(a) Requirements to Qualify for Brownbagging, On-premise Fortified Wine, Mixed Beverages, or Modified Plan Permits. To qualify as a hotel for a Brownbagging or a Mixed Beverages Permit, or a Malt Beverage Permit in areas approving on-premise malt beverages under G.S. 18B-602(a)(4), an establishment shall have on or closely associated with its premises a restaurant providing at least 36 seats. The restaurant may or may not be owned by the same person who owns the hotel. (If the restaurant is owned by a person different from the owner of the hotel, permits shall not be issued to the restaurant unless it qualifies under Rule .0105 of this Section).

(b) For a hotel to obtain one of the permits listed in Paragraph (a), the applicant shall submit to the Commission, the appropriate application fee and the following documents:

(1) a completed application on a form provided by the Commission, which includes the full names and addresses of all owners, officers, directors, shareholders owning 25 percent or more of the stock, interest holders holding 25 percent of the interest, and the manager; if, however, a corporation holds any other ABC permit, application by the manager is sufficient;

(2) a copy of the restaurant's menu or a list of food served; and

(3) photographs of sufficient detail to show the following:

(A) entire kitchen including all equipment;

(B) all permanent dining areas, showing seating arrangements, including patio or outdoor areas where alcoholic beverages might be served or consumed;

(D) locked storage area or areas; and

(E) front exterior of hotel and restaurant.

(c) Locations Where Sales Permitted. Brownbagging by patrons, consumption of alcoholic beverages and sales of mixed beverages are allowed at any time during lawful hours in the restaurant and in any lounge or other place that is customarily open to the general public and that is associated with the restaurant. These lounges and other places need not be directly connected to the restaurant as long as the services of the restaurant are available to the lounge at all times that alcoholic beverages are being served. Sales and consumption of mixed beverages are allowed in banquet rooms, convention rooms, suites and similar places not usually open to the general public only during scheduled events and only to persons attending those events. Portable bars may be used for the sale or mixing of mixed beverages in those rooms.

(d) Diagram of Premises. The diagram of the premises submitted with the application for a permit under this Rule and the diagram submitted to the Commission when the permit is issued shall be marked to indicate which spaces are considered part of the restaurant and lounge or other places associated with the restaurant and customarily open to the general public, and which spaces are considered banquet rooms, convention rooms, meeting rooms, suites, and similar places where mixed beverages are to be sold only during scheduled events.

(e) Managers' Receptions. Hotels operating lodging, restaurant and lounge facilities under one set of ABC permits may offer lodging guests up to two alcoholic beverages per guest per day in the price of the room package under the following conditions:

(1) The reception or social hour is held on the licensed premises of the hotel;

(2) The hotel issues a voucher or other proof of guest registration for the beverages that can be used by the guest to obtain the beverage of his choice;

(3) Nonalcoholic beverages are also offered to lodging guests during the function; and

(4) The hotel accounts for the beverages by an internal accounting procedure that insures that the price of each beverage included in the room rate package is the same price as is being charged other patrons in the lounge or restaurant for the same beverage.

(f) Guest Room Cabinet Permits; Application Requirements. Applications for a Guest Room Cabinet permit shall be accepted only from hotels with Mixed Beverages permits, or from hotels simultaneously applying for Mixed Beverages permits.

In addition to the general requirements for permit applications in this Rule and in Rule .0102 of this Section, a hotel applying for a Guest Room Cabinet permit shall submit the following items along with the completed application form and appropriate fee:

(1) List of lodging rooms by room number in which cabinets will be placed;

(2) Total number of lodging rooms and total number of rooms set aside that will not have a cabinet;

(3) Description of cabinets to be installed by the hotel. A manufacturer's brochure describing the cabinet is sufficient, or the permittee may submit photographs and a written description of the lock used on the cabinet; and

(4) Written policies developed by the permittee regarding the procedures that will be implemented by the hotel to:

(A) insure no one under 21 is able to obtain a key to the cabinet;

(B) control inventory;

(D) dispose of all opened alcoholic beverage containers sold from cabinets after guest has checked out; and

(E) maintain adequate numbers of ice and soft drink vending machines elsewhere on the premises.

History

Authority G.S. 18B-100; 18B-207; 18B-900; 18B-901; 18B-902; 18B-1000(4); 18B-1001(13); 18B-1008
Eff. January 1, 1982
Amended Eff. January 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0106 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0107 Special Requirements for Private Clubs

(a) Use of the private club's facility shall not be open to the general public but shall be limited to members of the private club and their guests.

(b) Typical Characteristics. Although a private facility need not possess all of the following characteristics to qualify as a private club, each is typical of a club and the Commission shall consider the extent to which a facility possesses these characteristics in deciding whether to issue, suspend, or revoke a Brownbagging, Fortified Wine or Mixed Beverages Permit:

(1) Membership is subject to stated requirements that tend to show a common bond among members;

(2) Some limit related to the size of the facility is placed on total membership;

(3) All members are allowed to participate in its organizational affairs, including the selection of officers or directors at reasonably frequent intervals;

(4) The club operates pursuant to a charter, articles of association, constitution, or similar basic document and has adopted by-laws, copies of which are provided to each member;

(5) The club has stated objectives of a social, recreational, patriotic or fraternal nature and its activities advance those objectives;

(6) Membership entitles a person to multiple privileges other than the consumption of alcoholic beverages;

(7) Most members hold full rather than limited memberships;

(8) Facilities and activities other than those customarily related to the consumption of alcoholic beverages are available to members;

(9) Some limits are placed on the number of times a guest may use the facility; and

(10) Guests constitute a relatively small portion of the users of the facility.

(c) Mandatory Requirements. To qualify as a private club, a facility shall meet the following requirements concerning membership:

(1) collect an annual membership fee separate from any admission or cover charge, no dues from which shall be more than 30 days past due;

(2) maintain a written policy on the granting of full and limited memberships;

(3) require each prospective member to complete a written application that contains questions directly related to the applicant's interest in the social, patriotic, fraternal or recreational purpose of the club, the applicant's qualifications for membership, and the applicant's background;

(4) retain each completed application, if approved, in the organization's permanent records as long as the individual's membership continues;

(5) issue written or printed evidence of membership to each member, which evidence of membership or other reasonably reliable document of identification shall be in the possession of each member present on the licensed premises;

(6) maintain on the premises a current alphabetical roster of all members and their complete addresses; and

(7) maintain and provide to each member a written policy concerning the use of facilities by guests.

(d) Permit Application Procedures. For a private club to obtain a Brownbagging, or Fortified Wine or Mixed Beverages Permit, the applicant shall submit to the Commission the appropriate application fee and the following documents:

(1) a completed application on a form provided by the Commission, which includes the full names and addresses of all officers and directors (including those chosen by the membership), and the manager;

(2) the written policy on granting of full and limited memberships;

(3) a copy of the membership application form;

(4) a copy of the membership card or certificate to be issued to members;

(5) the written policy on use of facilities by guests; and

(6) the charter, articles of incorporation, constitution, or other basic documents, and the by-laws, if any.

History

Authority G.S. 18B-100; 18B-207; 18B-900; 18B-901; 18B-902; 18B-1000(5); 18B-1008
Eff. January 1, 1982
Amended Eff. January 1, 2011; July 1, 1992; February 1, 1986; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0107 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0108 Illegal Use of Permits: Change of Ownership or Name

(a) No permittee shall allow any other person to use his permit to operate the licensed premises after disposing of his financial interest in the licensed premises.

(b) A permittee shall not pay any profits derived from the operation of the licensed business to any person who neither owns a financial interest in the business nor performs a service for the business. This restriction shall not, however, prohibit a permittee from entering into a lease by which the landlord is entitled to a percentage of receipts in lieu of or in addition to a periodic rent payment.

(c) Change in Ownership. A permit shall automatically terminate whenever any change in the ownership of the business, as provided in G.S. 18B-903(c) occurs. Permits issued for a business in which a change of ownership has occurred shall be returned to the Commission or delivered to the State ALE agent assigned to the area.

(d) Change in Name. When the permittee's name or name of business is changed, the permittee shall apply to the Commission for duplicate permits in accordance with G.S. 18B-903(g).

History

Authority G.S. 18B-100; 18B-207; 18B-903
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0108 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0109 Corporations Holding Permits

Any corporation holding an ABC permit in this State that seeks permits for any additional business location shall have the manager of the new location file the appropriate application and fee, and qualify under G.S. 18B-900(a).

History

Authority G.S. 18B-100; 18B-207; 18B-900; 18B-902(a); 18B-903(d)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0103 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Recodified from 14B NCAC 15B .0103 Eff. July 1, 2018.

14B NCAC 15B .0113 alcohol seller/server training

(a) All applicants applying for retail ABC permits shall submit as part of the application proof of responsible alcohol seller/server training prior to obtaining an ABC permit.

(b) The Commission shall accept documentation provided by an approved course provider or approved corporate, partnership, or limited liability company business permittee, such as a certificate of training or transcript. In the event the approved course provider did not issue a document reflecting completion of training, the applicant may have the course provider sign a form provided by the ABC Commission attesting to completion of this training.

(c) Minimum course content requirements for an approved responsible alcohol seller/server training course shall include North Carolina-specific laws including:

(1) age requirements for possessing, purchasing, and consuming alcoholic beverages;

(2) age requirements for selling and serving alcoholic beverages;

(3) acceptable forms of identification;

(4) methods to detect fake, altered, and imposter forms of identification;

(5) State Dram Shop laws;

(6) sales to intoxicated persons, including:

(A) penalties;

(B) prevention;

(D) methods of detecting intoxication in customers;

(7) sales to underage persons, including:

(A) penalties;

(B) prevention; and

(8) hours of sale and consumption, including clearing of tables;

(9) prohibited conduct on the ABC licensed premises, including:

(A) drug use; and

(B) gambling; and

(10) amounts of alcohol that may be purchased by customers in accordance with G.S. 18B-303.

(d) Responsible alcohol seller/server training courses and providers shall be approved by the Commission before a certificate of training or transcript will be accepted by the Commission for purposes of this Rule. A person seeking to become an approved vendor for alcohol education in North Carolina and a business permittee that provides training for its own employees shall submit the course provider's name, mailing, physical and email addresses, telephone numbers and the contract person's name and contact information, together with a copy of its responsible alcohol seller/server training program course content, to the Commission for approval. The Commission shall approve courses and providers that meet the minimum course content requirements set forth in Paragraph (c) of this Rule. Course approval shall be valid for three years. A course provider's course content shall be submitted to the Commission for approval at least once every three years in order to maintain approved status.

(e) An approved course provider shall update their responsible alcohol seller/server training course content within 30 days of notice from the Commission to the course provider of changes needed in the alcohol education training curriculum to reflect changes in current ABC laws or rules.

History

Authority G.S. 18B-100; 18B-122; 18B-207
Eff. July 1, 2018.

14B NCAC 15B .0201 General Guidelines

(a) The permittee shall ensure that the Commission's rules governing the sale, possession, transportation, storage, and consumption of alcoholic beverages on the licensed premises are adhered to by employees and patrons. Further, a permittee shall ensure that all Commission rules on the operation of a business with ABC permits are adhered to by employees and patrons.

(b) Wrist bands, ink stamps or other similar devices are not reasonable indications of age of a purchaser at the time of sale as referenced by G.S. 18B-302(d)(2).

(c) The permittee is responsible for the actions of all sellers and servers of alcoholic beverages on the permitted premises.

History

Authority G.S. 18B-100; 18B-207; 18B-302(d)(2); 18B-1003(a),(b)
Eff. January 1, 1982
Amended Eff. November 1, 2011; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0201 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0202 Clearing Tables/Counters; Hours for Possession/Removal

(a) Clearing Beverages Off Tables and Counters. All tables and counters shall be cleared of all alcoholic beverages, bottles, cans, glasses and containers by 2:30 a.m. No permittee or his employees shall allow a patron to possess a container of alcoholic beverages after 2:30 a.m.

(b) Removal From Premises. No alcoholic beverages may be removed from any retail licensed premises whenever the sale of alcoholic beverages is prohibited by law.

History

Authority G.S. 18B-100; 18B-207; 18B-1004; 18B-1005(a)(1)
Eff. January 1, 1982
Amended Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0202 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0203 Employee Age Requirement

(a) Age Requirement: Brownbagging, Mixed Beverages and Special Occasions Permits. Persons holding Brownbagging, Mixed Beverages or Special Occasions Permits shall have an employee who is at least 21 years of age in charge of the licensed premises at all times.

(b) Age Requirement: Malt Beverage, Unfortified Wine and Fortified Wine Permits. Persons holding retail Malt Beverage, Unfortified Wine, or Fortified Wine Permits shall have an employee who is at least 18 years old in charge of the licensed premises at all times.

(c) Bartenders: Brownbagging, Mixed Beverages and Special Occasions Permits. No person under the age of 21 may be employed by any permittee to mix drinks containing spirituous liquor.

(d) Waiters and Waitresses. Ages of persons employed in the preparation, serving, sale or delivery of alcoholic beverages at any establishment holding permits for the on-premise sale or consumption of alcoholic beverages are governed by the provisions of The Wage and Hour Act, Article 2A of Chapter 95 of the N.C. General Statutes.

(e) Other Employees: This Rule does not prohibit the employment of a minor by a permittee if the minor does not prepare, serve, sell, or deliver any alcoholic beverages, and if the employment is otherwise lawful under the Wage and Hour Act.

(f) Off-Premise Permits. This Rule does not prohibit the employment of minors at an establishment holding only off-premise permits for the retail sale of malt beverages or wine.

(g) Topless Minors. No permittee may employ or allow any female under the age of 18 to perform any service if the minor exposes to public view or wears transparent clothing that reveals the nipple or any portion of the areola of the breast.

History

Authority G.S. 18B-100; 18B-207; 18B-900; 95-25.5(j)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0205 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0204 Intoxicated Persons

No permittee or his employees shall allow an intoxicated person to consume alcoholic beverages on his licensed premises.

History

Authority G.S. 18B-100; 18B-207; 18B-305
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0206 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0205 Gambling: Gambling Devices Prohibited

(a) No permittee or his employee shall engage in gambling nor allow any other person to engage in gambling on the licensed premises.

(b) No permittee or his employees shall possess or permit the possession by another person of any gambling devices on the licensed premises.

History

Authority G.S. 14-292 through 14-297; 18B-100; 18B-207; 18B-1005(a)(3)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0207 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0206 Illegal Drug Use Prohibited

No permittee or his employees shall possess or use, or knowingly allow any other person to possess or use any controlled substance or other illegal drug in violation of the North Carolina Controlled Substances Act (Article 5 of Chapter 90 of the N. C. General Statutes) on the licensed premises.

History

Authority G.S. 18B-100; 18B-207; 18B-1005(a)(3)
Eff. January 1, 1982
Transferred and Recodified from 04 NCAC 02S .0208 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0207 Disorderly Conduct Prohibited

No permittee or his employee shall engage in an affray or disorderly conduct, or permit any other persons to engage in an affray or disorderly conduct on the licensed premises.

History

Authority G.S. 18B-100; 18B-207; 18B-1005(a)(2)
Eff. January 1, 1982
Transferred and Recodified from 04 NCAC 02S .0210 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0208 Unlawful Possession or Consumption of Alcoholic Beverages

No permittee or his employee shall sell, offer for sale, possess or knowingly permit the possession or consumption on the licensed premises of any kind of alcoholic beverages, the sale or possession of which is not authorized by the ABC laws or by the permits issued to that permittee.

History

Authority G.S. 18B-100; 18B-102(a); 18B-207; 18B-301(f)(4),(6); 18B-1006(c),(d)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0211 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0209 Consumption: Intoxication by Permittee Prohibited

(a) No permittee or permittee's employees shall be on licensed premises permitted under G.S. 18B-1001, 18B-1002, 18B-1114.1 or 18B-1114.5 after consuming alcoholic beverages except under the following conditions:

(1) The permittee or employee is off duty for the remainder of that day or night during which the permittee or employee consumes any alcoholic beverage;

(2) The permittee or employee is out of uniform when uniforms are required to be worn while performing any on duty services; and

(3) The permittee or employee shall not perform any on duty services of any nature while or after consuming alcoholic beverages.

(b) Notwithstanding Paragraph (a) of this Rule, a malt beverage or wine permittee or its employee who is of legal age and who is responsible for ordering or serving alcoholic beverages may sample new malt beverage or wine products as provided by 14B NCAC 15C .0711(b) on the licensed premises. Samples shall not exceed two ounce servings of individual products and the total of the samples shall not exceed eight ounces in one calendar day.

(d) Notwithstanding Paragraph (a) of this Rule, a permittee or the permittee's employees may be on licensed premises after consuming alcoholic beverages pursuant to G.S. 18B-1121(3) and (4) and may serve or pour alcoholic beverages for other persons for the remainder of the day provided the alcohol concentration of the permittee or the permittee's employees who serve or pour remains less than 0.03. The serving or pouring of alcoholic beverages for other persons pursuant to this Paragraph constitutes implied-consent to a chemical analysis of the person's alcohol concentration consistent with G.S. 20-16.2 and G.S. 20-139.1. The failure to submit to a chemical analysis pursuant to this Paragraph shall constitute a violation of the ABC laws.

History

Authority G.S. 18B-100; 18B-207; 18B-1005(b); 18B-1006(d); 18B-1121
Eff. January 1, 1982
Amended Eff. May 1, 1984
Pursuant to G.S. 150B-33(b)(9), Administrative Law Judge James L. Conner, II declared Rule 04 NCAC 02S .0212(b) void as applied in North Carolina Alcoholic Beverage Control Commission v. Midnight Sun Investments, Inc. t/a Tiki Cabaret (03 ABC 1732)
Amended Eff. January 1, 2011
Transferred and Recodified from 04 NCAC 02S .0212 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Amended Eff. April 1, 2019.

14B NCAC 15B .0210 Cooperation with Law Enforcement Officers

No permittee or his employee shall interfere with or fail to cooperate with an ALE agent or any other law enforcement officer in the performance of his duties.

History

Authority G.S. 18B-100; 18B-207; 18B-502
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0213 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0211 Employment of Unsuitable Persons

A permittee shall not employ an unsuitable person in any position involved with the preparation, sale, distribution, or dispensing of alcoholic beverages or place such a person in charge of the licensed premises. For purposes of this Rule, "unsuitable person" includes a person who:

(1) has been convicted of a felony within the preceding three years;

(2) has been convicted of an alcoholic beverage or controlled substances offense within the preceding two years; or

(3) has had any permit for the sale or possession of alcoholic beverages revoked within the preceding three years.

The Commission may waive the provisions of this Rule upon investigation and determination that the restriction would cause undue hardship for the employee or the permittee or otherwise unreasonably interfere with the operation of a licensed establishment.

History

Authority G.S. 18B-100; 18B-207; 18B-1003(c)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0214 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0212 Supervision of Premises

(a) No permittee or his employee shall allow any persons to use the yards or grounds of the licensed premises as a toilet.

(b) A permittee shall keep the licensed premises clean and arranged and well lighted to allow ready access and observation by enforcement officers and to avoid any undue hazards to patrons.

History

Authority G.S. 18B-100; 18B-207; 18B-1005
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0215 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0213 Coin Vending Machines to Dispense Beverages Prohibited

(a) No permittee or his employee shall use or permit the use of any automatically operated or coin vending machines for dispensing alcoholic beverages.

(b) In-room bars or cabinets from which alcoholic beverages are dispensed, that are placed in the lodging rooms of a guest room cabinet permittee, shall not be considered automatically operated vending machines.

History

Authority G.S. 18B-100; 18B-207; 18B-1001(13)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0218 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0214 Trade Name Signs

Within 60 days of receipt of his permanent permit, a permittee shall have at least one sign on the exterior of his premises that states the trade name of his premises as it appears on his permit. The sign shall be maintained on the exterior of the premises at all times.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0220 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0215 Sales Only of Approved Products

Except as otherwise provided in the Commission's rules, no person holding a permit for the retail sale of any alcoholic beverages shall sell, offer for sale, or possess for the purpose of sale any alcoholic beverage product that has not been first approved by the Commission for sale and distribution in the State of North Carolina.

History

Authority G.S. 18B-100; 18B-206; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0222 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0216 Special Orders for Wines

Individuals with an approved special order permit may order and purchase wines not on the Commission's approved list of wines for their personal consumption and for consumption by their bona fide guests. Restaurants with both the appropriate on-premise wine permit and an approved special order permit may order and purchase wine for resale to their patrons. The customer shall be of good character and reputation, have no record of violation of the ABC laws, and certify that his purchase is for the use of himself or bona fide guests or for use at a restaurant holding the appropriate on-premise wine permit. A special order permit is issued at no charge for one year and is good for all purchases made through the same retailer during that year. Orders for these purchases shall be made at licensed retail outlets that in turn place their orders with licensed wine wholesalers. These orders and purchases shall be made in case quantities not exceeding the legal limit for any one purchaser. When the wholesaler or retailer possesses the wine, he shall also possess a copy of the permit. Any wine specially ordered shall meet the standards of identity and labeling requirements for wine set forth in the Subchapter 15C, Section .0400.

History

Authority G.S. 18B-100; 18B-207; 18B-403(a); 18B-1006(c)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0223 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0217 Fill or Refill Original Containers

No permittee shall fill or refill in whole or in part any original container of alcoholic beverages with the same or any other kind of alcoholic beverage, except a bottler, manufacturer, or permittee authorized pursuant to G.S. 18B-1001(1), (2), (3), (4), or (16).

History

Authority G.S. 18B-206(a); 18B-207; 18B-1001
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0224 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Temporary Amendment Eff. November 28, 2017
Amended Eff. August 1, 2018.

14B NCAC 15B .0218 Adulteration of Malt Beverages and Wine Prohibited

Except as provided in the ABC laws, no permittee or his employee shall fortify, adulterate, contaminate, or in any manner change the character or purity of a malt beverage, unfortified wine, or fortified wine product from that as originally marketed, packaged, and sealed by the manufacturer or bottler.

History

Authority G.S. 18B-100; 18B-206(a); 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0226 Eff. August 1, 2015.
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0219 Container Sizes

Fortified wine may be sold in any original container that holds up to five liters, and unfortified wine may be sold in any original container that holds up to 20 liters.

History

Authority G.S. 18B-100; 18B-206; 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; June 1, 1986; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0227 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0220 Dispensing Alcoholic Beverages: Product Identification

(a) Malt Beverages, On-Premises. Malt beverages may be sold by persons holding on-premise permits in the original containers, by the glass, by the mug, by the pitcher, or a single-service and single-use container as defined by FDA Food Code 2009, 1-201.10(B). The brand name of draught malt beverages dispensed in retail outlets shall be shown on the knobs of draught faucets. Covers for these faucets bearing a brand name may be used if the brand name appearing on the cover corresponds with the brand name on the knob of the faucets that are to be used for that brand.

(b) Malt Beverages, Off-Premises. Malt beverages may be sold by persons holding an off-premise permit only in the unopened original container that was filled by the product manufacturer, except as permitted pursuant to G.S. 18B-1001.

(c) Wine, On-Premises. A person holding an on-premises wine permit may sell wine in the unopened original container, by the carafe, by the glass, or a single-service and single-use container. A person holding an on-premises wine permit may sell wine mixed with non-alcoholic beverages by the carafe, by the glass, or a single-service and single-use container. Wine served in carafes, by the glass, or single-service and single-use containers may be dispensed under pressure from nitrogen from sealed bulk containers provided the containers and dispensing systems have been approved by the Commission and the Commission for Public Health. The vintner, brand, and type of wine dispensed by the carafe, glass, or single-service and single-use container, except for the house wine, shall appear on the wine list. Where the wine is dispensed from bulk containers, the vintner, brand, and type shall be shown on the knobs of draught faucets.

(d) Use of Siphons. The use of siphons or pressurized dispensers is allowed if the malt beverage or wine contents are dispensed directly from the original containers.

(e) Mixed Beverages. A person holding a mixed beverages permit may sell mixed beverages in a glass, in a pitcher, or in a single-service and single-use container.

(f) Multi-Use Containers. All multi-use containers used by permittees to serve any alcoholic beverages shall meet the requirements as referenced by FDA Food Code 2009, 3-304.11(a). Multi-use containers include glassware, mugs, pitchers, and carafes.

(g) Incorporation by Reference. The 2009 FDA Food Code, as established by the U.S. Department of Health and Human Services, Food and Drug Administration, is hereby incorporated by reference, excluding subsequent amendments and editions, and may be accessed at no cost at https://www.fda.gov/food/guidanceregulation/retailfoodprotection/foodcode/ucm2019396.htm.

History

Authority G.S. 18B-100; 18B-206; 18B-207; 18B-1001; 130A-248(a)
Eff. January 1, 1982
Amended Eff. June 1, 2013; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0228 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Temporary Amendment Eff. November 28, 2017
Amended Eff. August 1, 2018.

14B NCAC 15B .0221 Destruction of Unconsumed Beverages

Any alcoholic beverages served to a customer that he does not completely consume and that he leaves shall be destroyed immediately, except that a hotel guest cabinet permittee shall not be required to dispose of opened containers of alcoholic beverages sold from an in-room bar or cabinet until after the lodging guest has checked out of the hotel.

History

Authority G.S. 18B-100; 18B-206; 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0229 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0222 Sales on Approved Premises Only: Alteration

(a) Sale, possession, consumption, and storage of alcoholic beverages is prohibited in areas of the premises other than those specifically approved by the Commission for that purpose. The permittee is responsible for any sale, possession, consumption, or storage that takes place on any part of his licensed premises.

(b) Any structural renovation or expansion of the premises that significantly alters or expands the area where alcoholic beverages are to be sold, possessed, stored, or consumed shall be submitted as a proposal in diagram form to the Commission for approval. Upon submission of such a proposal, the Commission may modify the areas previously approved for sale, possession, consumption, and storage.

History

Authority G.S. 18B-100; 18B-207; 18B-901(d)
Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0231 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0223 Happy Hours Regulated

(a) An on-premise permittee or his agent shall not:

(1) sell more than one drink to a patron for a single price;

(2) establish a single price based upon the required purchase of more than one drink; or

(3) deliver more than one drink at one time to a patron for his consumption.

This Rule does not prohibit the sale of pitchers of alcoholic beverages to two or more patrons. This Rule also does not prohibit serving a single carafe or bottle of wine to a single patron.

(b) An on-premise permittee or his agent shall not give away a drink or sell one at a price that is different from the usual or established price charged for the drink for any period of time less than one full business day. Free or reduced drinks under this provision shall be offered to all customers, not just a segment of the population.

(c) For purposes of this Rule, a "drink" contains the amount of alcoholic beverages usually and customarily served to a single patron as a single serving by the permittee. A "drink" may also include two different alcoholic beverages served separately at the same time to a single patron if such "drink" is a customary combination, such as a shot of spirituous liquor with a malt beverage.

(d) An on-premise permittee may include alcoholic beverages in a package offering that includes a meal or entertainment.

(e) The offer of a meal and alcoholic beverage at a single total price is not a violation of this Rule so long as the total price reflects the actual price of the alcoholic beverages and not a reduced price.

History

Authority G.S. 18B-100; 18B-207; 18B-1008
Eff. August 1, 1985
Amended Eff. January 1, 2011; July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0232 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0224 Consumption by Underage Persons

(a) Consumption by Persons Under Age. No permittee or his employees shall knowingly allow a person under the age of 21 to possess or consume any alcoholic beverages on the licensed premises.

(b) Identification. It shall be the duty of the permittee and his employees to determine the age of any person consuming or possessing alcoholic beverages on the licensed premises. Acceptable identification for purposes of determining age shall be a driver's license, a special identification card issued by the North Carolina Division of Motor Vehicles, a military identification card, or a passport.

History

Authority G.S. 18B-100; 18B-207; 18B-302; 18B-1005(a)(1)
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0233 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0225 Private Clubs: General Prohibitions; Guests

(a) Private club permittees or their employees shall not allow any person who is not a member or a guest of a member to purchase or possess alcoholic beverages on the premises.

(b) "House" Guests. No private club permittee or his employee shall admit patrons as "house" guests.

(c) Employee Member. An employee who is also a member of the private club shall not admit a patron as his guest while that employee is on duty.

(d) A member shall designate his own guest. If a member accepts a patron as his guest at the behest of the private club mixed beverages permittee or employee, then the Commission shall consider that member to be acting as the permittee's agent.

History

Authority G.S. 18B-100; 18B-207; 18B-1008
Eff. July 1, 1992
Amended Eff. January 1, 2011
Transferred and Recodified from 04 NCAC 02S .0234 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0226 Private Clubs; Reciprocal Memberships

A private club permittee may offer reciprocal memberships to members of other private clubs under the following conditions:

(1) Reciprocity shall extend only to members of private clubs holding Mixed Beverages or Brownbagging permits issued by the Commission.

(2) All clubs participating in reciprocal membership arrangements shall enter into a written agreement setting forth the terms of their arrangement, and each club shall adopt rules governing the use of their facilities by reciprocal members. The agreement and rules shall be filed with the Commission and made a part of the permittees' files.

(3) A member of another club who is granted a reciprocal membership shall be required to show a valid membership card indicating he is a member of the reciprocal club each time he enters the facility.

History

Authority G.S. 18B-100; 18B-207; 18B-1008
Eff. July 1, 1992
Amended Eff. January 1, 2011
Transferred and Recodified from 04 NCAC 02S .0235 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0227 Transfer of Products Between Premises Prohibited

A permittee owning more than one licensed retail establishment shall not transfer alcoholic beverages from one business location to another except upon written request to and approval by the Commission. No approval for such transfer will be given except upon a showing by the permittee of the following:

(1) the establishment from which the alcoholic beverages are to be removed is going out of business or closing for such a period of time that the alcoholic beverages will spoil or deteriorate before the business reopens; or

(2) the wholesaler assigned to the establishment to which the products will be transferred is unable or unwilling to supply the products.

This Rule shall not be construed to authorize a retail permittee to make purchases at a central location or warehouse for distribution to other retail establishments owned by the permittee.

History

Authority G.S. 18B-100; 18B-207; 18B-1006(h); 18B-1007(a)
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0236 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0228 Keg Purchase-Transportation Permit

(a) Retail Permittee to Issue. Whenever a person chooses to purchase and transport a keg designed to hold and dispense 7.75 gallons or more of malt beverages, the person shall apply to the retail permittee from whom the purchase will be made for a Keg Purchase-Transportation Permit. The retail permittee from whom the keg is purchased shall issue the purchaser the permit following G.S. 18B-403.1.

(b) The Keg Purchase-Transportation Permit shall specify the following information on the face of the permit:

(1) The date of issue;

(2) The name and address of the retail business from which the purchase is made;

(3) The purchaser's name and address;

(4) The purchaser's driver's license, North Carolina ID, Military ID or passport number;

(5) The address of destination of keg(s);

(6) The total number of kegs purchased;

(7) An underage responsibility warning; and

(8) Signatures of the purchaser and an authorized retail employee.

(c) The retailer shall retain a copy of the permit at the retail location where the purchase was made for 90 days unless requested by any individual in writing to the retailer to retain the copy for a specified period longer than 90 days but not longer than 180 days. The permit shall accompany the keg during its transport and usage and shall be exhibited to any law enforcement officer upon request.

(d) The Commission shall provide Keg Purchase-Transportation Permits to any retailer who requests the permits. Permittees may also download a copy of the Keg Purchase-Transportation Permit from the Commission's website (www.abc.nc.gov).

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

History

Authority G.S. 18B-100; 18B-207; 18B-403.1
Temporary Adoption Eff. December 1, 2006
Eff. November 1, 2007
Amended Eff. December 1, 2012
Transferred and Recodified from 04 NCAC 02S .0237 Eff. August 1, 2015

14B NCAC 15B .0301 Retailer/Wholesaler Relationships

Rules covering relationships between retail malt beverage and wine permittees and wholesalers are in Subchapter 15C, Sections .0600 and .0700 of these Rules.

History

Authority G.S. 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0301 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0401 Private Clubs: Possession of Alcoholic Beverages

(a) Quantity. No private club brownbagging permittee shall allow a member or guest of the club to possess more than five liters of spirituous liquor or five liters of fortified wine, or five liters of the two combined; more than 80 liters of malt beverages (nine cases of 355 milliliter cans plus nine 355 milliliter cans, or seven cases of 473 milliliter cans plus one 473 milliliter can); or more than 20 liters of unfortified wine upon the premises.

(b) Label Required. A permittee shall ensure that each container brought onto the premises is labeled immediately with the member's name substantially as it appears on the membership roster and that containers brought by guests are labeled with the names of the guest and the sponsoring member.

(c) Possession by Permittee Not Holding Mixed Beverages Permit. A permittee not holding a Mixed Beverages Permit or his employee may maintain custody over a member's or guest's alcoholic beverages and locker key provided that during custody, the member or guest is present on the premises. The member's or guest's alcoholic beverages shall be used exclusively by the member and his bona fide guests, and the alcoholic beverage containers and locker key shall be returned to the member or guest before he leaves the premises.

(d) Furnishing Alcoholic Beverages Limited. Neither the permittee nor a member shall furnish or have furnished alcoholic beverages to other members or bona fide guests of members unless the member owning the beverages is physically present upon the premises.

History

Authority G.S. 18B-100; 18B-207; 18B-1001(7); 18B-1006(b)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0402 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0402 Private Clubs: Storage of Alcoholic Beverages

(a) A private club brownbagging permittee shall see that alcoholic beverages are stored in compliance with the following conditions:

(1) All alcoholic beverages stored at the club shall be kept in individual lockers that are labeled with the members' names as they appear on the membership roster; lockers shall remain locked when the member is not on the premises;

(2) Each locker shall contain a lock that can be opened only with a key, and the key shall be possessed by the individual member when that member is not present on the premises of the club;

(3) No member shall store, whether in one or more lockers, more than five liters of fortified wine or spirituous liquor, or five liters of the two combined; five liters of malt beverages; or five liters of unfortified wine upon the premises;

Note: For example, one member may store the above mentioned quantities of alcoholic beverages in the aggregate in one or more lockers, such as a beverage locker and a sports equipment locker on one premises, provided that beverage containers and lockers are labeled as required, and when he is not on the premises, the member has exclusive possession of the key or keys.

(4) Alcoholic beverages belonging to different members shall not be stored in the same locker, except that a husband and wife may store alcoholic beverages in the same locker as long as the total quantity does not exceed the quantities stated in Subparagraph (3) of this Paragraph.

(b) The permittee and his employee shall be responsible for returning to a member when he leaves the premises all malt beverages and unfortified wine brought to the club by the member in excess of the amounts that may be legally stored at the establishment by the member.

(c) All alcoholic beverages left on the premises of the club contrary to the provisions of this Rule shall be destroyed by the permittee or his employee.

History

Authority G.S. 18B-100; 18B-207; 18B-301(b)(3); 18B-1001(7); 18B-1008
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0403 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0403 Restaurants: Hotels: Display: Control of Beverages

(a) A restaurant or hotel holding a Brownbagging Permit shall ensure that all fortified wine and liquor is possessed inconspicuously by patrons when they are not in a private dining area.

(b) Every person possessing fortified wine or spirituous liquor in restaurants and hotels with Brownbagging Permits shall at all times retain control of his alcoholic beverages.

History

Authority G.S. 18B-100; 18B-207; 18B-1001(7)
Eff. January 1, 1982
Amended Eff. January 1, 2011; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0404 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0404 Restaurants and Hotels: Mixing Drinks

A restaurant or hotel holding a Brownbagging Permit may sell and distribute ice and set-ups, but neither the permittee nor his employee may mix drinks for customers except in private dining areas.

History

Authority G.S. 18B-100; 18B-207; 18B-1001(7)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0405 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0405 Congressionally Chartered Veterans Organizations

A congressionally chartered veterans organization holding a brown-bagging permit pursuant to G.S. 18B-1001(7) may provide its members with locker storage facilities on the premises. If such a permittee provides lockers, possession and storage of alcoholic beverages shall be in compliance with the rules of this Section.

History

Authority G.S. 18B-100; 18B-207; 18B-1001(7)
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0407 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0501 Purchase Transportation Permit/ Invoice Form

(a) A mixed beverages permittee, or a mixed beverages permittee's designated employee or independent contractor, shall obtain a Purchase-Transportation Permit/Invoice form from the ABC store designated by the local board as the place where spirituous liquor will be sold to mixed beverages permittees.

(b) A Purchase-Transportation Permit/Invoice form shall be completed by the local board and contain the following:

(1) the permittee's name;

(2) the trade name, address, and telephone number of the permittee's licensed premises;

(3) the permittee's Mixed Beverages Permit number;

(4) the name and driver's license number of person or persons authorized to purchase and transport spirituous liquor;

(5) the number and location of ABC store where purchase is to be made;

(6) the permittee's transaction or order number;

(7) the date of transaction;

(8) the address of the destination of the spirituous liquor;

(9) the brand, quantity, size and item code number of each spirituous liquor container purchased and transported, including the serial number of each complete case or carton sold;

(10) the signatures of persons issuing and receiving permit/invoice form;

(11) the retail price per container;

(12) the mixed beverages surcharge per container;

(13) the total price per container;

(14) the total cost of transaction; and

(15) the date of order, date of purchase, and expiration date of the permit/invoice form.

(d) The destination for the spirituous liquor being transported pursuant to a Purchase-Transportation Permit/Invoice form shall be the address of the permittee's licensed premises.

History

Authority G.S. 18B-100; 18B-207; 18B-404
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0502 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Amended Eff. March 1, 2021.

14B NCAC 15B .0502 Pre-Orders

A mixed beverages permittee shall make every effort to place orders for spirituous liquor with the local board at least 24 hours in advance and in every case shall comply with local board policies regarding the purchase of liquor for resale in mixed beverages.

History

Authority G.S. 18B-100; 18B-207; 18B-404
Eff. January 1, 1982
Amended Eff. May 1, 1984
RRC Objection due to ambiguity Eff. May 21, 1992
Amended Eff. July 6, 1992
Transferred and Recodified from 04 NCAC 02S .0503 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0503 Conflicts of Interest

No person shall be employed or allowed by a mixed beverages permittee to work on the licensed premises if that person is employed or engaged in any manner in the manufacturing, rectifying, bottling or wholesaling of spirituous liquor.

History

Authority G.S. 18B-100; 18B-207; 18B-1116
Eff. January 1, 1982
Transferred and Recodified from 04 NCAC 02S .0507 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0504 Dispensing Equipment

(a) A mixed beverages permittee may not install or use any equipment or device for the automated mixing or dispensing of mixed beverages unless use of the equipment or device has been approved by the Commission. A brand or type of equipment will not be approved by the Commission if it:

(1) dispenses from any container other than the spirituous liquor container to which the mixed beverages tax stamp is affixed,

(2) employs an in-series hook-up which would permit spirituous liquor to flow from container to container before reaching the dispensing spigot or nozzle, or

(3) allows the intermixing of different kind of products or brands.

(b) Neither a mixed beverages permittee nor an employee of a permittee may mix or dispense any mixed beverage from any automated equipment or device unless a card, label sign, plate or other insignia indicating the brand of spirituous liquor being dispensed is displayed at the location where the equipment is in use.

History

Authority G.S. 18B-100; 18B-207; 18B-1107
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0508 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0505 Minimum Contents of Mixed Beverages

A permittee shall not advertise or sell as a mixed beverage a drink that contains less than one ounce of spirituous liquor unless the permittee informs the customer that the drink contains a lesser amount.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0509 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0506 Price Lists: Misrepresentation

(a) Each mixed beverages permittee shall have available for its customers a written price list containing current prices for the most common or popular mixed beverages the permittee offers for sale.

Any menu, master beverage price list or other written list that contains prices is sufficient as long as the prices listed are current and the list is readily available to the customer.

(b) Neither a mixed beverages permittee nor his employee shall misrepresent the price of any mixed beverage that is sold or offered for sale on the licensed premises.

(c) A guest room cabinet permittee shall affix to the door of every in-room bar or cabinet a complete list of the current prices of each alcoholic beverage offered for sale from the cabinet.

History

Authority G.S. 18B-100; 18B-207; 18B-1001(13); 18B-1007(c)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0510 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0507 Pre-Mixing Drinks

(a) Except as provided in this Rule, neither a mixed beverage permittee nor his employee shall pre-mix mixed beverages or prepare any mixed beverage before receiving an order for the beverage from a customer.

(b) A mixed beverages permittee may pre-mix mixed beverages upon receiving Commission approval provided the following conditions are complied with:

(1) No spirituous liquor may be used in the pre-mixing of mixed beverages except spirituous liquor on which the mixed beverages charge imposed by G.S. 18B-804(b)(8) has been paid. All spirituous liquor used for pre-mixing of mixed beverages shall be dispensed into the approved pre-mixing system from a container to which a mixed beverages tax stamp is affixed;

(2) All pre-mixing shall be done pursuant to a recipe that has been approved by the Commission. That recipe shall state the exact percentage and type or types of spirituous liquors and other alcoholic beverages used in the mixture;

(3) Pre-mixing shall be limited to those approved recipes for which the permittee prepares and sells at least five gallons per week. The Commission shall withdraw its approval for pre-mixing of any recipe for which this minimum standard is not maintained;

(4) Only equipment and systems approved by the Commission shall be employed in the pre-mixing and dispensing of mixed beverages;

(5) A permittee that is authorized to pre-mix mixed beverages shall maintain at all times an accurate inventory reflecting withdrawals from his spirituous liquor stock for purposes of pre-mixing that specifies:

(A) the brand and container size of each item withdrawn;

(B) the date and time of withdrawal; and

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0511 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0508 Storage and Disposal of Spirituous Liquor Containers

(a) Keys Required. Any lock used to secure a storage area shall be capable of being unlocked with a key that is available on the premises at all times.

(b) Official Inspections. Storage areas shall be open to inspection by the Commission or law enforcement officers pursuant to G.S. 18B-502.

(c) Empty Containers. As soon as a container of spirituous liquor is empty, the permittee or his employee shall permanently deface the mixed beverages tax stamp and dispose of the bottle.

(d) Guest Room Cabinet Permittees. A hotel that has been issued a Guest Room Cabinet Permit may store spirituous liquor and premixed cocktails purchased for resale from guest room cabinets in the same storage area with alcoholic beverages purchased for resale in mixed beverages, as provided in Paragraph (a) of this Rule. A hotel shall not, however, place on display at mixing stations any 50 milliliter containers of liquor that were purchased for resale from cabinets. Empty or partially empty containers of alcoholic beverages purchased by a room guest from a cabinet shall be disposed of by the permittee after the room guest has checked out of the hotel.

History

Authority G.S. 18B-100; 18B-207; 18B-502; 18B-1001(13); 18B-1007(b)
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0512 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0509 Prohibited Acts: Handling and Storage of Liquor

Neither a mixed beverages permittee nor his employee, whether on or off the premises, shall:

(1) add any alcoholic beverage to any container of spirituous liquor purchased for resale in mixed beverages;

(2) transfer from one spirituous liquor container to another or remove from any liquor container the mixed beverages tax stamp or any other stamp, label, seal or device required by law to be affixed to the container;

(3) destroy, alter or deface the mixed beverages tax stamp or any other stamp, label, seal or device required by law to be affixed to a liquor container before the container has been emptied;

(4) possess a counterfeit mixed beverages stamp, place a counterfeit mixed beverages stamp on any liquor container, or knowingly possess any container with a counterfeit stamp;

(5) store any spirituous liquor purchased for resale in mixed beverages in any place other than the approved storage area of the premises specified in the purchase-transportation permit;

(6) place or have in the approved storage area or possess elsewhere on the licensed premises any container of spirituous liquor not bearing a mixed beverages tax stamp;

(7) dilute or otherwise tamper with the contents of any container of alcoholic beverages;

(8) give or sell to any patron any container of spirituous liquor that was purchased for resale as mixed beverages, whether the container is full or partially full; provided, however, this prohibition shall not be construed to prohibit a room guest from removing from the hotel a container of alcoholic beverages purchased from a guest room cabinet;

(9) possess any empty container of spirituous liquor purchased for resale in mixed beverages if the mixed beverages tax stamp on that container has not been permanently defaced;

(10) possess or sell on the premises any brand of spirituous liquor that has not been approved by the Commission for sale in North Carolina or that was not purchased by the permittee pursuant to an approved special order;

(11) purchase any spirituous liquor for resale in mixed beverages other than as authorized by a valid purchase-transportation permit;

(12) conceal or otherwise fail to indicate truthfully and accurately in any records required to be kept by the permittee the sale of any alcoholic beverages on the licensed premises; or

(13) make any other incomplete, inaccurate, false or misleading statements in any report or record required by these Rules.

History

Authority G.S. 18B-100; 18B-207; 18B-404; 18B-1001(13); 18B-1007; 18B-1008
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0513 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0510 Prohibited Acts: Serving Alcoholic Beverages

Neither a mixed beverages permittee nor his employee shall:

(1) sell or allow the consumption of any mixed beverages in an area other than one specifically approved by the Commission for that purpose;

(2) sell, offer to sell, or serve on the premises any mixed beverage by customer self-service or allow any such sale or service, except that a guest room cabinet permittee may sell alcoholic beverages from guest room cabinets as authorized by G.S. 18B-1001(12) and the rules of the Commission;

(3) sell, offer for sale, or possess for the purpose of sale on the premises any alcoholic beverages that the permittee is not licensed to sell;

(4) possess or consume, or allow any other person to possess or consume, on the premises any alcoholic beverages for which no permit is held if a permit is required by law for the possession or consumption of that beverage;

(5) misrepresent the brand of any spirituous liquor contained in any mixed beverage sold or offered for sale; or

(6) sell or serve any brand of alcoholic beverage not identical to that ordered by the patron without first advising the patron of the difference.

History

Authority G.S. 18B-100; 18B-207; 18B-1001(13); 18B-1006(d); 18B-1008
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0514 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0511 Private Clubs: Members' Liquor Kept Separate

In a private club with both a Mixed Beverages Permit and a Brownbagging Permit, the permittee shall comply with the following requirements:

(1) The permittee shall not allow a member or guest to possess on the premises more than five liters of fortified wine or spirituous liquor, or five liters of the two combined, or more than 80 liters of malt beverages other than draft malt beverages in kegs;

(2) The permittee shall ensure that each container of alcoholic beverages brought onto the premises by a member or guest is labeled immediately with the member's name or the guest's and sponsoring member's names;

(3) Neither a permittee nor a member shall furnish or have any person furnish a member's alcoholic beverages to another member or a guest of a member unless the member owning the beverage is present on the licensed premises;

(4) Other than to label a container, or during private meetings or parties held under a Special Occasion Permit, neither a permittee nor an employee shall possess or maintain custody over a member's alcoholic beverages or a member's storage locker key, whether or not the member is present on the licensed premises.

History

Authority G.S. 18B-100; 18B-207; 18B-1006(b); 18B-1008
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0516 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0512 Private Clubs: Storage of Members' Beverages

In a private club with both a Mixed Beverages Permit and a Brownbagging Permit, the permittee and his employees shall ensure that members' alcoholic beverages, other than those being consumed, are stored in strict compliance with the provisions of Rule .0403 of this Subchapter.

History

Authority G.S. 18B-100; 18B-207; 18B-1006(b); 18B-1008
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0517 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0513 Private Clubs: Financial Statements: Record Keeping

(a) A private club holding a Mixed Beverages Permit shall maintain full and accurate monthly records of its finances, separately indicating each of the following:

(1) amounts expended for the purchase of spirituous liquor from ABC stores and the quantity of spirituous liquor purchased;

(2) amounts collected from the sale of mixed beverages and, by brand and container size, the quantity of spirituous liquor sold;

(3) amounts received in payment of members' dues;

(4) amounts received from charges to members and guests of members; and

(5) quantity of spirituous liquor, by brand and container size, that was not sold but is no longer on the licensed premises due to stated reasons, such as breakage or theft.

(b) Records of purchases of spirituous liquor and sales of mixed beverages shall be filed separate and apart from all other records maintained on the premises.

(c) Records, including original invoices for the items in Paragraph (a) of this Rule, shall be maintained on the premises for three years and shall be open for inspection or audit pursuant to G.S. 18B-502.

(d) A private club holding a Mixed Beverages Permit shall submit to the Commission for its review, reports summarizing the information required to be maintained by this Rule. These reports shall be submitted on an annual basis or upon request by the Commission.

History

Authority G.S. 18B-100; 18B-207; 18B-1008
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0518 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0514 Restaurants: Income from Sales

(a) For the purposes of G.S. 18B-1000(6), in determining what portions of sales can be attributed to the sale of food and non-alcoholic beverages, the following sales may be included:

(1) food prepared in the permittee's kitchen and served as a meal to be consumed on the premises or as a "take-out" order;

(2) prepackaged food sold to accompany the meal; and

(3) non-alcoholic beverages sold to accompany the meal.

(b) For the purposes of G.S. 18B-1000(6), in determining what portions of sales can be attributed to the sale of food and non-alcoholic beverages, the following items may not be included:

(1) mixed beverages, including the mixer;

(2) any other alcoholic beverages;

(3) grocery items not ordered and purchased with meals; and

(4) cover charges.

History

Authority G.S. 18B-100; 18B-207; 18B-1000(6); 18B-1008
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0519 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0515 Restaurants, Hotels, and Tour Boats: Record Keeping

(a) Monthly Records. Restaurants, hotels and tour boats holding Mixed Beverages Permits shall maintain full and accurate monthly records of their finances, separately indicating each of the following:

(1) amounts expended for the purchase of spirituous liquor from ABC stores and the quantity of spirituous liquor purchased;

(2) amounts collected from the sale of mixed beverages and, by brand and container size, the quantity of spirituous liquor sold;

(3) if a guest room cabinet permittee, the amounts collected from the sale of liquor from guest room cabinets, and by container size, the quantity of liquor sold from cabinets;

(4) the quantity of spirituous liquor, by brand and container size, that was not sold but is no longer on the premises due to stated reasons, such as breakage or theft;

(5) if a restaurant or tour boat, amounts collected from the sale of:

(A) food and non-alcoholic beverages;

(B) items other than food and beverages of all kinds; and

(6) if a hotel, amounts collected from:

(A) furnishing lodging;

(B) sale of meals;

(D) all other sources.

(b) Segregation of Records. Records of purchases of spirituous liquor and sales of alcoholic beverages shall be filed separate and apart from all other records maintained on the premises.

(c) Retention and Inspection of Records. Records, including original invoices related to alcoholic beverages and mixed beverages, shall be maintained on the premises for three years and shall be open for inspection or audit pursuant to G.S. 18B-502.

(d) Submission of Financial Records. A restaurant, tour boat, or hotel holding a Mixed Beverages Permit shall submit to the Commission for its review, reports summarizing the information required to be maintained by this Rule. These reports shall be submitted on an annual basis or upon request by the Commission.

History

Authority G.S. 18B-100; 18B-207; 18B-1006(i); 18B-1008
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0520 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0516 Hotels: Income from Sales

For the purpose of defining a hotel, the term "substantially engaged in the business of furnishing lodging" in G.S. 18B-1000(4) means that the establishment's gross receipts from the rental of lodging rooms, sale of food, and sale of non-alcoholic beverages are greater than its gross receipts from the sale of alcoholic beverages.

History

Authority G.S. 18B-100; 18B-207; 18B-1000(4); 18B-1008
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0523 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0517 Guest Room Cabinet Permittees: Purchases of Liquor

(a) Ordering Liquor. A guest room cabinet permittee shall comply with Rule .0503 of this Section and place orders for liquor to be sold from guest room cabinets in accordance with the local board's rules and the following additional conditions:

(1) Orders for liquor to be sold from cabinets shall be placed separately from orders for liquor to be resold in mixed beverages;

(2) Liquor may be purchased for resale from cabinets in 50, 355 and 375 milliliter sizes only; premixed cocktails purchased for resale from cabinets may be purchased in 355 or 375 milliliter sizes only.

(b) Mixed Beverages Surcharge Stamps. A guest room cabinet permittee who receives unaffixed stamps from a local board shall immediately affix one stamp to each container of liquor before the container is logged into the permittee's inventory. Errors in receiving incorrect numbers of stamps or containers from local board personnel shall be the responsibility of the permittee at the time of purchase.

History

Authority G.S. 18B-100; 18B-207; 18B-404(d); 18B-1001(13)
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0524 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0518 Guest Room Cabinets; Inventory and Records

A guest room cabinet permittee shall maintain on the premises an accurate inventory and sales records of all liquor purchased for resale in cabinets in accordance with the following requirements:

(1) Sales records of guest room cabinet liquor shall be kept on a monthly basis in accordance with the requirements of Rule .0520 of this Section; and

(2) Purchase-transportation permits for liquor to be sold from guest room cabinets shall be maintained by the permittee on the premises for a period of three years.

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

History

Authority G.S. 18B-100; 18B-207; 18B-1001(13)
Eff. July 1, 1992
Amended Eff. November 1, 2012
Transferred and Recodified from 04 NCAC 02S .0525 Eff. August 1, 2015

14B NCAC 15B .0519 Guest Room Cabinets; Sales of Alcoholic Beverages

(a) Restrictions on 50 Milliliter Containers. A guest room cabinet permittee shall not display or sell any 50 milliliter container of liquor on any part of the hotel premises other than in guest room cabinets installed in guest rooms.

(b) Cabinet Locks and Keys. A guest room cabinet shall contain a lock which may be opened only with a key that is separate from the hotel room key. Electronically operated locking systems for guest room cabinets may be installed by a permittee upon written approval of the Commission when it has been shown that the electronic locking system contains adequate safeguards against underage persons being able to obtain alcoholic beverages from guest room cabinets.

(c) Lodging Guests. No guest room cabinet permittee or his employee shall give a guest room cabinet key to any person under 21 years of age. No lodging guest shall be required to accept a guest room cabinet key if the guest does not wish to have a key.

(d) Price List. Every guest room cabinet installed by a permittee shall have firmly affixed to the door of the cabinet a complete list of all alcoholic beverages offered for sale from the cabinet and the current price of each alcoholic beverage.

(e) Notice of Age Requirement. In addition to the price list required in Paragraph (d) of this Rule, each guest room cabinet shall contain a notice to guests that reads as follows: "IT IS UNLAWFUL IN NORTH CAROLINA FOR ANY PERSON TO GIVE ALCOHOLIC BEVERAGES TO ANY PERSON UNDER 21 YEARS OF AGE. G.S. 18B-302."

History

Authority G.S. 18B-100; 18B-207; 18B-302; 18B-404(d); 18B-1001(13)
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0526 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0520 Guest Rooms Considered Residence

(a) Law Enforcement Jurisdiction. A hotel room is considered a place of temporary residence and not part of the permittee's retail licensed premises. Therefore, when a hotel room has been rented to a lodging guest, entrance by a law enforcement officer into the guest room is governed by the same laws as entry into any residence, notwithstanding the fact that the hotel has installed a guest room cabinet in the room.

For the purposes of enforcing the ABC laws related to guest room cabinets, a permittee shall allow Alcohol Law Enforcement agents, local ABC officers and employees of the Commission reasonable access to guest rooms that are not rented to a lodging guest at the time of the inspection.

(b) Certain Restrictions Not Applicable to Guest Room Cabinet Sales. Because a rented hotel room is considered a temporary residence, the rooms are not considered part of the permittee's retail licensed premises. Therefore, rules regulating such areas as "happy hours," and advertising are not applicable to sales of alcoholic beverages from hotel cabinets.

History

Authority G.S. 18B-100; 18B-207; 18B-301(a); 18B-502; 18B-1001(13)
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0527 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0521 Mixed Beverages Catering Permits; General

(a) Liquor Purchases. Liquor catered by a mixed beverages permittee shall be purchased by the permittee from the mixed beverages store operated by the local ABC board for the jurisdiction in which the restaurant or hotel is issued a Mixed Beverages permit. A hotel or restaurant with a Mixed Beverages Catering permit shall not cater any liquor on which the mixed beverages surcharge imposed by G.S. 18B-804(b)(8) has not been paid.

(b) Cash Bars Prohibited. The Mixed Beverages Catering permit does not authorize the sale of individual mixed beverages at a catered event. Therefore, no mixed beverages catering permittee shall set up a cash bar for beer, wine or mixed beverages at any place other than on the licensed premises of the hotel or restaurant.

(c) Food Required. A mixed beverages catering permittee who is catering liquor at an event held off the licensed premises of the hotel or restaurant shall also cater food at that event.

(d) Intent of Rules. Nothing in the provisions of the rules of the Commission shall be construed to allow a mixed beverages catering permittee to contract with the holder of a Special Occasions or Brownbagging permit to serve or sell mixed beverages to the patrons of that permittee's business for a function to be held at the location for which those permits were issued.

History

Authority G.S. 18B-100; 18B-203(a)(1); 18B-207; 18B-1001(12); 18B-1007(a)
18B-1008
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0528 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0522 Mixed Beverages Catering Permits in "dry Areas"

(a) Definitions. For purposes of this Rule, the following definitions shall apply:

(1) "Dry area" means a jurisdiction in which the sale of mixed beverages has not been approved in an election held pursuant to G.S. 18B-600 or by any other provision of the ABC laws.

(2) "Private function" means an unadvertised event for which the host has issued personal invitations. Events for which invitations are issued by radio, television, newspaper, circular or fliers to the general public shall not be construed as "private."

(b) Restrictions. In addition to Rule .0528 of this Section, the following additional restrictions shall apply to all events being catered in areas in which the sale of mixed beverages is not lawful:

(1) Liquor may be catered at political or charitable events held to allow a non-profit or political organization to raise funds where the host organization has obtained a Special One-Time permit pursuant to G.S. 18B-1002(5) authorizing the serving of mixed beverages to persons attending the event. These fund-raising events may be private or open to the public, and may be held on private, commercial, or government owned property unless prohibited by the provisions of G.S. 18B-300 or G.S. 18B-301(f).

(2) Liquor may be catered at any private function held on the premises of a business that holds a Special Occasion permit, or for a person who has obtained a Limited Special Occasion permit only if:

(A) the host is not a permittee who has been issued a Special Occasion permit pursuant to G.S. 18B-1001(8); and

(B) there is no admission charged to those attending.

(3) Liquor may be catered at any private function held on private residential or non-commercial property so long as no admission is charged to those attending.

History

Authority G.S. 18B-100; 18B-203(a); 18B-207; 18B-301(a),(c); 18B-603; 18B-1001; 18B-1002(5)
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .0529 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0523 antique spirituous liquor regulated

For the purposes of this Subchapter, antique spirituous liquor shall be regulated and treated the same as spirituous liquor for mixed beverages permittees.

History

Authority G.S. 18B-101; 18B-207; 18B-1001
Eff. January 1, 2018.

14b NCAC 15B .0601 Record Keeping

(a) Convention centers, community theatres, nonprofit and political organizations holding Mixed Beverages permits shall maintain full and accurate monthly records of their finances, separately indicating each of the following:

(1) amounts expended for the purchase of spirituous liquor from ABC stores and the quantity of spirituous liquor purchased;

(2) amounts collected from the sale of mixed beverages and, by brand and container size, the quantity of spirituous liquor sold; and

(3) the quantity of spirituous liquor, by brand and container size, that was not sold but is no longer on the premises due to stated reasons, such as breakage or theft.

(b) Segregation of Records. Records of purchases of spirituous liquor and sales of alcoholic beverages shall be filed separate and apart from all other records maintained on the premises.

(d) Submission of Financial Records. A permittee holding a Mixed Beverages permit under this Rule shall submit to the Commission for its review, reports summarizing the information required to be maintained by the rule. These reports shall be submitted on an annual basis or upon request by the Commission.

History

Authority G.S. 18B-100; 18B-207; 18B-1007
Eff. July 1, 1992
Temporary Amendment Eff. September 24, 1993 for a Period of 180 Days or Until the Permanent Rule Becomes Effective, Whichever is Sooner
Amended Eff. April 1, 2011; February 1, 1994
Transferred and Recodified from 04 NCAC 02S .0612 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0602 Sports Club: Definitions

In interpreting the term sports club as contained in G.S. 18B-1000(8), the following definitions shall apply:

(1) "Equipment" means golf clubs, tennis rackets, golf and tennis balls, golf and tennis shoes, golf and tennis gloves, golf tees, golf and tennis clothing, and other items worn or utilized by the golfer or tennis player while engaged in the activities of golf or tennis.

(2) "Golf course" means an 18 hole course designed and maintained for the play of the game of golf with a total tee to green length of at least 4,000 yards.

(3) "Gross receipts for alcoholic beverages" means all sales of beer, wine and spirituous liquor including any mixers sold in mixed beverages.

(4) "Receipts for food" means that portion of the establishment's sales which can be attributed to the sale of food and non-alcoholic beverages, which portion is to be determined in accordance with the provisions of 14B NCAC 15B .0514(b) and (c).

(5) "Restaurant" means restaurant as defined in G.S. 18B-1000(6) and 14B NCAC 15B .0105.

(6) "Tennis court" means a 60 foot by 120 foot surface composed of asphalt, concrete, composite, grass or other similar material which is constructed and maintained so as to permit the play of tennis on a regular basis and which is completely enclosed by a chain link, particle board or other comparable fence.

History

Authority G.S. 18B-100; 18B-207; 18B-1000(8); 18B-1008
Temporary Adoption Eff. September 24, 1993 for a Period of 180 Days or Until the Permanent Rule Becomes Effective, Whichever is Sooner
Eff. February 1, 1994
Transferred and Recodified from 04 NCAC 02S .0613 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0603 Sports Club: Requirements for Receiving and Holding Permits

To be eligible to receive and to hold ABC permits as a sports club, in addition to the requirements imposed by G.S. 18B-1000(8), an establishment shall:

(1) operate a golf course or a tennis court or both on its premises, and

(2) derive at least 15% of its club activity fees from sources other than receipts for food.

History

Authority G.S. 18B-100; 18B-207; 18B-1000(8); 18B-1008
Temporary Adoption Eff. September 24, 1993 for a Period of 180 Days or Until the Permanent Rule Becomes Effective, Whichever is Sooner
Eff. February 1, 1994
Transferred and Recodified from 04 NCAC 02S .0614 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0604 Sports Club: Club Activity Fees

Club activity fees may only include revenues from the following:

(1) membership dues paid for golf or tennis privileges;

(2) court or greens fees paid by patrons for the privilege of using the golf course or the tennis court located on the sports club's premises;

(3) receipts for food if the establishment operates a restaurant on its licensed premises;

(4) equipment sales on the sports club's licensed premises;

(5) golf cart rental fees;

(6) teaching fees paid to golf or tennis professionals for lessons given on the sports club's premises;

(7) equipment rental fees, if the equipment is rented for use on the sports club's golf course or tennis court;

(8) entry fees for golf or tennis tournaments held on the sports club's premises;

(9) revenue generated by the sale of tickets to golf or tennis tournaments held on the sports club's premises.

History

Authority G.S. 18B-100; 18B-207; 18B-1000(8); 18B-1008
Temporary Adoption Eff. September 24, 1993 for a Period of 180 Days or Until the Permanent Rule Becomes Effective, Whichever is Sooner
Eff. February 1, 1994
Transferred and Recodified from 04 NCAC 02S .0615 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0605 Sports Club: Record Keeping Requirements

(a) Monthly Records. A sports club holding ABC permits issued by the Commission shall maintain full and accurate monthly records of the following:

(1) amounts expended for the purchase of spirituous liquor from ABC stores and the quantity of spirituous liquor purchased;

(2) amounts collected from the sale of mixed beverages and, by brand and container size, the quantity of spirituous liquor sold;

(3) the quantity of spirituous liquor, by brand and container size, that was not sold but is no longer on the premises due to stated reasons, such as breakage or theft;

(4) amounts collected from the sale of malt beverages, fortified wine, and unfortified wine;

(5) amounts collected from club activity fees, excluding receipts for food; and

(6) receipts for food.

(b) The records required to be kept by this Rule shall be kept separate and apart from all other records maintained on the premises.

(c) Records, including original invoices related to alcoholic beverages and mixed beverages, shall be maintained on the premises for three years and shall be open to inspection or audit pursuant to G.S. 18B-502.

(d) A sports club holding ABC permits shall submit to the Commission for its review, reports summarizing the information required by this Rule. These reports shall be submitted on an annual basis or upon request by the Commission.

History

Authority G.S. 18B-100; 18B-207; 18B-1000(8); 18B-1008
Temporary Adoption Eff. September 24, 1993 for a Period of 180 Days or Until the Permanent Rule Becomes Effective, Whichever is Sooner
Eff. February 1, 1994
Amended Eff. April 1, 2011
Transferred and Recodified from 04 NCAC 02S .0616 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0701 Storage of Alcoholic Beverages

Alcoholic beverages possessed under a Special Occasion Permit or a Limited Special Occasion Permit may be stored on the premises covered by the permit in accordance with G.S. 18B-403(g), as long as the beverages are stored in a secure area and are not stored in a mixed beverage permittee's storage area or commingled with the mixed beverages inventory.

History

Authority G.S. 18B-100; 18B-207; 18B-403(g); 18B-1001(8),(9)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0703 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0702 Notice to Be Posted

When a private function is being held under a Special Occasion Permit or Limited Special Occasion Permit, the permittee shall post a notice certifying that a private function is being held. The notice shall be posted in that area of the establishment in which alcoholic beverages are being consumed or possessed.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0704 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0703 No Permit Required at Apartment Clubhouse

A Special Occasion Permit is not required of club rooms or social centers that are provided by apartment complexes or multiple family housing projects for use by residents and their guests for parties, meetings or other social events as long as no more than a nominal fee is charged to cover additional or special janitorial services. (In those instances the club rooms or social centers shall be considered a reasonable extension of the residents' private residences, and no Special Occasion Permit is required). A club room or social center shall be considered a commercial establishment for which a Special Occasion Permit is required if the club room or social center:

(1) is rented to nonresidents of the multiple family housing complex;

(2) is rented to residents for a charge in excess of that reasonably calculated to cover additional or special janitorial services; or

(3) holds a retail Malt Beverage, Unfortified Wine, Fortified Wine, or Mixed Beverages Permit.

History

Authority G.S. 18B-100; 18B-207; 18B-301(c)
Eff. January 1, 1982:
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0705 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0704 When Permits Invalid: Mixed Beverage Sales

When mixed beverages are being sold in a private dining area, any other private area, or when the entire premises is being used for a private function, any Special Occasion Permit that would otherwise be applicable to the premises or area of the premises is invalid for that period, and no person shall possess any spirituous liquor at that private function other than the permittee and his employees.

History

Authority G.S. 18B-100; 18B-207; 18B-1008
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0706 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0705 Destruction of Leftover Beverages

The owner or operator of a commercial establishment holding a Special Occasion Permit shall destroy all fortified wine and spirituous liquor left on the premises by the host of a private function more than 48 hours after the conclusion of the function.

History

Authority G.S. 18B-100; 18B-207; 18B-403(g); 18B-1001(8)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0707 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0706 Types of Permits Required

The owner or operator of any commercial facility or commercial establishment renting or furnishing the premises thereof for a private function where the host of the function will possess more than eight liters of fortified wine or spirituous liquor, or eight liters of the two combined, shall either:

(1) apply for and obtain a Special Occasion Permit, as required by G.S. 18B-1001(8) and G.S. 18B-902; or

(2) require the person in charge of the private function to apply for and obtain a Limited Special Occasion Permit under the provisions of G.S. 18B-1001(9) and 18B-902.

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

History

Authority G.S. 18B-100; 18B-207; 18B-301(b),(c); 18B-1001(8),(9)
Eff. July 1, 1992
Amended Eff. November 1, 2012
Transferred and Recodified from 04 NCAC 02S .0708 Eff. August 1, 2015

14B NCAC 15B .0801 General Requirements

In addition to the general requirements for restaurants, hotels and cooking schools in G.S. 18B-1000 and the Rules of the Commission, a restaurant, hotel, cooking school or catering service using fortified wine or spirituous liquor for culinary purposes shall obtain those alcoholic beverages from a lawful source within this State.

History

Authority G.S. 18B-100; 18B-207; 18B-1000(1b),(4),(6); 18B-1001(11); 18B-1006(h)
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0801 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0802 Suspension of Mixed Beverages Permit

If the Mixed Beverages Permit of any permittee is suspended, no fortified wine or spirituous liquor shall be used by the permittee for culinary purposes during the period of suspension.

History

Authority G.S. 18B-100; 18B-104; 18B-207; 18B-1001(10),(11); 18B-1008
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0805 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0901 Tastings Held by Retailers for Consumers

(a) General. A retail wine or malt beverage permittee may conduct tastings of wine or malt beverages for consumers. A tasting held on the retailer's premises requires the appropriate permit. Any retailer conducting a wine or malt beverage tasting shall:

(1) Provide training to its employees conducting and supervising any tasting, including:

(A) identification of potential underage customers;

(B) recognition of fictitious identification;

(D) service of correct sample sizes; and

(2) Prominently display in the area where the tasting is being conducted a sign informing customers that they must be 21 years of age to participate in the tasting.

(b) Tastings Assisted by Industry Member. For the purposes of this Rule, "industry member" means any manufacturer, bottler, importer, vendor, representative or wholesaler of alcoholic beverages. An industry member may assist with wine or malt beverage tastings for consumers in conjunction with, or on the licensed premises of, a retailer provided that:

(1) The wine or malt beverage is taken directly from the retailer's existing inventory;

(2) The industry member makes no payment to or on behalf of the retailer for promoting or advertising the tasting;

(3) The retailer provides instruction to any participating industry member outlining how the tasting will be conducted prior to the tasting;

(4) The retailer designates one of its employees to supervise the tasting. The retail supervisor shall:

(A) be physically present, actively supervise and be readily available to any participating industry member at all times during the tasting;

(B) wear visible identification;

(D) make a final determination on the eligibility of a consumer to participate in a tasting in the event such a question arises;

(E) maintain an accurate accounting of all wine or malt beverages purchased for and consumed at the tasting; and

(F) dispose of any opened wine or malt beverage containers remaining after the tasting, unless the remaining wine is retained by a wine shop permittee.

(c) Unlawful Inducements Prohibited. No industry member shall require a retailer, and no retailer shall require an industry member, to conduct a wine or malt beverage tasting.

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

History

Authority G.S. 18B-100; 18B-207; 18B-1001(15); 18B-1001(18)
Eff. January 1, 1982
Amended Eff. November 1, 2012; January 1, 2011; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0901 Eff. August 1, 2015

14B NCAC 15B .0902 Tastings Held by Industry Members for Consumers

Where the legal sale of those beverages is permitted, an industry member may furnish wine or malt beverages for tastings for consumers provided that:

(1) The tasting is conducted for promotional purposes; and

(2) No alcoholic beverages are sold, no sales or orders are solicited, and no order blanks are placed in or about the premises.

History

Authority G.S. 18B-100; 18B-207; 18B-1107(a)(4); 18B-1109(a)(4); 18B-1116(b)
Eff. January 1, 1982
Amended Eff. January 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0902 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14b NCAC 15B .0903 Tastings Held by Industry Members for Retail Permittees: Samples

(a) Samples. An industry member may give samples of wine, malt beverages or spirituous liquor to a retail permittee authorized to sell that beverage under the following circumstances:

(1) The industry member may give the retailer up to three gallons per brand of malt beverages, up to three liters per brand of wine and up to 50 milliliters per brand of spirituous liquor; and

(2) The retailer has not previously purchased those brands from the industry member within the previous calendar year.

(b) Tastings. At educational seminars, an industry member may give a retail permittee samples by the glass of any products he offers for sale. A tasting may be conducted on the industry member's premises or at any other location. A tasting under this Paragraph shall not be conducted in conjunction with a meal, a party, or any other social event but shall be for business purposes only.

History

Authority G.S. 18B-100; 18B-207; 18B-1107(a)(4); 18B-1109(a)(4); 18B-1116(b)
Eff. January 1, 1982
Amended Eff. January 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .0903 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .0904 Tastings Held by Industry Members for Abc Boards

(a) Distiller representatives may conduct educational tastings for ABC board members, general managers and employees, whose duties include product selection, upon notification by the distiller representative to the Commission and if the distiller representative has obtained a permit under G.S. 18B-1001(9).

(b) A tasting held under this Rule shall not be conducted in conjunction with a meal, a party or any other social event, but shall be for business purposes only.

History

Authority G.S. 18B-100; 18B-203(a)(9); 18B-207; 18B-1116
Eff. April 1, 2011
Transferred and Recodified from 04 NCAC 02S .0904 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1001 Definitions

As used in this Section:

(1) The terms defined in G.S. Chapter 18B and Subchapters 15A through 15C of this Chapter shall have the same meaning when used in this Section.

(2) "Advertising" means the publicizing of the trade name of a permittee, in connection with or relating to alcoholic beverages or the publicizing of alcoholic beverages by brand name, manufacturer's name or by other reference and shall include any display intended to attract attention by a combination of letters, pictures, objects, lighting effects, illustrations, etc., except that such term shall not include:

(a) any label affixed to any container of alcoholic beverages or any individual covering, carton or other wrapper of the container; or

(b) any editorial for which no money or other valuable consideration is paid or promised, directly or indirectly, by any person subject to these Rules.

(3) "Cooperative advertising" means any joint effort between permittees occupying a vertical relationship to each other to advertise alcoholic beverages, the retailer's business, or any promotion as defined in 14B NCAC 15C .0701(3) of this Chapter. Cooperative advertising, however, shall not be construed to include point-of-sale advertising furnished by an industry member.

(4) "Direct Mail" means any advertising material mailed via any class of postal service to a consumer.

(5) "Display" means the exhibition of alcoholic beverage containers in cases, or bottles or cans outside of cases, together with advertising material, the purpose of which is to advertise those products to prospective purchasers on the premises.

(6) "Case display" means alcoholic beverages in cartons or cases only. A handypack is included in the term "carton."

(7) "Magazine" means any trade, fraternal or scientific periodical or a periodical having general circulation and containing descriptive matter, articles and stories, and designed primarily for the edification and entertainment of the reader that is published no less frequently than once each quarter.

(8) "Newspaper" means any paper published more frequently than once monthly.

(9) "Point-of-Sale" means advertising that is located inside and on the premises where the product is displayed or sold. Point-of-sale materials do not include consumer or retailer specialty items or novelties.

History

Authority G.S. 18B-100; 18B-105(b); 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1001 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1002 General Provisions

(a) Compliance with Rules. No permittee or affiliate shall publish, disseminate or broadcast, or cause to be published, disseminated or broadcast, any advertisement, either directly or indirectly, by newspaper, magazine, shopping guide, sign, circular, direct mail, billboard, display, radio, television or other advertising medium unless the advertisement is in conformity with all the rules of the Commission. This requirement shall apply to any alcoholic beverage advertising, whether or not it originates within this state. In addition, the Commission does not hereby waive the discretion conferred upon it under G.S. 18B-105 to prohibit any advertising that it considers objectionable or contrary to public interest.

(b) Trade Practice Section Applies. In addition to the rules in this Section, industry members shall comply with the trade practice and advertising requirements of Section .0700 of Subchapter 15C of this Chapter in their dealings with retailers and special one-time permittees.

(c) Approval of Advertising Not Authorized. Upon request and for good cause shown, the Commission may authorize a form of advertising not specifically allowed or authorized by these Rules.

(d) Limited to Brands Listed. Advertisements of alcoholic beverages shall be limited to the brands actually approved and listed by the Commission at the time the advertisements appear.

(e) Telephone Directory Listings. Permittees may insert telephone and city directory listings if the listings conform in copy to the restrictions enumerated in these Rules.

(f) Advertising within Transportation Terminals. Upon application, the Commission may allow a permittee to advertise alcoholic beverages within transportation terminals by displays or otherwise.

(g) Exchange of Advertising by Permittee. Any retail permittee of the Commission may give to any other retail permittee of the Commission any advertising material if it meets the requirements of these Rules.

Editor's Note: James L. Conner, II, Administrative Law Judge with the Office of Administrative Hearings, declared Rule 4 NCAC 2S .1004(c) void as applied in Daniel W. Shelton t/a Shelton Broers v. N.C. Alcoholic Beverage Control Commission (99 ABC 1641).

History

Authority G.S. 18B-100; 18B-105(b); 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1004 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1003 Prohibited Statements in Advertising or on Labels

(a) General Restrictions. An advertisement or product label on any alcoholic product sold or distributed in this State shall not contain any statement, design, device, or representation that:

(1) is contrary to the Federal Alcohol Administration Act, 27 C.F.R. Sections 4.39, 4.64, 5.42, 5.65, 7.29, or 7.54, as interpreted by the Commission. The provisions of 27 C.F.R. Sections 4.39, 4.64, 5.42, 5.65, 7.29, and 7.54 referenced in this Rule are hereby incorporated, including subsequent amendments and editions, and may be accessed for free at https://www.gpo.gov;

(2) depicts the use of alcoholic beverages in a scene that is determined by the Commission to be undignified, immodest, or in bad taste;

(3) offers a prize or award upon the completion of any contest in which there is a requirement to purchase the advertised product, except as otherwise permitted pursuant to 14B NCAC 15C .0714, provided that no advertisement shall promote a game of chance or a lottery;

(4) promotes or encourages the sale to, or use by, persons under 21 years of age of alcoholic beverages, including any representation portraying a person under 21 years of age consuming alcoholic beverages;

(5) is inconsistent with the State laws of public safety or safe driving.

(6) is contrary to State laws and rules governing sale, storage, or consumption of alcoholic beverages; or

(7) is otherwise prohibited pursuant to a rule in this Chapter.

History

Authority G.S. 18B-100; 18B-105; 18B-206; 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Pursuant to G.S. 150B-33(b)(9), Administrative Law Judge James L. Conner II, declared Rule 04 NCAC 02S .1005(a)(3) void as applied in Daniel W. Shelton t/a Shelton Broers v. NC Alcoholic Beverage Control Commission (99 ABC 1641)
Transferred and Recodified from 04 NCAC 02S .1005 Eff. August 1, 2015
Readopted Eff. July 1, 2018.

14b NCAC 15B .1004 General Prohibitions

(a) For the purposes of this Rule, the following definitions shall apply:

(1) "Coupon" means a part of a retail permittee's advertisement that is redeemed by a purchaser to the retail permittee to obtain a discount at the time of sale;

(2) "Loyalty card, discount card, or membership card" means a card that is issued by a retail permittee to customers that, upon presentation to the retail permittee, provides for the purchaser to receive a loyalty card, discount card, membership card, or coupon discount on a portion of the amount paid by the purchaser for off-premises beer or wine consumption sales at the time of sale; and

(3) "Rebate" for a retail permittee, means a promise by the retail permittee to return a portion of the amount paid by the purchaser upon the condition the purchaser completes a rebate form and the purchaser meets the terms and conditions of the rebate form's requirements.

(b) Advertising for an alcoholic beverage shall not include a coupon or an offer for a free alcoholic beverage. No person shall advertise by means of a coupon, a rebate or a permittee's loyalty card, discount card or membership card offering a discount off the purchase of a malt beverage or wine, except as provided in this Section. A combination of the use of a coupon, a rebate or a permittee's loyalty card, discount card or membership card shall not exceed a total of 35 percent of the advertised retail price of the item. Permittees may advertise by means of a coupon, a rebate or a permittee's loyalty card, discount card or membership card under the following conditions:

(1) A permittee who holds an on-premises or off-premises malt beverage or wine permit under G.S. 18B-1001(1) through (6) or a wine shop permit under G.S. 18B-1001(16) may advertise by means of a coupon or a rebate in the following circumstances:

(A) The permittee may provide a coupon or a rebate for use by a customer when purchasing a malt beverage or wine sold at the permittee's retail location for off-premises consumption;

(B) The permittee may require a customer to use the permittee's loyalty card, discount card, or membership card with the use of a coupon or rebate when purchasing a malt beverage or wine sold at the permittee's retail location for off-premises consumption;

(C) No coupons or rebates shall be honored for the purchase of alcohol for any individual below the legal age for purchase of alcohol;

(D) A coupon or rebate shall not provide a discount exceeding 35 percent of the advertised retail price of the item;

(E) A permittee shall not advertise or distribute coupons or rebates in a publication produced for or by a higher education institution; and

(F) In any advertisement displaying a discount coupon or rebate, the permittee shall include the following statement on or about the discount coupon or rebate in a similar font to the discount coupon or rebate, "Drink Responsibly – Be 21;" and

(2) A permittee who holds an on-premises or off-premises malt beverage or wine permit under G.S. 18B-1001(1) through (6) or a wine shop permit under G.S. 18B-1001(16) may advertise discounts, coupons and rebates with the requirement of the use of the permittee's loyalty card, discount card or membership card in the following circumstances;

(A) The permittee shall require customers to present a loyalty card, discount card or membership card to receive the advertised loyalty card, discount card or membership card discount when purchasing a malt beverage or wine sold at the permittee's retail location for off-premises consumption;

(B) No loyalty card, discount card or membership card shall be honored for the purchase of alcohol for any individual below the legal age for purchase of alcohol;

(C) A loyalty card, discount card or membership card shall not provide a discount exceeding 35 percent of the advertised retail price of the item;

(D) A permittee shall not advertise permittee loyalty card, discount card or membership card discounts in a publication produced for or by a higher education institution; and

(E) In any advertisement displaying a permittee loyalty card, discount card or membership card discount, the permittee shall include the following statement on or about the discount coupon or rebate in a similar font to the discount, "Drink Responsibly – Be 21."

Cooperation shall not occur between a retailer and an industry member in either marketing, redemption or funding of coupons, rebates or loyalty card, discount card or membership card discounts under this Rule. Participation of an industry member in the use of coupons, rebates or loyalty card, discount card or membership card discounts is a violation of G.S. 18B-1116(a)(3).

(c) No industry member or retailer shall advertise alcoholic beverages in any programs for events or activities in connection with any elementary or secondary schools; nor shall any alcoholic beverages advertising be connected with these events when broadcast over radio or television.

(d) No industry member or retailer is permitted to advertise alcoholic beverages by use of sound trucks.

(e) No industry member or retailer shall advertise spirituous liquor upon the picture screen of any theater.

(f) Except as otherwise provided in these Rules, no industry member or retailer shall promote an alcoholic beverage product by giving prizes, premiums, or merchandise to individuals for which any purchase of alcoholic beverages is required or based on the return of empty containers unless all containers of like products are accepted and considered on an equal basis with the product sold by the promoter.

(g) No on-premise permittee or his agent shall advertise any drink promotion prohibited by 14B NCAC 15B .0223. This Paragraph includes a ban on all advertisements of "2 for 1," "buy 1 get 1 free," "buy 1 get another for a_______(nickel, penny, etc.)," and any other similar statement indicating that a patron must buy more than one drink.

History

Authority G.S. 18B-100; 18B-105(b); 18B-207; 18B-1116(a)(3); S.L. 2019-182, s. 11
Eff. January 1, 1982
Amended Eff. January 1, 2011; July 1, 1992; August 1, 1985; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1006 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Amended Eff. February 1, 2020.

14B NCAC 15B .1005 Cooperative Advertising Prohibited

Except for point-of-sale advertising furnished to a retailer by an industry member, a retailer and an industry member shall not directly or indirectly cooperate in a joint effort to advertise alcoholic beverages, the retailer's business, or any promotion or other event unless prior written approval has been obtained from the Commission under 14B NCAC 15C .0715 of this Chapter. This Rule shall not be construed to prohibit the use by a retailer of items and services that may be lawfully sold or provided by an industry member as described in 14B NCAC 15C .0700 of this Chapter.

History

Authority G.S. 18B-100; 18B-105(b); 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1007 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1006 Advertising of Malt Beverages, Wine and Mixed Beverages by Retailers

(a) Interior Advertising.

(1) Point-of-Sale. Retail malt beverage, wine, and mixed beverage permittees may utilize any amount of point-of-sale advertising for malt beverage, wine, and mixed beverage products offered for sale in the establishment. This advertising may be supplied by the industry member unless it constitutes a fixture or has value other than as advertising material. However, an industry member may give a retailer brand-identified items listed in 14B NCAC 15C .0711(c) for use as point-of-sale advertising;

(2) Price Boards. Retail malt beverage, wine, and mixed beverage permittees may display inside price boards showing the brand names and prices of malt beverage, wine, and mixed beverage products offered for sale in the establishment;

(3) Menus and Beverage Lists. Retail on-premise malt beverage, wine, and mixed beverage permittees may place on the menu and beverage lists the brand names and prices of malt beverage, wine, and mixed beverage products offered for sale in the establishment. Beverage lists may be supplied by an industry member and may include up to six items from the retailer's food menu but shall not include the name, logo, or other identifier of the retail permittee on the advertisement. A table tent shall be considered a beverage list for purposes of this Rule;

(4) Retailer Advertising Specialty Items. "Retailer advertising specialty items" are items such as trays, coasters, mats, meal checks, paper napkins, glassware, cups, foam scrapers, back bar mats, thermometers, and other similar items that bear advertising matter. Advertising specialty items may be provided to a retailer by an industry member as provided in 14B NCAC 15C .0711(b)(8);

(5) Window Displays. Retail malt beverage, wine, and mixed beverage permittees may arrange unopened malt beverage, wine, or spirituous liquor products in a window display;

(6) Location. Except as permitted pursuant to Paragraph (e) of this Rule, no point-of-sale advertising, advertising specialty item or price board shall be displayed in a manner designed or intended to advertise malt beverages, wine, or mixed beverages on the outside of the establishment; and

(7) T-shirts. A retailer's employees shall not wear alcoholic beverage brand identified t-shirts while working on the retailer's licensed premises.

(b) Exterior Advertising.

(1) Outside signs on the premises.

(A) Malt Beverages. Retail malt beverage permittees may display the term "beer," "cold beer," "draught beer," "specialty beer," "craft beer," "North Carolina beer," "local beer," or "imported beer," on a single, non-mechanical outside sign. This sign may be neon illuminated. The letters and figures on the sign shall not be more than 5 inches in height and 2 inches apart and the sign shall be attached to the building on the licensed premises. Retail malt beverage permittees may also display the term "beer," "cold beer," "draught beer," "specialty beer," "craft beer," "North Carolina beer," "local beer," or "imported beer" or a similar term on a single, portable, non-mechanical sidewalk sign that is no larger than 25 inches by 45 inches on each of its two sides. The sidewalk sign shall be displayed only during the hours of operation.

(B) Wine. Retail wine permittees may display the term "wine permit-off premise," "wine permit-on premise," "fine wine," or a similar term on a single non-mechanical outside sign. This sign may be neon illuminated. The letters and figures on the sign shall not be more than 5 inches in height and 2 inches apart and the sign shall be attached to the building on the licensed premises. Instead of the sign described in this Paragraph, retail wine permittees engaged in off-premise sales of wine may display the term "Wine Shop," "Wine and Cheese," or a similar term on a single non-mechanical sign. This sign may be neon illuminated. The letters and figures on the sign shall not be more than 18 inches in height and the sign shall be attached to the building on the licensed premises. Retail wine permittees may also display the term "wine permit-off premise," "wine permit-on premise," "fine wine," or a similar term on a single, portable, non-mechanical sidewalk sign that is no larger than 25 inches by 45 inches on each of its two sides. Instead of the sidewalk sign described in this Paragraph, retail wine permittees engaged in off-premise sales of wine may display the term "Wine Shop," "Wine and Cheese," "fine wine," or a similar term on a single, portable, non-mechanical sidewalk sign that is no larger than 25 inches by 45 inches on each of its two sides. A sidewalk sign shall be displayed only during the hours of operation.

(C) Restriction. Retail malt beverage, wine, and mixed beverage permittees shall not allow price advertising or additional signs advertising malt beverages, wine, and mixed beverages on the outside of their premises. Outside signs alluding to malt beverages, wine, or mixed beverages by slang descriptions such as "brew," "suds," "six-pack," "vino," or "booze" are prohibited.

(D) Exceptions for Menus. The placement of a food menu that also contains a list of alcoholic beverages by brand and price in a window, on the exterior of the retailer's building or on a sidewalk sign that is no larger than 25 inches by 45 inches on each of its two sides is not a violation of this Rule. A sidewalk sign shall be displayed only during the hours of operation.

(E) Mixed Beverages. Retail mixed beverage permittees may display the term "mixed beverages," "all ABC permits," "mixed drinks," "cocktails," or "spirits," on a single non-mechanical, non-neon, or otherwise self-illuminated outside sign. The letters and figures on the sign shall not be more than five inches in height and two inches apart and the sign shall be attached to the building on the licensed premises.

(F) Private Club. A private club shall not display any exterior sign advertising the availability of malt beverages, wine, or mixed beverages.

(2) Billboards. Retail permittees shall not advertise malt beverage, wine, or mixed beverage products or the availability of alcoholic beverages by means of a billboard or outdoor sign except as provided in this Section. Industry members with retail permits may advertise tastings;

(3) Aerial Displays. Retail permittees shall not advertise malt beverage, wine, or mixed beverage products or the availability of alcoholic beverages by means of an aerial display or an inflatable item that is tethered; and

(4) This Rule permits only exterior advertising allowed by local ordinances.

(c) Removal of Signs. A permittee shall remove any sign, display, or advertisement in or about the permittee's licensed premises if the Commission finds following a hearing it is contrary to public interest and orders its removal.

(d) Media Advertising. A retail malt beverage, wine, or mixed beverage permittee may advertise price and brand of malt beverage, wine, and mixed beverage products offered for sale by means of circular, newspaper, magazine, radio, television, and internet.

(e) Notwithstanding Subparagraphs (a)(6) and (c) of this Rule, a sports or entertainment venue with a permanently constructed seating capacity of 3,000 or more, which is not located on the campus of a school, college, or university, may display point-of-sale advertising for malt beverages and unfortified wine inside the venue that is visible from the outside of the venue, and shall not be required by the Commission to move or remove the advertising.

History

Authority G.S. 18B-100; 18B-105; 18B-207; S.L. 2018-65, s. 5.1
Eff. January 1, 1982
Amended Eff. March 1, 2012; January 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1008 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Amended Eff. April 1, 2019.

14B NCAC 15B .1007 ADVERTISING OF alcoholic beverages BY INDUSTRY MEMBERS

(a) Billboards; Media. Industry members may advertise alcoholic beverages on outdoor billboards, by radio, television, newspaper, magazine, the internet, and social media. Industry members shall not display billboards or signs on the premises of a retail permittee's establishment or in areas where sale of that product is unlawful.

(b) Aerial Display. Industry members may advertise by aerial displays or tethered inflatables, including banner-towing, hot air balloons and parachutes, if:

(1) The industry member submits one or more photographs or drawings of the displays to the Commission at legal@abc.nc.gov and receives prior written approval;

(2) The advertising on the aerial display conforms with all other rules in this Section; and

(3) The aerial display or inflatable is not placed on or over the premises of a retail permittee.

(c) Delivery Trucks and Uniforms. Trucks owned or leased by an industry member may be used for advertising purposes, limited to the permittee's name or trade name and the brand names, slogans, house marks, or trademarks of the alcoholic beverages manufactured or sold by the permittee. Wholesale permittees and spirituous liquor industry members may display on their employee uniforms the name of their company and the brand names of the products they are authorized to represent.

(d) Other Signs. Industry members may maintain signs required by the laws of the United States to be displayed on their premises and signs indicating the brand names of alcoholic beverages sold by them, including the word "beer," "wine," "spirituous liquor," or words describing malt beverages, wine, or spirituous liquor.

(e) Price. Industry members shall not advertise the prices of their alcoholic beverages. A wholesaler may give to retail permittees a wholesale price list that contains the brand names and prices of the wholesaler's products.

(f) College Campuses. Industry members shall submit print advertising, including posters, flyers, display ads, or point-of-sale materials that are published for distribution to college students or for dissemination on college campuses, to the Commission at legal@abc.nc.gov for review and approval before use. Industry members who submit advertising at least one month before distribution deadlines will be given priority for review.

(g) Listings of Available Product Locations. Industry members may advertise and assist consumers to locate the names and locations where their alcoholic beverage products are sold in the State, subject to the following conditions:

(1) The list includes all retail permittees and ABC stores selling an industry member's products in the State by a searchable electronic database available to the public; and

(2) The industry member reviews and updates the list of retail permittees and ABC stores in six-month intervals.

(h) Comments Posted on Retailers' Sites. Industry members may post a comment or reaction by text or symbol on a retailer's website or social media but shall not copy and repost the retailer's message.

History

Authority G.S. 18B-100; 18B-105; 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1009 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Amended Eff. February 1, 2026.

14B NCAC 15B .1008 ADVERTISING OF SPIRITUOUS LIQUORS by abc boards

(a) ABC Stores. An ABC store may have one or more exterior signs on the store's property, as stated on the store's lease or deed, to identify the store's presence if the sign is not prohibited by local ordinance and has been approved by the Commission. The Commission shall consider the following factors:

(1) the proximity of the ABC store to schools and churches;

(2) the number and size of the signs requested;

(3) the text and graphics on the sign;

(4) the materials that make up the sign; and

(5) the public concern in matters of the public's welfare.

(b) Billboards. Billboards may be used by local ABC boards for the following purposes:

(1) advertising the location, contact information, and hours of operation of an ABC store;

(2) statistical information on volume of sales, revenues generate, and the amount of revenues distributed to the State and local government; and

(3) subject to the Commission's approval, educational content regarding alcohol or substance abuse or public service announcements.

Billboards used by a local ABC board shall not include the brand name or picture of a spirituous liquor or fortified wine.

(c) Point-of-Sale. Point-of-sale and advertising specialties for spirituous liquor may be used in ABC stores. Advertising used in ABC stores shall conform to the provisions of 14B NCAC 15B .1005.

Industry members shall submit point-of-sale advertising material, advertising specials, recipes, booklets, or brochures for use and display in ABC stores to the Commission at legal@abc.nc.gov before displaying these items in an ABC store.

(d) Local ABC Boards. Local ABC boards may advertise on their web site or social networking page, and inside ABC stores, the following information:

(1) general information including the history of the local ABC board, locations, hours of operation, contact information, employment opportunities, alcohol enforcement, alcohol education, underage drinking education and other local government information; and

(2) liquor products and prices, subject to the following conditions:

(A) the list includes all products offered of the same category or type advertised;

(B) if a product's regular price is listed, the list includes regular prices of all products of the same category or type offered by the local ABC board;

(C) if a special price reduced for 30 days is listed for a product on a supplemental price list pursuant to Rule 14B NCAC 15A .1503, the list includes all products with temporary reduced prices offered by the local ABC board; and

(D) if the Commission authorizes a local ABC board to sell certain products at below the uniform price pursuant to Rule 14B NCAC 15A .1702, the list includes all products offered by the local ABC board with prices below the uniform price.

(3) Logos and prices of spirituous liquor products posted in pictures or videos of the inside of an ABC store must include all products in a category and their prices.

(4) New products during the first 180 days of availability for purchase in an ABC store and products returning to inventory after at least one year of unavailability for purchase.

(5) Spirituous liquor products available via special order pursuant to Rule 14B NCAC 15A .1403(b).

(6) Special order barrel products with personalized labeling pursuant to G.S. 18B-800(c1) ordered by a local ABC board in compliance with Rule 14B NCAC 15A .1403.

(7) Products available for online order pursuant to G.S. 18B-800(c3).

(8) Products available on the Limited Product Record list pursuant to G.S. 18B-204(a3).

(e) Advertising by email. Local ABC boards may advertise by email or text to mixed beverage permittees that request to receive advertisements from the local board. Local ABC boards shall not advertise by email or text to retail customers of the local board except:

(1) when a customer inquires about the availability or the price of a specific product; or

(2) when a customer requests or consents to receive marketing emails or texts.

A local ABC board email advertisement to retail customers shall be limited to advertising allowed pursuant to this Rules, to a lottery of spirituous liquor, and to barrel purchase opportunities.

(f) Local ABC boards may join local chambers of commerce or visitor's bureaus and may provide them general board information that includes store locations and hours made available through the website or other electronic means of the chambers of commerce or visitor's bureaus.

(g) Local ABC boards shall submit approval requests required by this Rule to legal@abc.nc.gov.

(h) Local ABC boards shall not use or allow the use or display of any tent, canopy, cooler, sign, or personal property owned by the local ABC board or that displays the local ABC board's name or logo except within the local ABC board store.

History

Authority G.S. 18B-100; 18B-105; 18B-207; 18B-807
Eff. January 1, 1982
Amended Eff. November 1, 2012; November 1, 2011; January 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1011 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Amended Eff. February 1, 2026.

14B NCAC 15B .1009 Novelties Utilizing Trademarks/Names: Other Materials

Industry members may use or allow to be used their trademark, trade name or other similar advertising materials in the manufacturing of novelty items such as ice chests, beach towels, umbrellas, and other similar items provided that any advertising material other than trade name or trademark shall receive approval by the Commission prior to distribution in North Carolina. Novelties may be sold to a retailer by an industry member as provided in 14B NCAC 15C .0711(a)(1) of this Chapter.

History

Authority G.S. 18B-100; 18B-105(b); 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1012 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1010 Bottle Neck Hangers

Bottle neck hangers that are in conformity with Rule .1003 of this Section may be used.

History

Authority G.S. 18B-100; 18B-105(b); 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1013 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1011 Recipes and Booklets

Recipes, booklets and brochures for cooking with alcoholic beverages and information with reference to the use of those products with certain foods are permitted and may specify the brand and the name of the bottler, manufacturer or importer. Malt beverage and wine industry members may give recipes, booklets and brochures for cooking with those products to retailers. Recipes, booklets and brochures for cooking with spirituous liquor shall be submitted to the Commission with point-of-sale materials as required in Rule .1008(e) of this Section.

History

Authority G.S. 18B-100; 18B-105(b); 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .1014 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1012 Revocation or Suspension of Permits

(a) The permit of any manufacturer or wholesaler distributor that violates any of the provisions of this Section may be suspended or revoked in the discretion of the Commission.

(b) The suspension or revocation of the permit of any wholesaler for a violation of these Rules shall raise a rebuttable presumption that the unlawful activity by the wholesaler was done with the knowledge and consent of the manufacturer.

(c) Upon a finding that the manufacturer had knowledge of the wholesaler's violation of any of these Rules and that the manufacturer failed to take appropriate disciplinary action the permit of the manufacturer to do business in North Carolina may be suspended or revoked in the discretion of the Commission or any codes listed by the Commission may be put on embargo by the Commission for a specific period of time.

History

Authority G.S. 18B-100; 18B-104; 18B-105(a); 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1015 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1013 Refund Offers

(a) General. Refund offers may be used to advertise spirituous liquor. Refund offers may be advertised by newspaper, magazine, direct mail, the Internet, or other electronic means.

(b) Conditions. A refund offer is an offer to a purchaser for a rebate of money or merchandise from a liquor industry member, obtained by submitting a form. A refund offer is allowed under the following conditions:

(1) A refund may be offered only by a manufacturer, importer, distiller, recifier, or bottler of spirituous liquor.

(2) A refund may be offered only to purchasers of the manufacturer's original unopened container of liquor that is purchased from an ABC store.

(3) A refund may be offered in any of the following ways:

(A) When the redemption form is a part of or attached to the package or container, or when the forms are available on tear-off pads displayed in the store. Any offer that is a part of or attached to the package or container shall be placed there by the industry member who offers the refund.

(B) When the redemption form is part of an electronic refund procedure or software application made available by the industry member or its designated redemption agent.

(4) The redemption form shall include a statement that the person redeeming the refund must be at least 21 years of age.

(5) A refund offer shall apply throughout the State.

(6) A refund offer shall include an expiration date.

(7) A refund offer shall include a statement explaining the redemption procedure, including the expiration date and length of time before the refund is sent to the purchaser. Refund offers shall be redeemed by submitting the redemption form to the industry member who offers the refund or its designated redemption agent in the manner required by the industry member, either by mail or electronically. The designated redemption agent shall not be a retail or wholesale permittee in the State.

(8) An industry member shall notify the Commission at least 10 days before it provides a refund offer on liquor. The notice shall state the proposed amount of the refund, its expiration date, to whom redemption forms shall be submitted, and the name, address, and phone number of the redemption agent. The notice shall also include a sample of the redemption form or the redemption procedure.

(9) A local board member or board employee shall not submit a redemption form for a refund under this Rule except for purchases of spirituous liquor the local board member or board employee has made.

(c) Commercial Bribery; Cooperative Advertising. No local board member, board employee, retailer, or retailer employee shall accept and no industry member shall pay any fee for the display or use of refund offers. The name of a retail business or retail permittee shall not appear on any refund offer.

(d) Advertising Limits. No refund offer for liquor may be advertised on the premises of any retail permittee.

History

Authority G.S. 18B-100; 18B-105(b); 18B-207
Eff. June 1, 1987
Amended Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02S .1020 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Amended Eff. October 1, 2019.

14B NCAC 15B .1101 Prohibited Activity During Period of Suspension

(a) The selling, dispensing or consuming of alcoholic beverage products on the licensed premises of any retail outlet is prohibited while the permit authorizing that activity is under suspension, and no alcoholic beverages shall be removed from the premises during the suspension period.

(b) During a period of suspension of a permittee's permit, he continues to be a permittee and shall comply with all ABC laws, including conditions of his permit, during the suspension period. Suspension of permits does not operate to relieve any permittee of the continuing requirements for qualification for a permit.

(c) The suspension of any permit authorizing the sale of alcoholic beverages also suspends the permittee's authorization to purchase or accept deliveries of those alcoholic beverages from a wholesaler or local ABC board for the entire length of the active suspension period.

(d) Suspensions shall begin at 7:00 a.m. on the effective date ordered by the Commission in the Order of Suspension or Order of Compromise.

History

Authority G.S. 18B-100; 18B-104; 18B-207; 18B-1004(a); 18B-1008
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1101 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1102 Prohibited Activity During Suspension: Brownbagging

The suspension of a Brownbagging Permit suspends the permittee's privilege to allow patrons or members to possess, store, and consume fortified wine or spirituous liquor upon the premises during the period of suspension.

History

Authority G.S. 18B-100; 18B-104; 18B-207; 18B-1008
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1102 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1103 Membership Requirements Still Applicable

Suspension of a private club permit does not operate to relieve the permittee of the continuing requirements for qualification for a private club permit, including requirements regarding membership and operation as a private facility.

History

Authority G.S. 18B-100; 18B-207; 18B-1008
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1103 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

14B NCAC 15B .1104 Administrative Fines: Payment

When the Commission orders a permittee to pay a fine as part of a penalty, payment shall be received in the Commission offices in Raleigh no later than 21 days following the meeting at which the Commission orders the fine. The Commission shall include, as part of the order, what penalty will be imposed if the fine has not been received by the Commission by the prescribed deadline. Payment shall be made in accordance with 14B NCAC 15A .0104.

History

Authority G.S. 18B-100; 18B-104; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1104 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016
Amended Eff. July 1, 2018.

14B NCAC 15B .1105 Offer in Compromise

When the Commission accepts from a permittee an offer in compromise as settlement or partial settlement in a contested case, the monetary payment accepted in the offer shall be paid on or before the date set by the Commission or a hearing officer and shall be paid by means of a certified check, cashier's check or money order made payable to the North Carolina ABC Commission.

History

Authority G.S. 18B-100; 18B-104; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02S .1106 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 20, 2016.

Subchapter C

14B NCAC 15C .0101 Definitions

History

Status: repealed
Authority G.S. 18B-100; 18B-101; 18B-207; 18B-1112; 18B-1113; 18B-1114; 18B-1116
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0101 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Repealed Eff. September 1, 2019.

14B NCAC 15C .0102 Application Procedures

(a) Who Files. A winery, brewery, distillery, wholesaler, importer, bottler, vendor, distillery representative, brokerage representative, salesman, supplier representative, or vendor representative shall file written application for a permit in compliance with Chapter 18B, Article 9 of the General Statutes before selling, soliciting orders, manufacturing, bottling, or importing alcoholic beverages in this State.

(b) Application. Applicants may obtain forms for permits from the Commission's office or website as set forth in 14B NCAC 15A .0102. An applicant shall provide in the application, under oath, the following information:

(1) the name, address, email address, last four digits of social security number, and telephone numbers of the applicant;

(2) the mailing address and location address of the business for which an application is submitted, including the county and state where the business is located;

(3) the name of the business and whether the business is a sole proprietorship, corporation, limited liability company, or partnership;

(4) the trade name of the business;

(5) the applicant's date of birth;

(6) if the business is a corporation or limited liability company, the name and address of the person authorized to accept service of process of Commission notices or orders pursuant to G.S. 1A, Rule 4(j);

(7) if the applicant is a nonresident intending to operate a business in the State, the name and address of a resident of the State appointed as the applicant's attorney-in-fact in accordance with Chapter 32C of the General Statutes in compliance with G.S. 18B-900(a)(2)b.;

(8) if the application is for a vendor representative, brokerage representative, distillery representative, or supplier representative permit, authorization from the commercial permittee, brokerage, distillery, or spirituous liquor supplier for the applicant to be its representative; and,

(9) the applicant is in compliance with G.S. 18B-900(a)(3) through (8).

(c) Additional documentation. The applicant shall submit the following completed, signed, notarized, and recorded documents with an application, to be incorporated as part of the application:

(1) for applicants applying on behalf of a business pursuant to G.S. 18B-900(c), the fingerprint card, Authority for Release of Information Form, and certified check, cashier check, money order, electronic payment, or credit card payment made payable to "North Carolina ABC Commission" in the amount of thirty-eight dollars ($38.00) for payment of a state and national fingerprint-based criminal history record check pursuant to G.S. 18B-902(b);

(2) for applicants applying for brokerage representative, distillery representative, or supplier representative permits, a certified copy of the applicant's State criminal history record check;

(3) payment of permit fees as authorized in 14B NCAC 15A .0104;

(4) for businesses located in this State, a certified copy of a recorded power of attorney registered in the county where the proposed licensed premises is located;

(5) for corporations not already holding a permit in this State, a copy of the Articles of Incorporation and notarized corporate certification of shareholders holding 25 percent or more of the shares of the corporation;

(6) for limited liability companies not already holding a permit in this State, a copy of Articles of Organization and notarized organizational certification of members owning 25 percent or more interest in the company. If the limited liability company is manager-managed, the application shall include a copy of the Operating Agreement;

(7) a black and white copy of applicant's current photo identification;

(8) for a business located in this State, a copy or memorandum of the lease showing the applicant as tenant, a copy of the deed showing the applicant as the grantee or owner, or a copy of a management agreement with the owner or lessee of the permitted property showing the applicant has the authority to operate the business at the permitted location; and

(9) a Federal Employer Identification or Social Security Number Verification Form.

(d) Salesmen, Representatives, Vendors To State Companies. Salesmen, vendor representatives, distillery representatives, brokerage representatives, supplier representatives, and vendors shall state on the permit application the name of every manufacturer, importer, wholesaler, distillery, brokerage, spirituous liquor supplier, or vendor that the applicant represents in the State. The persons listed in this Paragraph shall notify the Commission of the termination of authorization to represent an industry member. The manufacturer, importer, wholesaler, distillery, brokerage, spirituous liquor supplier, or vendor shall notify the Commission of the persons listed in this Paragraph no longer being an authorized representative. Persons required to provide notification pursuant to this Paragraph shall notify the Commission in writing within 30 days of the termination of the authorization to represent.

(e) Wholesalers. In addition to the requirements set forth in Paragraphs (a), (b), and (c) of this Rule, before a wholesaler receives, possesses, transports, sells, delivers, or ships wine or malt beverages in the State, the vendor shall file with the Commission a separate distribution agreement filing form for each brand authorized to be sold by the wholesaler and the specific territory where the product may be sold for each wholesaler location. The distribution agreement filing form shall contain the vendor and wholesaler names, trade names, addresses, telephone numbers, Commission permit numbers, the name of the brand, and the territory where the sales may take place in the State, by county or parts of counties. For wine vendors, the form shall also state whether the vendor shipped 1,250 cases or more of wine in the State during the preceding calendar year. The vendor and the wholesaler shall sign and date the form. If changes in the distribution agreement affect the information on the distribution agreement filing form filed with the Commission, the wholesaler shall amend the form and file it with the Commission on a revised distribution agreement filing form before the changes become effective.

(f) Liquor Importer/Bottler. In addition to the requirements set forth in Paragraphs (a), (b), and (c) of this Rule, a liquor importer/bottler applying for a permit shall submit a description of the operations of its business, the location address of a storage facility or bottling plant if different than the address shown on the permit application, and associated federal alcoholic beverage permit numbers.

(g) Nonresident Vendors. In addition to the requirements set forth in Paragraphs (a), (b), and (c) of this Rule, a nonresident malt beverage vendor, a nonresident wine vendor, or a nonresident spirituous liquor vendor applying for a permit shall submit the following:

(1) a copy of the Federal Basic Permit or Brewers Notice;

(2) a statement of whether the business is a malt beverage, wine, or spirituous liquor vendor;

(3) a statement whether the applicant has ever been disapproved by a government agency for an application to manufacture, use, store, rectify, bottle, distribute, sell, import, or transport distilled spirits, malt beverages, or wine;

(4) a statement whether the applicant has ever compromised, by payment of penalties or otherwise, a violation of federal or state laws relating to internal revenue or customs taxation of alcoholic beverages; and

(5) certification of understanding that the applicant shall only engage in activities authorized by the laws of this State for the permit issued, and that no alcoholic beverages products may be offered for sale in the State unless the Commission has approved the product and label.

(h) Wine Producers. In addition to the requirements set forth in Paragraphs (a), (b), and (c) of this Rule, a wine producer applying for a permit shall submit a copy of the recorded deed or lease for the farming establishment that meets the requirements set forth in G.S. 18B-1000(10), including the address of the farm and one of the following:

(1) a survey or diagram of the farm, indicating the areas and acreage used in the production of grapes, berries, or other fruits for the manufacture of unfortified wine; or

(2) an affidavit stating the farm consists of at least five acres committed to the production of grapes, berries, or other fruits for the manufacture of unfortified wine, listing the acreage used for this purpose and its function.

(i) Wine Shippers. In addition to the requirements set forth in Paragraphs (a), (b), and (c) of this Rule, a wine shipper applying for a permit shall submit the following:

(1) a description of the operation of the business;

(2) a website address through which orders will be received;

(3) a statement whether the applicant has ever been disapproved by a government agency for an application to manufacture, use, store, rectify, bottle, distribute, sell, import or transport distilled spirits, malt beverages, or wine;

(5) a statement whether the business entity holds a valid Federal Basic Permit, either as a Bonded Wine Cellar or Bonded Winery, and a copy of the Federal Basic Permit; and

(6) a wine shipper brand list identifying the brands of fortified and unfortified wines to be shipped into the State by the wine shipper, including the names of the common carriers used for shipping. The permitted wine shipper may amend the brands of wine permitted to be shipped into the State by filing an amended wine shipper brand listing with the Commission prior to shipping. Only brands identified by the wine shipper to the Commission in writing are legal to ship into the State.

History

Authority G.S. 18B-100; 18B-109; 18B-207; 18B-900; 18B-902; 18B-1000; 18B-1001.1; 18B-1105.1; 18B-1113; 18B-1114; 18B-1114.3; 18B-1114.7; 18B-1203; 18B-1303
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0102 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Amended Eff. April 1, 2019
Readopted Eff. January 1, 2026.

14B NCAC 15C .0103 Beer Franchise Law; "brand" Defined

For purposes of Article 13 of Chapter 18B of the General Statutes, the Beer Franchise Law, a distribution agreement between a supplier and wholesaler applies to all products distributed by the supplier under the same brand name. Different categories of products manufactured and marketed under a common identifying trade name are considered to be the same brand. The Commission shall determine the brand at the time the product is approved for sale in North Carolina. Later changes to advertising strategy or labeling shall not affect the Commission's brand determination. Different packaging, style, font, or container does not establish different brands. The name of the manufacturer shall not be the brand name unless no other information on the label qualifies as a brand.

Note: As an illustration, the "Old Faithful" brand manufactured by Yellowstone Brewery Co. would include "Old Faithful", "Old Faithful Light", "Old Faithful Draft", "Old Faithful Dry," and other products identified principally by and relying upon the "Old Faithful" name, but would not include "Old Teton" which was also manufactured by Yellowstone Brewery Co.

History

Authority G.S. 18B-100; 18B-207; 18B-1303(a)
Eff. November 1, 1994
Amended Eff. April 1, 2011
Transferred and Recodified from 04 NCAC 02T .0103 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0104 Wine Product Brand

(a) The Commission shall determine a product brand at the time the product is approved for sale in North Carolina. Later changes in the manufacturer's advertising strategy or labeling shall not affect the brand. Different packaging, style, type, or size of container, do not establish different brands. The name of the manufacturer shall not be the brand name unless no other information on the label qualifies as a brand.

(b) For purposes of Bordeaux Chateau wine brought into North Carolina under the French negoçiant system only, "brand" as defined in 14B NCAC 15A .0103 shall be determined based on the nonresident wine vendor or importer's name on the back of the product label. For purposes of Bordeaux Chateau wines only, wines manufactured and marketed under a common identifying trade name such as "Chateau Domaine," but which may be imported into the United States through multiple channels based on written authorizations from French negoçiants would not be considered to be the same brand. Such written authorization must be submitted to the Commission on a form provided by the Commission prior to product approval or brand registration.

History

Authority G.S. 18B-100; 18B-207; 18B-1203
Eff. April 1, 2011
Amended Eff. December 1, 2012
Transferred and Recodified from 04 NCAC 02T .0104 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. January 1, 2026.

14B NCAC 15C .0201 Malt Beverage Product Approval: Listing in State

(a) The Commission shall approve malt beverage products prior to the products being offered for sale in this State. The Commission shall provide Application for Malt Beverage Label and Products forms through the Commission's public website or upon request. Approved malt beverage products sold in this State shall conform to the analysis as submitted on the application form.

(b) The Commission shall approve malt beverage products if:

(1) the procedure for approval is complied with as required in Paragraph (c) of this Rule;

(2) the analysis is within the limits as required in Paragraph (d) of this Rule;

(3) the malt beverage product meets or exceeds the packaging requirements of Rule .0301 of this Subchapter; and

(4) at the time of consideration, the Commission does not have evidence the product:

(A) contains harmful or impure substances;

(B) contains an improper balance of substances, based on studies by universities, laboratories, the Commission or other scientific studies;

(D) is unfit for human consumption.

(c) Procedure for Approval. To receive consideration for approval by the Commission for a new malt beverage product, an industry member shall comply with the following procedures:

(1) submit a completed Application for Malt Beverage Label and Products with a list of container sizes being offered;

(2) attach malt beverage product labels specified on the application to the form;

(3) upon request from the Commission, submit a sample of the product in a marketable container;

(4) attach a copy of the Federal Label Approval Form (COLA) to the application form; and

(5) submit required items to the Commission Product Section at product@abc.nc.gov.

(d) Malt beverage analyses shall be within the following limits:

(1) a maximum 15 percent alcohol by volume;

(2) a maximum 25 parts per million of total sulphur dioxide content; and

(3) a maximum 100 parts per million of gallo tannins.

(e) Analyses of products submitted by industry members shall provide the following information in English:

(1) the measured amounts listed in Paragraph (d) of this Rule;

(2) the calories per 360 milliliters (12 ounces);

(3) the specific gravity; and

(4) the amount of fortified stimulant per 360 milliliters (12 ounces).

(f) The Commission shall withdraw approval of a malt beverage product when the Commission has evidence to suspect that the product:

(1) contains harmful or impure substances;

(2) contains an improper balance of substances;

(3) is a spurious or imitation product; or

(4) is unfit for human consumption.

The Commission shall not re-approve a malt beverage product until receipt of evidence that the basis for withdrawal of approval was corrected.

(g) A person possessing malt beverage products with approval withdrawn by the Commission shall have 60 days after notice of the withdrawal to sell or otherwise dispose of the malt beverage products.

(h) Each Application for Malt Beverage Label and Products shall include the following information:

(1) the trading as name of the applicant;

(2) the applicant's North Carolina ABC permit number;

(3) the mailing address of the applicant;

(4) the name, email address, and telephone number of the contact person for the applicant;

(5) whether the application is for a new malt beverage, a transfer of a malt beverage brand to a new supplier; or a revision of a previously approved malt beverage product which requires the inclusion of the North Carolina product code number on the form;

(6) the brand name of the malt beverage;

(7) the fanciful name of the malt beverage if indicated on the label;

(8) the type of malt beverage as identified in Subpart I of 27 CFR Part 7, available free of charge at https://www.ecfr.gov/current/title-27/chapter-I/subchapter-A/part-7/subpart-I;

(9) the types and sizes of containers included for approval;

(10) if the supplier is a North Carolina brewery, the applicant must indicate whether the malt beverages will be sold only in North Carolina or will be sold in other states to determine whether a COLA must be included with the application;

(11) the applicant must indicate whether the malt beverage does not include malt or hops, referenced in the industry as IRC beer, to determine whether a COLA must be included with the application;

(12) the applicant must indicate whether the brand is a private label that is owned by a specific retail permittee; and,

(13) the product analysis certification on the application must include the name of the certifier, the alcohol by volume resulting from the certifier's analysis, and the signature and title of the certifier.

History

Authority G.S. 18B-100; 18B-203(a)(5); 18B-206; 18B-207
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0201 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0202 Wine Approvals; Listing in State

(a) Except as provided in 14B NCAC 15B .0216 for special orders, the Commission shall approve wine products prior to the wine products being offered for sale in the State. The Commission shall provide blank Application for Wine Label and Products forms through the Commission's website or upon request. Thereafter, approved wine products sold in this State shall conform to the analysis as submitted on the application form.

(b) The Commission shall approve a wine product if:

(1) the procedure for approval is complied with as required in Paragraph (d) of this Rule;

(2) it is a fortified wine product that the alcohol by volume is above 16 percent and no more than 24 percent;

(3) it is an unfortified wine product that the alcohol by volume is 16 percent or less;

(4) the wine product meets or exceeds the packaging requirements as required in 14B NCAC 15C .0301, and

(5) at the time of consideration, the Commission does not have evidence to suspect that the product:

(A) contains harmful or impure substances;

(B) contains an improper balance of substances, based on studies by universities, laboratories, the Commission or other scientific studies;

(D) is unfit for human consumption.

(c) Procedure for Approval. To receive consideration for approval by the Commission for a new wine product, an industry member shall comply with the following procedures:

(1) submit a completed Application for Wine Label and Products;

(2) submit separate applications for fortified and unfortified wine products;

(3) attach all wine product labels that are specified on the application to the form;

(4) upon request from the Commission, submit a 500 milliliter (or a larger size if 500 milliliter is not available) bottle of each product offered;

(5) attach a copy of the Federal Label Approval Form (COLA), found for free at https://www.ttb.gov/alfd/certificate-of-label-aproval-cola, to the application; and

(6) submit required items to the Commission Product Section at product@abc.nc.gov.

(d) If an analysis of a product is submitted, it shall provide at least the following information in English:

(1) alcohol by volume (percent);

(2) total acidity (g/100 cc as tartaric acid);

(3) total sulphur dioxide content (ppm);

(4) volatile acidity, exclusive of sulphur dioxide (g/100 cc as acetic acid);

(5) alcohol-free soluble solids (degrees/Brix degrees/Balling);

(6) identity and quantity of any added chemical preservative; and

(7) the amount of any fortified stimulant per container.

(e) The Commission shall withdraw approval of a wine product when the Commission has evidence to suspect that the product:

(1) contains harmful or impure substances;

(2) contains an improper balance of substances;

(3) is a spurious or imitation product; or

(4) is unfit for human consumption.

The wine product shall not be reapproved until the Commission has evidence that proves otherwise.

(f) A person possessing wine products that have had the approval withdrawn by the Commission shall have 60 days after notice of the withdrawal to sell or otherwise dispose of the wine products.

(g) Each Application for Wine Label and Products shall include the following information:

(1) the trading as name of the applicant;

(2) the applicant's North Carolina ABC permit number;

(3) the mailing address of the applicant;

(4) the name, email address, and telephone number of the contact person for the applicant;

(5) whether the application is for a new wine, a transfer of a wine brand to a new supplier; or a revision of a previously approved wine product which requires the inclusion of the North Carolina product code number on the form;

(6) the brand name of the wine;

(7) the fanciful name of the wine;

(8) the class or type of wine as identified in Subpart C of 27 CFR Part 4, available free of charge at https://www.ecfr.gov/current/title-27/chapter-I/subchapter-A/part-4/subpart-C;

(9) the grape varietal if indicated on the label;

(10) the appellation of the wine:

(11) the types and sizes of containers included for approval;

(12) indicate whether the applicant is the primary source of supply in the United States for the product;

(13) indicate whether the wine is a Bordeaux to determine whether a negociant form is required;

(14) the applicant must indicate whether the brand is a private label that is owned by a specific retail permittee; and,

(15) the product analysis certification on the application must include the name of the certifier, the alcohol by volume resulting from the certifier's analysis, and the signature and title of the certifier.

History

Authority G.S. 18B-100; 18B-203(a)(5); 18B-206; 18B-207
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0202 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14b NCAC 15C .0203 Spirituous Liquor Product Approvals

(a) Spirituous liquor suppliers shall receive approval from the Commission prior to selling spirituous liquor products in this state.

(b) The distillery, rectifier, bottler, or importer shall submit items to the Commission for consideration for listing by the New Item form.

(c) If a spirituous liquor supplier has the proper permits to conduct business in North Carolina, Pricing Section staff will assign login credentials for the ABC Pricing System at https://pricing.abc.nc.gov/. A supplier must use the ABC Pricing System to access the New Item form referenced in Paragraph (b) of this Rule.

(d) Each New Item form submitted for consideration shall include the following information:

(1) brand name of the spirituous liquor;

(2) category of spirituous liquor as identified in Subpart I of 27 CFR Part 5, available free of charge at https://www.ecfr.gov/current/title-27/chapter-I/subchapter-A/part-5/subpart-I.;

(3) Universal Product Code for the package of spirituous liquor;

(4) shipping container code and shipping point;

(5) whether the spirituous liquor is imported or domestic;

(6) age of the spirituous liquor in either years or months;

(7) alcohol proof amount;

(8) case length, height, width, and weight, including the unit of measurement;

(9) type of pallet;

(10) cases per layer of the pallet;

(11) size of the individual container;

(12) bottles or units per case;

(13) case cost Free On Board;

(14) freight cost; and,

(15) name of supplier.

History

Authority G.S. 18B-100; 18B-203(a)(5); 18B-206; 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02T .0203 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0204 Spirituous Liquor Product Lists

History

Status: repealed
Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0204 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Repealed Eff. January 1, 2026.

14B NCAC 15C .0205 Samples Required on Request

Upon demand of the Commission, an industry member shall furnish samples at no cost to the Commission of alcoholic beverage products manufactured, sold, or offered for sale in this State, for the purpose of analysis.

History

Authority G.S. 18B-100; 18B-206(c); 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0205 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0206 New Filing Required Upon Transfer of Brand

When a malt beverage or wine brand is transferred from one nonresident vendor, manufacturer or importer to another, the new vendor, manufacturer or importer shall, within 30 days of the acquisition of the brand or product, submit the following items, as defined in 14B NCAC 15C .0201-.0203, to the Commission:

(1) label approval application form with labels attached;

(2) copies of Federal Label Approval forms;

(3) a certified laboratory analysis of the product, in English, showing alcohol content by volume, and

(4) the wholesaler territorial designations for the brand and product that were in effect on the date the product was acquired by the vendor, manufacturer or importer.

Compliance with this Rule is mandatory notwithstanding that the product has been previously approved by the Commission.

History

Authority G.S. 18B-100; 18B-203(a); 18B-206; 18B-207; 18B-1203; 18B-1303(a); 18B-1305(d)
Eff. July 1, 1992
Amended Eff. April 1, 2011
Transferred and Recodified from 04 NCAC 02T .0206 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0301 Packaging Requirements

No industry member shall sell, offer for sale, or possess for the purposes of sale in this State wine or malt beverages unless:

(1) The alcoholic beverage product is packaged, marked, branded, sealed, and labeled in conformity with these Rules.

(2) The label on a product describes the contents of the container in accordance with standards of identity.

(3) The industry member responsible for label or product approval provides the Commission with a valid certificate of label approval from Alcohol and Tobacco Tax and Trade Bureau of the US Department of the Treasury.

History

Authority G.S. 18B-100; 18B-206(a); 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0301 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0302 Labels to Be Submitted to Commission

(a) Industry members shall submit labels for malt beverage and wine products to the Commission on an application for label and products form as required by Rule .0201 or .0202 of this Subchapter.

(b) Each label approval application shall contain the names and addresses of the manufacturer, bottler, and importer of the product.

(c) Notwithstanding Paragraphs (a) and (b) of this Rule, holders of retail permits pursuant to G.S. 18B-1001(1), (2), (3), (4), (16), or (16a) that fill or refill growlers on demand do not need to submit labels required by Rules .0303(b)-(c) or .0304(d)-(e) of this Section.

History

Authority G.S. 18B-100; 18B-206(a); 18B-207; 18B-1001
Eff. January 1, 1982
Temporary Amendment Eff. October 25, 2013
Amended Eff. September 1, 2014
Transferred and Recodified from 04 NCAC 02T .0302 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Temporary Amendment Eff. November 28, 2017
Amended Eff. August 1, 2018
Readopted Eff. February 1, 2026.

14b NCAC 15C .0303 Label Contents: Malt Beverages

(a) Breweries that prefill containers with malt beverages shall affix labels that contain the following information in compliance with Subpart D of 27 CFR Part 7:

(1) brand name of product;

(2) name and address of brewer or bottler;

(3) class of product as identified in Subpart I of 27 CFR Part 7;

(4) net contents;

(5) if the malt beverage is fortified with any stimulants, the amount of each stimulant by milligrams per container; and

(6) the alcoholic beverage health warning statement as required by the Federal Alcohol Administration Act, Subpart C of 27 CFR Part 16.

(b) Permittees who fill growlers with malt beverages, or refill on demand, pursuant to Rule .0308 of this Section shall affix a label or tag to the growler containing the following information in type not smaller than 3 millimeters in height and not more than 12 characters per inch:

(1) brand name of the product dispensed;

(2) name of brewer or bottler;

(3) class of product as identified in Subpart I of 27 CFR Part 7;

(4) net contents;

(5) if the malt beverage is fortified with any stimulants from the original manufacturer, the amount of each stimulant in milligrams per container;

(6) name and address of business that filled or refilled the growler;

(7) date of fill or refill;

(8) if the malt beverage is more than six percent alcohol by volume, the amount of alcohol by volume pursuant to G.S. 18B-101(9); and

(9) the following statement: "This product may be unfiltered and unpasteurized. Keep refrigerated at all times."

(c) Permittees who fill growlers with malt beverages, or refill on demand, pursuant to Rule .0308 of this Section shall affix a label or tag to the growler containing the alcoholic beverage health warning statement as required by 27 CFR Part 16.

(d) All provisions of the CFR mentioned in this rule are incorporated by reference, including subsequent amendments and editions, and may be accessed for free at https://www.ecfr.gov/current/title-27/chapter-I/subchapter-A.

History

Authority G.S. 18B-100; 18B-101(9); 18B-206(a); 18B-207; 18B-1001
Eff. January 1, 1982
Amended Eff. April 1, 2011
Temporary Amendment Eff. October 25, 2013
Amended Eff. September 1, 2014
Transferred and Recodified from 04 NCAC 02T .0303 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Temporary Amendment Eff. November 28, 2017
Amended Eff. August 1, 2018
Readopted Eff. February 1, 2026.

14B NCAC 15C .0304 Label Contents: Wine

(a) Wineries that prefill containers with wine shall affix labels that contain the following information in compliance with Subpart D of 27 CFR Part 4;

(1) brand name of product;

(2) class and type;

(3) name and address of manufacturer, or bottler, except as otherwise provided in these Rules;

(4) for blends of foreign and domestic wine, a reference made to the presence of foreign wine must include the exact percentage by volume of the foreign wine;

(5) net contents unless otherwise permanently blown or inscribed on the container; and

(6) the alcoholic beverage health warning statement as required by the Federal Alcohol Administration Act, Subpart C of 27 CFR Part 16.

(b) Exception for Retailer's Private Brand. If wine is packaged for a retailer or other person under the person's private brand, the name and address of the bottler may be stated on another label affixed to the container if the name and address of the person for whom the wine was bottled or packed appears on the label. The net contents shall be stated on the brand label or on a separate label affixed on the same side of the container unless otherwise permanently blown or inscribed on the container.

(c) Imported Wines. The name and address of the importer of a foreign wine need not be stated on the brand label if it is stated upon another label affixed to the container.

(d) Permittees who fill growlers with unfortified wine, or refill on demand, pursuant to Rule .0308 of this Section shall affix a label or tag to the growler containing the following information in type not smaller than 3 millimeters in height and not more than 12 characters per inch:

(1) brand name of the product dispensed;

(2) name of manufacturer or bottler;

(3) class and type of product;

(4) net contents;

(5) name and address of business that filled or refilled the growler;

(6) date of fill or refill; and

(7) the following statement: "This product may be unfiltered and unpasteurized. Keep refrigerated at all times."

(e) Permittees who fill growlers with unfortified wine, or refill on demand, pursuant to Rule .0308 of this Section shall affix a label or tag to the growler containing the alcoholic beverage health warning statement as required by 27 CFR Part 16.

(f) All provision of the CFR cited in this rule are incorporated by reference, including subsequent amendments and editions, and may be accessed for free at https://www.ecfr.gov/current/title-27/chapter-I/subchapter-A/part-4/subpart-D.

History

Authority G.S. 18B-100; 18B-206(a); 18A-207; 18B-1001
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0304 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Temporary Amendment Eff. November 28, 2017
Amended Eff. August 1, 2018
Readopted Eff. February 1, 2026.

14b NCAC 15C .0305 All Containers to Have Label

Bottles, barrels, casks, kegs, cans, or other closed containers, irrespective of size or composition, that are used for the transportation, importation, or sale of malt beverages or wine shall bear a brand label containing the information required by Rules .0303 and .0304 of this Section.

History

Authority G.S. 18B-100; 18B-206(a); 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0305 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0306 Label Alteration

Permittees and their employees shall not alter, mutilate, destroy, obliterate, remove, or cover a label on wine or malt beverages kept for sale in this State. Permittees may affix an additional label or relabel a container to comply with this Section or federal or state laws and regulations.

History

Authority G.S. 18B-100; 18B-206(a); 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0306 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0307 Growlers

(a) As used in this Section, a "growler" is a rigid glass, ceramic, plastic, aluminum, or stainless steel container, with a secured seal closure or cap, that is no larger than 4 liters (1.0567 gallons) into which a malt beverage or unfortified wine is prefilled, filled, or refilled on demand for off-premises consumption.

(b) Malt beverages may be sold in growlers as follows:

(1) Holders of only a brewery permit may sell, deliver, and ship growlers prefilled with the brewery's malt beverage for off-premises consumption provided the growler has an attached label that provides the information as required by Rules .0303(a) and .0305 of this Section.

(2) Holders of retail permits pursuant to G.S. 18B-1001(1), (2), (16), or (16a) who do not hold a brewery permit shall not prefill growlers with malt beverage.

(3) Holders of a brewery permit who also have retail permits pursuant to G.S. 18B-1001(1) may fill or refill growlers on demand with the brewery's malt beverage for off-premises consumption, provided the growler has an attached label as required by Rules .0303(b) and (c) and .0305 of this Section.

(4) Holders of retail permits pursuant to G.S. 18B-1001(1), (2), (16), or (16a) may fill or refill growlers on demand with draft malt beverage for off-premises consumption, provided the growler has an label as required by Rules .0303(b) and (c) and .0305 of this Section.

(1) Holders of only an unfortified winery permit may sell, deliver, and ship growlers prefilled with the winery's unfortified wine for off-premises consumption provided the growler has an attached label that provides the information as required by Rules .0304(a), (b), and (c), and .0305 of this Section.

(2) Holders of retail permits pursuant to G.S. 18B-1001(3), (4), (16), or (16a) who do not hold an unfortified winery permit shall not prefill growlers with unfortified wine.

(3) Holders of an unfortified winery permit who also have retail permits pursuant to G.S. 18B-1001(3) may fill or refill growlers on demand with the winery's unfortified wine for off-premises consumption, provided the growler has an attached label as required by Rules .0304(d) and (e) and .0305 of this Section.

(4) Holders of retail permits pursuant to G.S. 18B-1001(3), (4), (16), or (16a) may fill or refill growlers on demand with unfortified wine for off-premises consumption, provided the growler has an attached label as required by Rules .0304(d) and (e) and .0305 of this Section.

(d) Holders of retail permits pursuant to G.S. 18B-1001(1), (2), (3), (4), (16), or (16a) shall affix a label to the growler as required by Rules .0303(b) and (c), .0304(d) and (e), and .0305 of this Section when filling or refilling a growler.

(e) Holders of retail permits pursuant to G.S. 18B-1001(1), (2), (3), (4), (16), or (16a) may, in their discretion, refuse to fill or refill a growler, except in matters of discrimination pursuant to G.S. 18B-305(c).

History

Authority G.S. 18B-100; 18B-206(a); 18B-207; 18B-305; 18B-1001
Eff. April 1, 2011
Temporary Amendment Eff. October 25, 2013
Amended Eff. September 1, 2014
Transferred and Recodified from 04 NCAC 02T .0308 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Temporary Amendment Eff. November 28, 2017
Amended Eff. May 1, 2022; August 1, 2018
Readopted Eff. February 1, 2026.

14B NCAC 15C .0308 Growlers: Cleaning, Sanitizing, Filling and Sealing

(a) Except as permitted pursuant to Rules .0307(b) and (c) of this Section, permittee and permittee's employee shall fill and refill growlers only on demand by a consumer.

(b) Only a permittee or a permittee's employee shall fill or refill a growler.

(c) Prior to filling or refilling a growler, a permittee or the permittee's employee shall clean and sanitize the growler and its cap using one of the following methods:

(1) Manual washing in a three compartment sink:

(A) prior to starting, clean sinks and work area to remove any chemicals, oils, or grease from other cleaning activities;

(B) empty residual liquid from the growler to a drain. Growlers shall not be emptied into the cleaning water;

(C) clean the growler and cap in water and detergent. Water temperature shall be at a minimum 110ºF or the temperature specified on the cleaning agent manufacturer's label instructions. Detergent shall not be fat or oil based;

(D) remove any residues on the interior and exterior of the growler and cap;

(E) rinse the growler and cap in the middle compartment with water. Rinsing may be from the spigot with a spray arm, from a spigot, or from the tub as long as the water for rinsing is not stagnant and continually refreshed;

(F) sanitize the growler and cap in the third compartment. Chemical sanitizer shall be used in accordance with the EPA-registered label use instructions and shall meet the minimum water temperature requirements of that chemical; and

(G) a test kit or other device that accurately measures the concentration in mg/L of chemical sanitizing solutions shall be provided and be accessible for use; or

(2) Mechanical washing and sanitizing machine:

(A) mechanical washing and sanitizing machines shall be provided with an easily accessible and readable data plate affixed to the machine by the manufacturer and shall be used according to the machine's design and operation specifications;

(B) mechanical washing and sanitizing machines shall be equipped with chemical or hot water sanitization;

(C) concentration of the sanitizing solution or the water temperature shall be accurately determined by using a test kit or other device; and

(D) the machine shall be serviced based upon the manufacturer's or installer's guidelines.

(d) Notwithstanding Paragraph (c) of this Rule, a permittee or the permittee's employee may fill or refill a growler without cleaning and sanitizing the growler, as follows:

(1) Filling or refilling a growler with a tube as referenced by Paragraph (e) of this Rule:

(A) food grade sanitizer shall be used in accordance with the EPA-registered label use instructions;

(B) a container of liquid food grade sanitizer shall be maintained for no more than 10 malt beverage taps that will be used for filling and refilling growlers;

(D) the growler is inspected visually for contamination;

(E) after each filling or refilling of a growler, the tube shall be immersed in the container with the liquid food grade sanitizer; and

(F) a different tube from the container shall be used for each fill or refill of a growler; or

(2) Filling a growler with a contamination-free process:

(A) the growler shall be inspected visually for contamination;

(B) for growlers that can be refilled, the process shall be otherwise in compliance with the FDA Food Code 2009, Section 3-304.17(C); and

(C) for growlers that are for single use, the process shall be otherwise in compliance with the FDA Food Code 2009, Sections 4-903.11 and 4-903.12.

(e) Permittee or permittee's employee shall fill or refill growlers from the bottom of the growler to the top with a tube that is attached to the malt beverage or unfortified wine faucet and extends to the bottom of the growler or with a commercial filling machine.

(f) Permittee or permittee's employee shall immerse and store tubes to fill or refill growlers in a container with liquid food grade sanitizer.

(g) After filling or refilling a growler, a permittee or the permittee's employee shall seal the growler with a closure or cap.

History

Authority G.S. 18B-100; 18B-206(a); 18B-207; 18B-1001
Temporary Adoption Eff. October 25, 2013
Eff. September 1, 2014
Transferred and Recodified from 04 NCAC 02T .0309 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Temporary Amendment Eff. November 28, 2017
Amended Eff. August 1, 2018
Readopted Eff. February 1, 2026.

14B NCAC 15C .0401 Application of Standards

Wine produced, imported, bottled, or offered for sale in this State shall meet the standards of identity as identified in Subpart C of 27 CFR Part 4, incorporated by reference including any subsequent amendments and editions. The provisions of the CFR may be accessed for free at https://www.ecfr.gov/current/title-27/chapter-I/subchapter-A/part-4/subpart-C.

History

Authority G.S. 18B-100; 18B-206(a); 18B-207
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0401 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0402 Prohibited Practices

(a) Industry members are prohibited from producing, importing, or selling in this State wine, or a product designated under a wine category, that is imitation, substandard, or fails to conform to the standards of these Rules.

(b) Imitation Wine. Imitation wine includes:

(1) wine containing synthetic materials;

(2) wine made from a mixture of water containing residue after pressing grapes, fruit, or other agricultural products;

(3) wine treated to acquire the taste, aroma, color, or characteristics of a class or type of wine that would occur without treatment; or

(4) wine made from must concentrated to more than 80 degrees (Balling).

(1) wine with a volatile acidity, calculated as acetic acid and exclusive of sulphur dioxide, in excess of the maximum established in these Rules;

(2) wine that does not have a maximum volatile acidity prescribed in these Rules shall have a maximum volatile acidity of 0.14 gram per 100 cubic centimeters (measured at 20 degrees Centigrade);

(3) wine wine with a standard of identity prescribed in these Rules that fails to have the composition, color, taste, and aroma of wines conforming to that standard;

(4) wine containing added water, or a sugar and water solution, in excess of quantities authorized for standard wine as prescribed in these Rules;

(5) wine containing monochloracetic acid or other substance prohibited by the United States Food and Drug Administration or the United States Department of the Treasury Alcohol and Tobacco Tax and Trade Bureau; or

(6) wine containing deleterious, harmful, or impure substances or an improper balance of elements.

(d) Coined Names Industry members are prohibited from identifying wine on labels or in advertisements as a mixture of wine with other types of alcoholic beverages or as a mixture of wines that have standards of identity established in Subpart C of 27 CFR Part 4.

History

Authority G.S. 18B-100; 18B-206(a); 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0409 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14b NCAC 15C .0403 Containers

(a) Unsealed Container Prohibited. Industry members shall not sell wine in an unsealed container, except as authorized by 14B NCAC 15C .0307, a container created for a product other than wine, or in a container whose design or shape would mislead the consumer regarding the contents.

(b) Industry members shall not sell wine in containers that have, in addition to the information required by 14B NCAC 15C .0304, the blown, branded, or burned name or distinguishing mark of a different wine producer, importer, wholesaler, or bottler.

History

Authority G.S. 18B-206; 18B-207; 18B-1001
Eff. January 1, 1982
Amended Eff. June 1, 1986; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0410 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Temporary Amendment Eff. November 28, 2017
Amended Eff. August 1, 2018
Readopted Eff. February 1, 2026.

14B NCAC 15C .0404 Seizure of Substandard Wine

History

Status: repealed
Authority G.S. 18B-100; 18B-206(a); 18B-207; 18B-503
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0411 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Repealed Eff. February 1, 2026.

14B NCAC 15C .0501 Inspection of Premises

A storage facility, warehouse, or office area where alcoholic beverages are manufactured or stored, or where records of purchases, sales, or deliveries are maintained, are part of the licensed premises, and industry members shall make the entire premises available for inspection as provided in G.S. 18B-502.

History

Authority G.S. 18B-100; 18B-207; 18B-502
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0501 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0502 Record Keeping Requirements: Sales Tickets

(a) In addition to records required by the North Carolina Department of Revenue, industry members shall maintain on the licensed premises copies of original sales tickets or receipts relating to sales of alcoholic beverage products, equipment, advertising specialty items, or advertising novelties. Copies shall be in paper form or, if kept in electronic form, available to print on paper.

(b) Sales Ticket Required. Wholesalers or their salesmen shall, at the time of each sale and delivery of malt beverages or wine to a retailer, provide the following information on retail sales tickets:

(1) date of sale;

(2) name of establishment;

(3) location;

(4) quantity of each brand of malt beverages or wine sold;

(5) unit price;

(6) total price;

(7) amount received;

(8) invoice number; and

(9) route number or name.

(c) At the time of sale, the retailer or authorized agent and the wholesaler's salesman shall endorse the sales tickets by signature.

(d) Wholesalers shall retain sales tickets for three years filed alphabetically, by sales route, or by date of sale.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0502 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0503 Sanitation

Industry members shall maintain the premises and surroundings in a manner to avoid contamination or deterioration of alcoholic beverages the industry member is authorized to produce or possess.

History

Authority G.S. 18B-100; 18B-206(a); 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0503 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14b NCAC 15C .0504 Operation of Licensed Premises: Employees

Industry members:

(1) shall not employ a person less than 18 years old in a position requiring a permit;

(2) shall not allow intoxicated persons to remain on the licensed premises;

(3) shall keep the premises clean and lighted to avoid hazards to employees; or

(4) shall not use the premises as living quarters.

History

Authority G.S. 18B-100; 18B-207; 18B-1003; 18B-1005
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0504 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0505 Off-site storage location

(a) If a brewery, winery, or distillery has a noncontiguous storage location as authorized pursuant to G.S. 18B-1120, the permittee shall notify the Commission of the authorization before storing the products manufactured by the permittee at the noncontiguous location. This notification shall be deemed part of the original permit application.

(b) The brewery, winery, or distillery shall notify the Commission on a form requiring the following information:

(1) permittee's name:

(2) business mailing address;

(3) permit number;

(4) principal location address;

(5) noncontiguous storage location address;

(6) a diagram of the premises showing the entrances, exits, storage areas for alcoholic beverages, and separate storage areas for any other property or merchandise;

(7) a copy of the Alcohol and Tobacco Tax and Trade Bureau approval of the noncontiguous storage location; and

(8) a copy of the Commission's Zoning and Compliance form applicable to the noncontiguous storage location, completed pursuant to G.S. 18B-901(c).

(c) The permittee shall use the noncontiguous storage location only for storage of alcoholic beverages manufactured by the permittee and non-alcoholic beverage items owned by the permittee. The permittee shall not store alcoholic beverages in the same storage area with other property or merchandise of the permittee or any other person. The noncontiguous storage location shall be subject to inspection pursuant to G.S. 18B-502 and 14B NCAC 15C .0501.

History

Authority G.S. 18B-100; 18B-207; 18B-502; 18B-901; 18B-1120
Eff. March 1, 2018
Readopted Eff. February 1, 2026.

14B NCAC 15C .0601 Approved Brands Only

Wholesalers shall not sell alcoholic beverages in this State unless approved by the Commission or as provided in 14B NCAC 15B .0216.

History

Authority G.S. 18B-100; 18B-207; 18B-1005
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0601 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0602 Sales and Purchase Restrictions: Records

(a) Suppliers, or their designees, shall deliver malt beverages, unfortified wine, and fortified wine, intended for sale, delivery, or shipment to retail permittees, to the wholesaler assigned to the sales territory where the retail permittee is located. The wholesaler shall unload the alcoholic beverages from the delivery vehicle, place the delivery where its weight is supported by the wholesaler's floor, inventory, inspect, and verify the delivery for tax purposes. The provisions of this Paragraph do not apply to products sold, delivered, or shipped pursuant to G.S. 18B-1101(7) or G.S. 18B-1104(a)(8).

(b) Malt beverage wholesalers shall not sell malt beverages to a person who does not hold a retail or wholesale malt beverage permit, and wine wholesalers shall not sell fortified wine or unfortified wine to a person who does not hold a retail or wholesale fortified or unfortified wine permit. A wholesaler may furnish or sell wine or malt beverages to the wholesaler's employees pursuant to G.S. 18B-1107(a)(3) and 18B-1109(a)(3).

(d) Retail permittees selling malt beverages or wine shall keep sales tickets and delivery receipts required by 14B NCAC 15C .0502 separate and apart from nonalcoholic beverage records. Delivery receipts shall state the terms of sale per transaction and shall include the following:

(1) date of sale;

(2) trade name of the retail establishment;

(3) location of the retail establishment;

(4) quantity of brand of malt beverages or wine sold;

(5) unit price;

(6) total price;

(7) amount paid; and

(8) invoice or receipt number.

(e) The retailer shall keep copies of all sales tickets and delivery receipts available for inspection on the premises for three years.

(f) A retail permittee may maintain malt beverage and wine invoices at one location, other than the licensed premises, upon written application to and approval by the Commission at permits@abc.nc.gov. When reviewing the application, the Commission shall consider the following:

(1) permits held by the same applicant;

(2) electronic copies of the invoices will be accessible to law enforcement at the retail location; and

(3) the permittee agrees to make the original invoices available on the licensed premises to law enforcement within 48 hours of the request by law enforcement.

History

Authority G.S. 18B-100; 18B-207; 18B-1107; 18B-1109; 18B-1113; 18B-1114
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0602 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Amended Eff. August 23, 2022
Readopted Eff. February 1, 2026.

14B NCAC 15C .0603 Holding of Checks Prohibited

A wholesaler shall not delay, at the request of the retailer or for the benefit of the retailer, the deposit of checks issued to the wholesaler by a retailer for alcoholic beverages delivered to the retailer. When a retailer's payment to the wholesaler is returned by the bank due to non-sufficient funds, the wholesaler shall attempt to redeposit the check. If the check is returned to the wholesaler a second time due to non-sufficient funds, the wholesaler shall report the matter to the Commission within 10 days of the second notice of non-sufficient funds.

History

Authority G.S. 18B-100; 18B-207; 18B-1116(a)(3)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0603 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0604 Collection of Amount of Sale

(a) Wholesalers shall collect the full amount of the sale price in cash or bona fide check at the time of or prior to delivery of alcoholic beverages to a retailer except as provided in this Rule. A wholesaler shall not extend credit to a retailer who purchases malt beverages or wine from the wholesaler.

(b) Paragraph (a) of this Rule does not apply to wholesaler sales and deliveries upon military reservations or installations.

(c) A route salesman may accept one payment for all deliveries made on the same day to the same permittee if two or more of the permittee's retail premises are on the salesman's route. The route salesman shall collect payment for all permittee's deliveries no later than the last of permittee's stores on the route. A route salesman shall not collect payment from a permittee at an office location unless the office is located on the premises where a delivery is made.

For purposes of this Rule, the term "check" shall include the electronic transfer of funds from a retailer to a wholesaler. Prior to an electronic transfer of funds, the retailer and the wholesaler shall execute a written agreement regarding the terms for electronic transfer of funds for payment of alcoholic beverages, and shall include authorization for the wholesaler to initiate the transfer after delivery of alcoholic beverages to the retailer. The wholesaler shall initiate the electronic transfer of funds before the end of the business day following the day of delivery. A retailer shall be responsible for costs associated with the retailer's use of electronic transfer of funds. This Rule shall not waive record keeping requirements of 14B NCAC 15C .0502.

History

Authority G.S. 18B-100; 18B-207; 18B-1116
Eff. January 1, 1982
Amended Eff. June 1, 1996; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0604 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0605 Platform Sales

Platform sales, when a wholesaler sells malt beverages or wine at the wholesaler's premises to persons holding retail permits, are authorized.

History

Authority G.S. 18B-100; 18B-207; 18B-1107; 18B-1109
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0606 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14b NCAC 15C .0606 Draft Malt Beverage Sales: Accessories: Deliveries

(a) A wholesaler shall transport draft malt beverages in kegs to the premises of a licensed retailer. The wholesaler shall collect for the sale, and the retailer shall sign the sales ticket and add the name of the purchaser and the delivery address for the draft malt beverages. If the purchaser of the draft malt beverages can not transport the keg or does not know how to set up and tap the keg, the purchaser may request the wholesaler's assistance. Upon receiving a a request for assistance, the wholesaler may deliver the keg from the retailer's premises to the purchaser and delivery address designated on the sales ticket.

(b) At the designated place of delivery, the wholesaler may set up the equipment, tap the keg, and test to see that the keg is functioning.

(c) A wholesaler may deliver to a consumer hand pumps, carbon dioxide cylinders, related gauges, tubs, ice, and cups with the kegs. Accessories may be left with a retailer only when the retailer has a specific and current order from a consumer, and either the retailer will deliver or the purchaser will pick up the kegs and accessories. This Rule does not authorize a wholesaler to loan or rent tubs or tapping accessories to a retailer.

(d) If a brewery charges a wholesaler a deposit for a draft malt beverage keg, the wholesaler shall charge and collect the deposit from the retailer when the keg is delivered to the retailer.

History

Authority G.S. 18B-100; 18B-207; 18B-1116
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0607 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. February 1, 2026.

14B NCAC 15C .0607 Malt Beverage and Wine Shipments to Military Bases

Only a wholesaler with a permit pursuant to G.S. 18B-1107 or G.S. 18B-1109 shall ship malt beverages or wine directly to a United States military reservation or installation within North Carolina. All malt beverages and wine to be delivered to military reservations or installations shall be shipped to wholesalers. The shipments shall come to rest upon the warehouse floor of the wholesalers pursuant to 14B NCAC 15C .0602(a) before the wholesaler is authorized to deliver them to United States military reservations or installations within North Carolina.

History

Authority G.S. 18B- 100; 18B-109(b); 18B-207; 18B-1101(2); 18B-1102(2); 18B-1104(3); 18B-1113; 18B-1114
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0609 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Amended Eff. August 23, 2022
Readopted Eff. February 1, 2026.

14B NCAC 15C .0608 Refusal to Sell; Pricing; Servicing Accounts

(a) Refusal to Sell to Retailer. A wholesaler of malt beverages or wine may refuse to sell alcoholic beverages to a retailer for legitimate business reasons so long as the decision not to sell is not related to the size of the account, the distance of the retailer's premises from the wholesaler's warehouse, or the sex, race, age, religion or national origin of the permittee.

(b) Pricing. As used in G.S. 18B-1303(b), the term "service" shall not be construed to prohibit a malt beverage wholesaler from reducing the price of a product in a portion of his assigned territory if the price reduction is made in order to meet a competitor's lower prices offered on similar categories of malt beverage products (e.g. "premium" or "low end" products) in that same portion of the territory.

History

Authority G.S. 18B-100; 18B-207; 18B-1303(b)
Eff. July 1, 1992
Transferred and Recodified from 04 NCAC 02T .0610 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

14B NCAC 15C .0701 Definitions

For the purposes of this Section, the following definitions shall apply:

(1) "Equipment" shall include draft beer boxes, wine dispensing machines, refrigeration devices, sinks, dishwashers, dispensing trucks, trailers, caddies, and other items used for the preparation, serving, dispensing, or cleaning of food, beverages, or food and beverage containers.

(2) "Point-of-Sale advertising" shall mean advertising material including signs, posters, banners, and decorations:

(a) containing alcoholic beverage product advertising matter;

(b) having no secondary value to the retailer; and

(c) designed and intended to be used inside a retailer's licensed premises where alcoholic beverages are displayed and sold.

(3) "Promotion" shall include advertising, publicity, or sponsorship activity in connection with a special event, function, or holiday outside the scope of routine sales and marketing, including fundraisers, concerts, sporting events, festivals, celebrations, anniversaries, ceremonies, operations, observances, sweepstakes, or contests.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0702 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0702 Malt Beverages: Allowances for Damage

Malt beverage industry members shall not provide a credit or allowance to a retailer for flat beer or chipped or broken bottles, except when the retailer returns the tops of the bottles with glass attached to the industry member. Industry members shall not provide a refund on canned malt beverages opened by a can opener or pull tab. Industry members may give refunds on canned malt beverages if damaged during shipment to the wholesaler or retailer.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0703 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0703 Removal or Disturbance of Other Brands Prohibited

Wholesalers shall not remove from a retailer's premises bottles, cartons, or kegs bearing brand identification unless the wholesaler is authorized to distribute the brand. Wholesalers shall not remove, rearrange, or otherwise disturb malt beverages or wine displayed by another wholesaler on a retail licensed premises except:

(1) to return merchandise to its assigned shelf space when placed in the wholesaler's assigned space;

(2) to remove a competitor's product from a promotional display area assigned to the wholesaler if the competitor's personnel are unavailable when the wholesaler's product is scheduled to go on promotion; or

(3) with the consent of the affected wholesaler.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0704 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0704 Quantity Discounts Prohibited

A wholesaler or wholesaler's salesman shall not give a retailer a quantity discount on the price of malt beverages or wine. A quantity discount includes charging a fee for an order of less than a full case when the same fee is not charged for full case orders. Retailers shall not require a wholesaler to provide quantity discounts.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0705 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0705 Exclusive Outlets

An industry member shall not require, by agreement or otherwise, or by any means, that a retailer purchase alcoholic beverages from the industry member pursuant to the following practices:

(1) contractual purchase agreements;

(2) threat of loss of supply;

(3) purchases made as a prerequisite for the purchase of short supply items; or

(4) coercion by the industry member, including threats of physical or economic harm.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0706 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0706 Inducements (tied House)

Industry members shall not:

(1) acquire or hold an interest in a license or permit or the premises of a retail permittee;

(2) acquire an interest in real or personal property owned, occupied, or used by a retail permittee for the retailer's business;

(3) furnish, give, rent, lend, or sell to a retail permittee equipment, fixtures, signs, supplies, money, services, or things of value except as provided in these Rules;

(4) pay or credit a retail permittee for advertising, display, or distribution service;

(5) guarantee a loan or the repayment of a financial obligation of a retail permittee;

(6) extend credit to a retail permittee, except as provided in these Rules;

(7) require a retail permittee to take and dispose of a certain quota of alcoholic beverages;

(8) acquire an interest in a mortgage or deed of trust on the retailer's business or property;

(9) pay a third party for the display of advertising on signs or scorecards manufactured by a third party for a retailer;

(10) furnish free warehousing by delaying delivery of alcoholic beverage product or by providing refrigerated vehicles for a retailer; or

(11) purchase advertising on signs, scoreboards, and programs at ballparks, racetracks, and coliseums from the retail concessionaire, unless the retailer is a city or county, and an exemption has been granted pursuant to G.S. 18B-1116(b).

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0707 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0707 Commercial Bribery

(a) Industry members shall not give gifts or payments to purchasing agents, clerks, bartenders, salesmen, or other employees of retail permittees.

(b) Industry members shall not give a bonus, premium, or compensation to a retailer or an officer, employee, or agent of the retailer. Prohibited acts include:

(1) monetary inducements ("push money") to retailers or their employees;

(2) payment of any part of a retailer's employee's salary;

(3) sales promotion contests where a retailer's employees are offered or awarded prizes financed by an industry member;

(4) payments or gratuities to groups or associations of retailer's employees;

(5) gifts to retail corporate officers; or

(6) participation in a retailer's sales or management meeting, convention, or outing by sponsoring or underwriting events at the meeting, convention, or outing, unless participation is limited to providing a hospitality suite with hors d'oeuvres and beverages, and the price paid for the suite is not greater than that paid by any other participant in the meeting, convention, or outing.

(c) Notwithstanding Paragraphs (a) and (b) of this Rule, an industry member may invite and pay for up to two employees or representatives of a retail permittee permitted pursuant to G.S. 18B-1001, for a business meal to discuss sales and promotions in person with the following conditions:

(1) the industry member shall conduct the business meal in North Carolina but not in conjunction with entertainment;

(2) if the industry member provides transportation, the industry member shall use only a personal vehicle;

(3) the industry member must accompany the employees or representatives of a retail permitee for the duration of the business meal;

(4) the industry member shall provide the business meal without a corresponding obligation of the retailer to purchase alcoholic beverages or to provide a benefit to the industry member;

(5) the industry member shall provide the business meal without a corresponding obligation of the retailer to exclude from sale the products of another industry member; and

(6) the industry member shall pay for no more than two business meals per retail permittee per calendar year.

This Paragraph does not apply to an industry member with a pre-existing relationship with a retail permittee separate from the beverage alcohol industry.

History

Authority G.S. 18B-100; 18B-207
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0708 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0708 Consignment Sales: Conditional Sales: Returns

(a) Consignment Sales Prohibited. No industry member shall sell, offer for sale, or contract to sell to any retail permittee, nor shall any retail permittee purchase, offer to purchase, or contract to purchase from any industry member any alcoholic beverages on consignment or under conditional sale, or with the privilege of return, or on any basis other than a bona fide cash sale. For the purposes of this Rule, a consignment sale is any transaction in which title to the merchandise is not transferred at the time of shipment or delivery and which does not involve some form of full cash settlement. No industry member shall contract or agree with a retailer to retain title to alcoholic beverages until those products are sold.

(b) Privilege of Return. No industry member and retailer shall enter into any agreement whereby the retailer has an expressed or implied right to return alcoholic beverages that he cannot sell. Any acceptance of returned merchandise is considered a strong indication that the "privilege of return" existed at the time of sale, and a repeated practice of accepting returned merchandise from a retailer would establish an implied privilege of return, even though no formal agreement has been made.

(c) Sales Conditioned on the Acquisition of Other Merchandise. No industry member shall make any agreement with any retailer with terms that allow the industry member to remove the retailer's inventory conditioned upon present or future sales. The exchange of alcoholic beverages for equal quantities of the same type and brand in containers of another size and style is not considered an acquisition of "other" alcoholic beverages and, therefore, is not prohibited where the return is otherwise permissible.

(d) Exceptions. This Rule does not apply to the following transactions:

(1) returns of malt beverages or wine for ordinary and usual commercial reasons arising after the alcoholic beverages have been sold, such as mutilated or damaged labels or containers, error in delivery, product deterioration, products have been deemed unsafe by State or federal authorities, the product approval has been withdrawn as referenced by 14B NCAC 15C .0201 and .0202, or a bona fide discontinuance of the retailer's business;

(2) exchanges of malt beverage products for equal quantities of the same brand and type, so long as the manufacturer's code date on the products will expire within 30 calendar days of the date of exchange, and the quantity exchanged does not exceed 50 cases of each brand per 30 day period per retail permittee. For the purposes of this Rule, the term "exchange" means to replace product for product and does not authorize the wholesaler to accept returned malt beverage products for cash or credit; and

(3) returns of wine or malt beverage products from a seasonal retailer who is open only a portion of the year if the products are likely to spoil during the off-season. For purposes of this Rule, a "seasonal retailer" is defined as one that closes its business completely for a period of at least eight weeks during the summer or winter months. Returns from a seasonal retailer may be for cash or credit.

Note: The return or exchange of wine products is governed by this Rule and the regulations under the Federal Alcohol Administration Act found in Title 27 of the United States Code of Federal Regulations, Part 11 (27 CFR Sec. 11.1 through 11.46), and nothing in these Rules shall be construed to authorize the return or exchange of wine products if the transaction is prohibited by federal law.

History

Authority G.S. 18B-100; 18B-207; 18B-1116
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0709 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

14B NCAC 15C .0709 Prohibited Trade Practices

(a) General. An alcoholic beverage industry member for malt beverages, wine, or spirituous liquor, licensed in this state or not, or any officer, director, employee, or affiliate, shall not lend, give, furnish, or offer, either directly or through a third party, to a retail permittee, a retailer's employee, or to the owner of the premises where the business of a retailer is conducted, or for a retail permittee, employee, or owner to demand, require, or accept from an industry member, money, services, furniture, fixture, equipment, sign, glasses, barware, supplies, or thing of value, except as provided in this Rule.

(b) Prohibited Services. The following services shall not be furnished, given, provided, or made available to a retail permittee by an industry member, even if the retailer is charged or billed for the services for their market value:

(1) installing, repairing, or maintaining equipment, outdoor signs, or other fixtures;

(2) promoting a retailer in advertising;

(3) reconciling inventory for a retailer;

(4) providing labor or employees to assist a retailer in the retailer's promotional events unless otherwise allowed in the rules of the Commission;

(5) loaning or renting aerial displays or outdoor inflatables to a retailer for use, whether on or off the retailer's licensed premises;

(6) pricing or repricing a product without the retailer's consent;

(7) warehousing, by:

(A) making refrigerated vehicles available to the retailer; or

(B) delaying delivery from a manufacturer, importer, nonresident vendor, or warehouse for the retailer's advantage;

(8) affixing special retailer stamps or stickers to beer or wine packaging. A wholesaler may affix signs, stickers, stamps, or tags indicating the product's price to a container, shelf, or display of the wholesaler's products;

(9) entering delivery data on a retailer's in-store computer;

(10) providing data processing services;

(11) sponsoring sports leagues also sponsored by a retailer or that use the facilities of a retailer for sporting events;

(12) guaranteeing the loan of a retailer;

(13) extending credit to a retailer;

(14) failing to require a deposit equal to that charged by the supplier on kegs and returnable bottles; or

(15) negotiating special prices for or financing of equipment.

(c) Prohibited Things of Value. The following things of value shall not be furnished, given, loaned, rented, or sold to a retail permittee by an industry member:

(1) aerial displays or tethered inflatables;

(2) parties for retailers or groups of retailers' employees, unless otherwise allowed by the rules of the Commission;

(3) prizes at retailer conventions;

(4) advertising in a retailer periodical or advertising in a retailer publication designed for distribution to consumers;

(5) outside signs;

(6) cooperative advertising, including:

(A) providing or assisting retailer promotions, whether on or off the retailer's premises;

(B) participation with a retailer in the advertising of alcoholic beverages, the retailer's business, or special events unless specifically approved by the Commission in the case of fundraisers for non-profit charitable organizations after consideration of the factors listed in G.S. 18B-1116(b);

(D) customizing point-of-sale advertising materials, novelties, glassware, consumer specialties, or product displays by printing or having printed the retailer's name, slogan or logo on the item, unless otherwise specifically allowed in the rules of the Commission;

(7) making discounts, rebates, or refunds to a retailer on the condition the retailer use the discount, rebate, or refund to pay off a loan;

(8) equipment, fixtures, or furnishings; or

(9) clothing, except as provided in 14B NCAC 15C .0711.

History

Authority G.S. 18B-100; 18B-207
Eff. July 1, 1992
Amended Eff. April 1, 2011
Transferred and Recodified from 04 NCAC 02T .0711 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0710 Accepted Trade Practices; Services

Malt beverage, wine, and spirituous liquor industry members are authorized to provide the following services to retailers:

(1) Shelving and Pricing for Malt Beverage and Wine Wholesalers.

(a) Malt beverage and wine wholesalers assigned space in retail permittee outlets may price or re-price their stock as requested by the retail permittee.

(b) Malt beverage and wine wholesalers may rearrange and place their brand or brands in their assigned shelf space to rotate their stock and to keep their assigned space clean and neat.

(c) Malt beverage and wine wholesalers may rearrange or reset a retail permittee's alcoholic beverage shelf space, display area, or department pursuant to that retail permittee's plan and direction. Industry members shall not move or disturb brands sold by other industry members except as authorized in 14B NCAC 15C .0703.

(2) Shelf Management Plans; Notice Prior to Reset.

(a) An industry member may discuss with a retailer shelf-management concepts and programs and may provide, publish, and make available data on market sales and analysis.

(b) An industry member may provide and suggest shelf-management plans which are customized for a specific retail permittee or group of retail permittees. The retail permittee shall remain solely responsible for implementing a suggested shelf-management plan. If an industry member provides a suggested shelf-management plan to a retail permittee or group of retail permittees, it must provide a suggested plan to other retail permittees upon request. Shelf-management plans shall meet the following conditions:

(i) no retail permittee or person acting on the retail permittee's behalf shall implement a shelf-management plan unless the retail permittee sends notice of the plan to all wholesalers servicing the location who have requested notification from the retail permittee;

(ii) the retail permittee shall provide the notice to wholesalers required under this SubItem at least two weeks prior to implemention of the plan and the notice shall include the date and time of the contemplated plan implementation. If it is not feasible for the retail permittee to provide notice before the two-week period, the retail permittee shall provide such notice no less than 48 hours prior to implementation of the plan.

(iii) the retail permittee shall include the proposal in a notice if an industry member assists in the creation of a proposed plan; and

(iv) if a retail permittee develops a shelf-management plan without assistance from an industry member or makes adjustments to less than 15 percent of the current shelf-management plan, the retail permittee is not required to send notice to wholesalers required under this SubItem.

(d) For purposes of this Rule, a shelf-management plan includes shelf resets.

(e) For purposes of this Rule, a retail permittee or an industry member shall provide notice by verifiable electronic mail, certified mail, or other delivery service requiring written verification of delivery, and shall include a contact person's information for return correspondence.

(3) Participation in Retailer Association Activities. An industry member may participate in retailer association activities by:

(a) displaying product at association conventions or trade shows;

(b) renting display or booth space only if the rental fee is the same fee paid by all exhibitors;

(d) purchasing tickets to functions and paying registration fees only if the same fees are paid by all exhibitors; and

(e) making payments for advertisements in programs or brochures at association shows within the dollar limits established by Subpart D of 27 CFR Part 6, incorporated herein by reference and available for free at https://www.ecfr.gov/current/title-27/chapter-I/subchapter-A/part-6/subpart-D. Subsequent amendments and editions are incorporated by reference.

(4) Educational Seminars. An industry member may provide or sponsor seminars for retailers and their employees in the following areas:

(a) the proper use of equipment;

(b) the proper storage, handling, and service of alcoholic beverages;

(d) recognizing underage and intoxicated customers; and

(e) the history or aspects of a product's manufacturing process.

Seminars may be conducted at the premises of either the retailer or industry member. An industry member shall not pay the retailer's expenses in attending the seminar.

(5) Tastings. Industry members shall conduct tastings in compliance with 14B NCAC 15B, Section .0900.

(6) Labor for Displays. An industry member may provide personnel to construct a promotional product display on the premises of a retailer, and may move other products from the display area per 14B NCAC 15C .0703.

(7) Installations. The following items may be installed by an industry member at no charge to a retailer:

(a) point of sale advertising materials; and

(b) tapping accessories.

(8) Bar Spending. An industry member may visit the premises of an on-premise retail account for the purpose of promoting its brands so long as:

(a) the visit is unannounced and not advertised; and

(b) a patron who refuses the industry member's offer to consume a product is offered a comparable price-point beverage of the patron's choice, either alcoholic or non-alcoholic.

(9) Non-alcoholic Beverages. A malt beverage wholesaler who is also engaged in the business of selling non-alcoholic beverage products may engage in the accepted trade practices of the soft drink and snack food industries, so long as the sales and practices surrounding the non-alcoholic beverage merchandise are not used as an unlawful inducement to purchase malt beverages.

Note: Wine wholesalers selling non-alcoholic beverage merchandise are governed by the provisions of 27 CFR 6.101.

History

Authority G.S. 18B-100; 18B-203(b); 18B-207
Eff. July 1, 1992
Amended Eff. April 1, 2011
Transferred and Recodified from 04 NCAC 02T .0712 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0711 Accepted Trade Practices; Things of Value; Retail Permittees

(a) Items That Must Be Sold. Malt beverage, wine, and spirituous liquor industry members shall not give, lend, or rent to a retail permittee, but may sell to the retail permittee at the price paid by the first industry member who acquires the following things of value:

(1) novelties, coolers, umbrellas, ice chests, beach towels, towels, and sports equipment, if the item has not been customized for a retail permittee with the retail permittee's name or logo;

(2) glassware and cups, if the item has not been customized for a retail permittee with the retail permittee's name or logo;

(3) carbon dioxide;

(4) ice;

(5) beer tapping accessories, faucets, rods, vents, taps, hoses, washers, couplings, gas gauges, vent tongues, shanks, and check valves; and

(6) menus that exceed the number of food items allowed by 14B NCAC 15B .1006(a)(3).

(b) Items That May Be Provided at No Charge. Industry members may give, provide, loan, rent, or sell the following things of value to a retail permittee:

(1) samples of malt beverage, wine, and spirituous liquor products in the following quantities:

(A) no more than three gallons of any brand of malt beverages;

(B) no more than three liters of any brand of wine; and

Industry members may only give samples to a retail permittee who has not previously purchased those brands from the industry member within the previous calendar year.

(2) recipes, booklets, and brochures for cooking with malt beverages, wine, or spirituous liquors pursuant to 14B NCAC 15B .1006(a)(3);

(3) malt beverage, wine, and mixed beverage lists pursuant to 14B NCAC 15B .1006(a)(3);

(4) combination packaging pursuant to 27 CFR 6.93;

(5) consumer specialty items such as bottle or can openers, cork screws, ash trays, shopping bags, individual can coolers, hats, caps, visors, t-shirts (without collars or buttons), or key chains. Such items may be given to retail permittees for distribution to consumers, or may be provided by industry member personnel directly to consumers at the retail permittee's place of business during visits that are not announced or advertised to consumers. Consumer specialty items shall not be customized for a retail permittee with the retail permittee's name or logo; and

(6) product displays, to include wine racks, bins, barrels, casks and shelving from which malt beverage, wine or spirituous liquor are displayed and sold, so long as:

(A) each display bears advertising matter; and

(B) the dollar limitations per brand do not exceed those established in G.S. 18B-105.

(7) point of sale advertising materials which have value only as advertising, so long as the pieces have not been customized for any individual retail permittee.

(8) retail permittee advertising specialty items as described in 14B NCAC 15B .1006(a)(4), so long as the items have not been customized for an individual retail permittee, and so long as the dollar limitations per brand do not exceed those established in G.S. 18B-105.

(c) Point-Of-Sale Advertising Materials. Notwithstanding having a secondary value, the following items are considered to be point-of-sale materials and an industry member is not required to submit to legal@abc.nc.gov for approval prior to use, so long as the items bear advertising matter:

(1) clocks;

(2) lamps;

(3) lighted displays;

(4) blackboards;

(5) bulletin boards;

(6) dart board backgrounds;

(7) menu and price boards;

(8) tap standards;

(9) calendars;

(10) mirrors; and

(11) prizes offered in a consumer sweepstakes or contest pursuant to 14B NCAC 15C .0714(b). Industry members shall place a sticker on prizes to show the prize is the property of the industry member. The industry member shall pick up the prize at the conclusion of the sweepstakes or contest.

(d) The provisions of 27 CFR 6.93 referenced in this Rule are incorporated by reference including subsequent amendments and editions that may be accessed for free at https://www.ecfr.gov/current/title-27/section-6.93.

(e) Nothing in this Rule applies to ABC boards.

History

Authority G.S. 18B-100; 18B-105; 18B-207
Eff. July 1, 1992
Amended Eff. April 1, 2011
Transferred and Recodified from 04 NCAC 02T .0713 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0712 Transactions with Government and Special One-Time Permittees

(a) Permitted Activities. Notwithstanding the restrictions contained in 14B NCAC 15C .0709, malt beverage, wine, and spirituous liquor industry members are authorized to conduct the following activities in transactions with cities, counties, the State, in transactions with nonprofit or political organizations that have obtained a Special One-Time permit under the provisions of G.S. 18B-1002(a)(2) or (5), or in transactions with nonprofit organizations that do not hold an ABC permit:

(1) sponsorships of festivals, concerts, fundraisers, or special events cosponsored by the local government, the State, or nonprofit or political organizations, including payments of advertising fees;

(2) loaning or renting portable equipment to a local government, the State, or a nonprofit or political organization so long as the equipment loaned or rented is for a single event of limited duration;

(3) contracts to provide payment for permanent advertising on signs or scoreboards when the industry member has submitted a request to legal@abc.nc.gov and received approval;

(4) providing labor or employees to assist in the setting up or changing of draft beer kegs and equipment which has been loaned or rented pursuant to Subparagraph (a)(2) of this Rule;

(5) loaning or renting aerial displays or outdoor inflatables, approved prior to the event by submission to legal@abc.nc.gov, for the duration of a special event;

(6) loaning or allowing the use of refrigerated vehicles;

(7) providing novelties, prizes, or prize money to nonprofit organizations that have obtained a Special One-Time Permit;

(8) providing cash contributions, product donations, and other consumer goods, on the condition that donated product remaining after the event is not provided by the Special One-Time Permittee to a retail permittee;

(9) participation with a local government or the State in the advertising of events cosponsored by the local government or State; and

(10) after the event is over, accepting, for cash or credit, the return of alcoholic beverages not sold.

(b) Sponsorship/Advertising Agreements Restricted. Industry members shall not enter a sponsorship agreement or advertising contract with a city, county, the State, or a Special One-Time permittee where, either express or implied, the industry member's products will be sold to the exclusion, in whole or in part, of other brands of alcoholic beverages offered by competitors.

(c) Cosponsorship with Retail Permittee. An industry member shall not promote or sponsor an event with a local government, the State, or a nonprofit organization where a retailer other than the local government or the State has a cosponsorship unless the industry member obtains prior written approval from the Commission at legal@abc.nc.gov and as provided in 14B NCAC 15C .0715.

History

Authority G.S. 18B-100; 18B-207
Eff. July 1, 1992
Amended Eff. November 1, 2012; April 1, 2011
Transferred and Recodified from 04 NCAC 02T .0714 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0713 Tournaments

(a) General. An industry member may sponsor a regional, statewide, or national sports tournament on the property or premises of a retail permittee only if all of the following conditions are met:

(1) The tournament is promoted or sanctioned by the official governing body of the sport, or is promoted and sponsored by a nonprofit organization for the purpose of raising funds for a civic, scientific, charitable, or educational cause;

(2) An industry member does not give, rent, or loan money, novelty items, prohibited services, or things of value to the retailer; and

(3) An industry member gives all sponsorship money, fees, and things of value to the official governing body of the sport or the nonprofit organization.

(b) Advertising. An industry member may advertise or pay for the advertising of a tournament only if the primary purpose of the tournament is to raise funds for a civic, scientific, charitable, or educational cause. The Commission shall consider advertising materials, social media accounts, and websites in determining a tournament's primary purpose. Citing the retailer's premises as the location of a tournament shall not be construed to be cooperative advertising in violation of 14B NCAC 15B .1005 when the retailer's trade name is stated in substantially smaller typeface than the majority of the advertisement.

(c) Sponsorship/Advertising Agreements Restricted. No industry member agreeing to sponsor a tournament shall enter into any agreement or contract, either express or implied, that a retailer or special one-time permittee will sell that industry member's products to the exclusion, in whole or in part, of other brands of alcoholic beverages offered by competitors.

(d) Joint Sponsorships. An industry member shall not agree to cosponsor a tournament with a retail permittee unless the proceeds from the tournament are paid to a nonprofit civic, scientific, charitable, or educational organization.

(e) Prohibited Sponsorships. An industry member shall not sponsor or aid a retailer in the promotion of a tournament held to benefit the retailer, its employees, members, or guests.

History

Authority G.S. 18B-100; 18B-207
Eff. July 1, 1992
Amended Eff. November 1, 2012
Transferred and Recodified from 04 NCAC 02T .0715 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0714 Consumer Contests; Sweepstakes

(a) General. Malt beverage, wine, and spirituous liquor industry members may offer consumer contests or sweepstakes only if no purchase is required. Entry forms may be attached to or part of an alcoholic beverage label or package so long as a tear pad of entry forms is available to the consumer at the point of purchase or electronic entry forms are available on the internet.

(b) Point-of-Sale Permissible; Restriction on Retailer Involvement. An industry member may provide to a retailer point-of-sale advertising materials promoting a sweepstakes or contest. An industry member shall not offer or promote a sweepstakes or contest in conjunction with a retailer as a cosponsor or as the provider of a prize. No prizes may be drawn or awarded on the premises of a retailer. Officers, employees, and representatives of industry members and retailers are excluded from participating in a consumer sweepstakes or contest offered under this Rule.

History

Authority G.S. 18B-100; 18B-105; 18B-207
Eff. July 1, 1992
Amended Eff. April 1, 2011
Transferred and Recodified from 04 NCAC 02T .0716 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. May 1, 2026.

14B NCAC 15C .0715 Conditions When Commission Approval Required for Promotions

(a) Prior Approval Required; Exceptions. An alcoholic beverage (which includes malt beverages, wines and spirituous liquors) industry member shall obtain written approval from the Commission prior to entering into any agreement to engage in activities as a sponsor for any promotion, as that term is defined in 14B NCAC 15C .0701(3), unless the activity involves the following:

(1) sponsorships of nonprofit organizations that are not special one-time permittees, and the sponsored activity is neither held on the premises of a retailer nor cosponsored by a retailer;

(2) printing and distribution of items that are classified as point-of-sale advertising material, consumer specialty items, retailer specialty items or novelty items, so long as the items are displayed and distributed in compliance with 14B NCAC 15B .1006, 14B NCAC 15C .0709(c)(6)(B) and 14B NCAC 15C .0711;

(3) promotions that occur on an annual or regular basis and that have received written approval by the Commission in previous years, so long as the sponsorship activities engaged in by the industry member have not changed; and

(4) sponsorships of individual amateur sports teams, when:

(A) the services or things of value provided by the industry member are given to benefit the individual team and its members;

(B) the team is not comprised of retailers or employees of retailers; and

(b) The Commission shall approve a promotion if:

(1) the procedure for approval is complied with as required by Paragraph (c) of this Rule;

(2) the information provided as required by Paragraph (c) of this Rule is accurate; and

(3) the promotion is a bona fide promotional event.

(c) Procedure for Approval. To receive consideration for approval by the Commission for a promotional activity, an industry member shall comply with the following procedures:

(1) submit a completed Industry Promotion Approval form;

(2) submit copies of broadcast and print advertisements; and

(3) submit samples of advertising pieces and costs of items.

(d) Notification to Wholesaler. A manufacturer, importer or nonresident vendor of beer or wine that receives approval for promotional activity under this Rule shall provide a copy of the Commission's approval to each of its wholesalers in this state if that wholesaler is or will be participating in the promotion in any manner, including the distribution of promotional materials.

(e) Approvals Restricted to Industry Members. No approval for any promotional activity by an industry member shall be granted to a special one-time permittee, retailer, advertising agency, broadcaster or publisher.

(f) Approvals Granted Only Upon Written Request. The Commission shall not approve any verbal requests or hypothetical fact presentations describing promotional activities requiring prior written approval under this Rule.

(g) Timing of Requests. Industry members shall submit promotions for approval at least two months in advance of the promotion to allow adequate review by the Commission, and to allow for the mailing of written approvals to the industry member.

(h) Promotion Agreements Restricted. Commission approval of a promotion under this Rule shall not be construed as approval for the industry member to enter into any agreement, either express or implied, that its products will be sold or distributed by a retailer or special one-time permittee to the exclusion, in whole or in part, of other brands of alcoholic beverages offered by competitors.

History

Authority G.S. 18B-100; 18B-105; 18B-207; 18B-1116
Eff. July 1, 1992
Amended Eff. April 1, 2011
Transferred and Recodified from 04 NCAC 02T .0717 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017.

14B NCAC 15C .0801 Definitions

As used in this Section:

(1) "Export Warehouse" or "Internal Revenue Warehouse" means a warehouse with an Internal Revenue Bond and subject to Internal Revenue Service regulations.

(2) "Ocean-going vessel" means as defined in G.S. 18B-106(b).

(3) "Ship chandler" means a retail or wholesale agent engaging in the storage and sale of goods and equipment to ocean-going vessels. Typical goods and equipment include food, water, spare parts and tools, safety equipment, cleaning materials, ropes, paints, lubricants, marine chemicals, and cabin and galley supplies.

(4) "United States Customs Bonded Warehouse" means a private bonded warehouse used for the storage of only imported merchandise, either belonging or consigned to the proprietor, or a public bonded warehouse used for the storage of only imported merchandise.

History

Authority G.S. 18B-100; 18B-106; 18B-203; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0801 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14b NCAC 15C .0802 Importation and Transportation Via Customs Bonds

Spirituous liquor stored at United States Customs or Internal Revenue Bonded Warehouses shall only be released pursuant to a Ship Chandler's Permit for transfer to another United States Customs or Internal Revenue Bonded Warehouse or for sale and delivery to an oceangoing vessel. Alcoholic beverages for use or consumption on oceangoing vessels shall only be sold or delivered by a Ship Chandler, wholesaler, or retailer permittee to officers or agents of the oceangoing vessel.

History

Authority G.S. 18B-100; 18B-106; 18B-203; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0802 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .0803 Taxes

History

Status: expired
Authority G.S. 18B-106; 105-113.81(b)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0803 Eff. August 1, 2015
Expired Eff. September 1, 2017 pursuant to G.S. 150B-21.3A.

14B NCAC 15C .0804 Application for Permit

To obtain a Ship Chandler's Permit, a person shall file an application on a form provided by the Commission and comply with the requirements set forth in 14B NCAC 15B .0102(c) and (d).

History

Authority G.S. 18B-100; 18B-106; 18B-203; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0804 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .0805 Compliance: Inspection

(a) Holders of Ship Chandler's Permits shall comply with regulations of the United States Customs Service, the Bureau of Alcohol, Tobacco, Firearms and Explosives, and rules of the Commission.

(b) If the United States Customs Service, the Bureau of Alcohol, Tobacco, Firearms and Explosives, and the Internal Revenue Service require a ship chandler to maintain documents, the ship chandler shall retain the documents for inspection for a period of three years.

(c) Delivery of alcoholic beverages will be under the supervision of a United States Customs officer to ocean-going vessels under seal that shall not be broken until the ship is outside the territorial waters of the United States. Consumption of tax-exempt alcoholic beverages is forbidden within the territorial waters of the United States except as authorized by United States Customs.

(d) A ship chandler holding a Ship Chandler's Permit shall report losses of alcoholic beverages held pursuant to a United States Customs or Internal Revenue Bond to the Commission within five days of the loss and pay state taxes within 10 days of the loss.

History

Authority G.S. 18B-100; 18B-106; 18B-203; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0805 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .0901 Distiller, Supplier and Brokerage Representatives: Prohibited Acts

(a) Distiller representatives, supplier representatives, or brokerage representatives shall not enter an ABC store except to call on the buyer if the buyer's office is maintained in the store, make a purchase, or visit a store to market product, build displays, or attach added value items in accordance with written permission from the local Board. A representative shall make an initial request for permission to visit a store pursuant to this Paragraph in writing to the general manager of the local Board in a form acceptable to the local Board. The local Board may adopt policies including when a representative may visit the local Board's ABC store, the times, frequency, purpose, method of requesting and approving permission, and advance notice requirements. The general manager, or other local Board designee, shall grant initial permission to visit the local Board's ABC stores in writing and in compliance with policies adopted by the local Board. The duration of the permission may be for an indefinite time. The local Board's policies may authorize the general manager or manager's designee to verbally authorize subsequent specific visits once written permission has been given.

(b) Distiller representatives, supplier representatives, or brokerage representatives shall not contact ABC store personnel for the purpose of promoting their merchandise while store personnel are off-duty.

(c) Distiller representatives, supplier representatives, or brokerage representatives shall not give liquor, except for samples pursuant to G.S. 18B-707, or things of value to local ABC board members or employees. Local ABC board members and employees shall not accept gifts initiated by a distiller representative, supplier representative, or brokerage representative.

(d) No distiller representative, supplier representative, or brokerage representative shall:

(1) solicit an order, agreement, or other commitment to purchase liquor, whether or not it is legally enforceable; or

(2) advertise, promote, or encourage purchases of spirituous liquor or furnish means to obtain spirituous liquor, except as provided in 14B NCAC 15B .1008.

This Paragraph shall not apply to a distiller representative, supplier representative, or brokerage representative who contacts the Commission, local ABC boards, or retail permittees regarding the promotion and purchase of spirituous liquor or who has been granted an exception by the Commission to make presentations at the request of a local ABC board and non-profit, charitable corporation related to orders and sales of commemorative bottles pursuant to 14B NCAC 15A .1404. Representatives shall submit requests for an exception in writing to pricing@abc.nc.gov.

(e) No employee or representative of a distiller, importer, rectifier, or bottler may promote or solicit orders by a mixed beverages permittee or aid the permittee in placing orders for spirituous liquor or other alcoholic beverages.

(f) Except as permitted pursuant to Rules .0710 and .0711 of this Subchapter, employees or representatives of industry members shall not give or lend to a mixed beverage permittee or the permittee's employee a gift, money, services, equipment, furniture, fixture, or other thing of value.

History

Authority G.S. 18B-100; 18B-203; 18B-207; 18B-807; 18B-1116
Eff. January 1, 1982
Amended Eff. April 1, 2011; July 1, 1992; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0901 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Amended Eff. April 1, 2019
Readopted Eff. September 1, 2026.

14B NCAC 15C .0902 Revocation or Suspension of Permits

(a) The suspension or revocation of the permit of a representative for a violation of these Rules shall raise a rebuttable presumption that the employer had knowledge and consent of the unlawful activity of the representative.

(b) Upon a hearing and finding that the employer or distiller had knowledge of the employee's violation of these Rules and that the employer failed to take appropriate disciplinary action, the permit of the employer or distiller to do business in North Carolina may be suspended or revoked or alcoholic beverages listed by the Commission may be put on embargo by the Commission for a specific period of time.

(c) For purposes of this Rule, an order of embargo issued by the Commission shall have the effect of barring the particular code from shipment by the distiller to the state ABC warehouse and from the warehouse to local systems. Items affected by an order of embargo shall not be available to fill orders placed by local boards with the State ABC warehouse. The Commission shall send notice of the embargo order to the representative, his employer, and to the State ABC warehouse.

History

Authority G.S. 18B-100; 18B-104; 18B-203; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .0902 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .1001 Application for Permit

An air carrier shall apply for and obtain an Air Carrier Permit to purchase malt beverages, wine, or spirituous liquor for resale to its passengers while those passengers are in transit aboard an aircraft. The air carrier's employee responsible for purchases of food and beverages shall apply on a form provided by the Commission. The food and beverage service manager, by whatever title called, shall provide to the Commission and certify under oath the following information:

(1) name of air carrier;

(2) name of airport where permit will apply;

(3) address of airport;

(4) mailing address of carrier at airport;

(5) state where air carrier is incorporated; and

(6) residence of food and beverage manager.

The applicant shall also include a diagram of the location where the malt beverages, wine, and spirituous liquor will be stored.

History

Authority G.S. 18B-100; 18B-107; 18B-203; 18B-207
Eff. January 1, 1982
Amended Eff. April 1, 2011; May 1, 1984
Transferred and Recodified from 04 NCAC 02T .1001 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .1002 Separate Permits Required

An air carrier shall obtain a separate Air Carrier Permit for each airport where the carrier operates in this State when malt beverages, wine, or spirituous liquor will be purchased, transported, and stored for service or sale to the air carrier's passengers.

History

Authority G.S. 18B-100; 18B-107; 18B-203; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .1002 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .1003 Sales of Alcoholic Beverages in Terminal

(a) An air carrier offering service at airports boarding at least 150,000 passengers per calendar year may sell alcoholic beverages in passenger rooms upon obtaining retail on-premises permits and following the application procedures set forth in 14B NCAC 15B .0102.

(b) Providing Complimentary Alcoholic Beverages. Instead of obtaining retail permits to sell alcoholic beverages, an air carrier qualifying pursuant to Paragraph (a) of this Rule may serve complimentary malt beverages and wine to passengers in passenger rooms under the following conditions:

(1) the air carrier submits a detailed diagram of the carrier's passenger room, showing its exact location in the airport;

(2) the Commission provides the air carrier with written authorization to serve complimentary malt beverages and wine; and

(3) the air carrier maintains the written authorization in its principal office at the airport.

History

Authority G.S. 18B-100; 18B-107; 18B-203; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .1003 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .1101 Application for Fuel Alcohol Permit: Operation

(a) In addition to the qualifications required by G.S. 18B-900 and the application requirements of 14B NCAC 15C .0102(b) and (c), an applicant for a Fuel Alcohol Permit shall provide the following information to the Commission:

(1) Federal Operating Permit number and a photocopy of the Federal Operating Permit; and

(2) detailed diagram of the fuel alcohol plant premises, identifying roads, streams, lakes, buildings, and other structures on or features of the land that will show the precise location where plant operations will occur.

(b) No person shall operate a fuel alcohol plant without first applying for and receiving a Fuel Alcohol Permit from the Commission.

History

Authority G.S. 18B-100; 18B-203; 18B-207; 18B-1105(b)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .1101 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .1102 Change of Plant Location

(a) When a facility for the manufacture of fuel alcohol is moved fewer than 100 yards from the original site, the permittee shall amend his original application by submitting to the Commission a new diagram, providing the information required by Rule .1101 of this Section.

(b) A move of a plant facility of 100 yards or more shall be considered a change of location requiring a new application, new application fee, and compliance with the provisions of G.S. 18B-900 and Rule .1101 of this Section.

History

Authority G.S. 18B-100; 18B-203; 18B-207; 18B-900; 18B-903(e); 18B-1105(b)
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .1102 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .1103 Inspection of Premises: Availability of Permit

(a) Law enforcement officers shall have access to the premises of a fuel alcohol plant for inspection as provided by law.

(b) The fuel alcohol permit shall be available for inspection by law enforcement officers or employees of the Commission as authorized by G.S. 18B-502.

History

Authority G.S. 18B-100; 18B-207; 18B-502
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .1103 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .1201 Effect of Administrative Action

The provisions of 14B NCAC 15B .1101, .1104, and .1105 shall apply to all permittees covered by this Subchapter.

History

Authority G.S. 18B-100; 18B-104; 18B-207
Eff. January 1, 1982
Amended Eff. May 1, 1984
Transferred and Recodified from 04 NCAC 02T .1201 Eff. August 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. August 19, 2017
Readopted Eff. September 1, 2026.

14B NCAC 15C .1301 Definitions

As used in G.S. 18B-1114.7 and in this Section:

(1) "Advertising specialties" means coasters, shot glasses, bottle or can openers, cork screws, ash trays, shopping bags, individual can coolers, hats, caps, visors, t-shirts (without collars or buttons), and key chains.

(2) "Charitable, nonprofit organization" means a nonprofit organization that is a charitable organization as defined in G.S. 1-539.11(1).

(3) "Consumer tasting event" means any time a single spirituous liquor special event permittee provides samples of spirituous liquor to a consumer in an ABC store pursuant to G.S. 18B-1114.7(c).

(4) "Local fund-raiser" means a special event sponsored or cosponsored by a local government, a local charitable, nonprofit organization, or a local political organization for the purpose of raising funds for a governmental, charitable, or political purpose.

(5) "Permit holder's authorized agent" means an individual authorized in writing by the spirituous liquor special event permittee to conduct a consumer tasting or consumer tasting event pursuant to the permittee's spirituous liquor special event permit. The individual shall be responsible for the management on the site of the consumer tasting or consumer tasting event, and the supervision of the permittee's or agent's employees or independent contractors offering or pouring tasting samples at the consumer tasting or consumer tasting event.

(6) "Point-of-sale advertising materials" means advertising that is located where the spirituous liquor product is displayed or sampled. Advertising materials may include signs, posters, banners, and decorations that bear product advertising matter. Point-of-sale advertising materials as used in this Section shall not include items listed in 14B NCAC 15C .0711(c).

(7) "Special event" means either:

(a) an event the spirituous liquor special event permittee participates in that is a trade show, convention, street festival, holiday festival, agricultural festival, balloon race, local fund-raisers, or other similar events approved pursuant to Rule .1302 of this Section, that is for a limited duration of no more than 10 days and organized or sponsored by a person other than the spirituous liquor special event permittee; or

(b) an event of limited duration of no more than 60 days at a shopping mall that is organized and sponsored by the shopping mall or an association of shopping mall merchants as part of a promotion or sale for all merchants in the shopping mall.

History

Authority G.S. 18B-100; 18B-207; 18B-1114.7
Eff. April 1, 2019
Amended Eff. November 1, 2020.

14B NCAC 15C .1302 Other SIMILAR events approval

(a) For other events not specifically listed in G.S. 18B-1114.7, the holder of a spirituous liquor special event permit issued pursuant to G.S. 18B-1114.7 shall obtain approval of that other similar event from the Commission prior to the permit holder participating in the event. The Commission's approval of other events under this Rule shall be in writing.

(b) The holder of the permit shall submit a written application for approval to the Commission no less than seven business days prior to the date of the event. The application, available on the Commission's website, includes:

(1) the permit holder's name, business name, spirituous liquor special event permit number, email address, and telephone and fax numbers;

(2) the name, dates, time, location, address, and county of the event;

(3) whether an admission fee will be charged of the attendees by the event sponsor;

(4) the event sponsor's name, address, contact information, event or sponsor's social media link or webpage, and whether the event sponsor is a non-profit organization;

(5) whether the event sponsor holds a special one-time ABC permit pursuant to G.S. 18B-1002(a)(2) or (5) and whether alcohol will otherwise be sold or given away at the event; and

(6) the names of other co-sponsors, supporters, vendors, or exhibitors who are expected to participate in the event, and whether those persons hold ABC permits.

(c) The Commission shall not approve events sponsored exclusively by the holder of the permit. Tastings of spirituous liquor shall not be allowed pursuant to a spirituous liquor special event permit on the premises of a retail permittee or an ABC store.

History

Authority G.S. 18B-100; 18B-207; 18B-1114.7
Eff. April 1, 2019.

14B NCAC 15C .1303 tastings held for consumers

(a) If a tasting is conducted pursuant to this Section at an event where the event sponsor holds an ABC permit for that event, the area for conducting the tasting shall be limited to the area of the event covered by the ABC permit. If the tasting is conducted pursuant to this Section at an event where the event sponsor does not hold an ABC permit, the area for conducting the tasting shall be limited to the area allocated or assigned by the event sponsor for the exclusive use of the permittee conducting the tasting.

(b) Each permittee conducting a tasting may give each consumer tasting samples up to the limits set forth in G.S. 18B-1114.7(b)(3) or (c)(4), as applicable.

(c) A spirituous liquor special event permittee shall ensure that any employee or agent of the permittee who will be conducting or supervising any tasting conducted pursuant to a spirituous liquor special event permit has completed training that includes:

(1) identification of potential underage consumers;

(2) recognition of fictitious identification;

(3) identification of consumers who are visibly intoxicated;

(4) service of correct sample sizes; and

(5) methods to ensure compliance with G.S. 18B-1114.7 in accordance with Rule .1304 of this Section.

(d) The permittee, the permittee's agent, or the permittee's employee shall not be in the area for conducting the tasting after consuming alcoholic beverages except under the following conditions:

(1) the permittee, agent, or employee is off duty for the remainder of that day or night during which the individual consumes any alcoholic beverage;

(2) the permittee, agent, or employee is out of uniform when uniforms are required to be worn while performing any on duty services; and

(3) the permittee, agent, or employee shall not perform any services related to the business of the permit while or after consuming alcoholic beverages.

(e) Spirituous liquor provided for tastings pursuant to a spirituous liquor special event permit shall not be mixed with any other alcoholic or non-alcoholic beverage. No non-alcoholic beverages, other than unflavored water, shall be made available or accessible to the consumer by the permittee in the area for conducting the tasting.

History

Authority G.S. 18B-100; 18B-207; 18B-1114.7
Eff. April 1, 2019
Amended Eff. November 1, 2020.

14B NCAC 15C .1304 Special Event compliance procedure

(a) Either the permittee to whom the spirituous liquor special event permit was issued, or the permit holder's authorized agent, must be present in the area where the tasting is conducted at the time the tasting occurs. A copy of the spirituous liquor special event permit shall be on display in the area where the tasting is conducted. A copy of the authority of the permit holder's authorized agent to act on behalf of the permittee shall be present at the tasting event. A copy of the spirituous liquor special event permit and a copy of the authority of the permit holder's authorized agent to act on behalf of the permittee shall be made available to law enforcement agents upon request.

(b) For other special events approved by the Commission pursuant to Rule .1302 of this Section, a copy of the Commission's approval shall be kept at the tasting for the duration of the tasting and made available to law enforcement agents upon request.

(c) A spirituous liquor special event permit holder shall maintain a written procedure establishing the method to be used by the permit holder and the permit holder's employees or agents to ensure compliance with the requirements of G.S. 18B-1114.7(b)(3), (4), and (5), and (c)(4). A copy of the written procedure shall be available at the tasting to the permit holder's employees and designated agents and shall be made available at the tasting to law enforcement agents upon request.

(d) A copy of the written procedure required pursuant to Paragraph (c) of this Rule shall be:

(1) maintained for one year following the tasting;

(2) included as part of the consumer tasting record maintained in accordance with G.S. 18B-1114.7(b)(10); and

(3) made available upon request to the Commission and law enforcement agents pursuant to G.S. 18B-502.

History

Authority G.S. 18B-100; 18B-201; 18B-1114.7
Eff. April 1, 2019
Amended Eff. November 1, 2020.

14B NCAC 15C .1305 Special event SALE OF BRANDED MERCHANDISE, Point-of-sale advertising materials and advertising specialties

History

Status: repealed
Authority G.S. 18B-100; 18B-207; 18B-1114.7
Eff. April 1, 2019
Repealed Eff. November 1, 2020.

14B NCAC 15C .1306 special event participation limitations

(a) For special events in shopping malls, the spirituous liquor special event permittee shall not participate in any single mall more than 10 days cumulatively in any three-month period.

(b) A spirituous liquor special event permittee shall not participate more than 10 days cumulatively during a three-month period in a special event sponsored or arranged by the same person or business.

(c) A spirituous liquor special event permittee shall not participate in a special event for which the permittee was the only spirituous liquor special event permittee invited or allowed to participate in the special event.

History

Authority G.S. 18B-100; 18B-207; 18B-1114.7; 18B-1116
Eff. April 1, 2019.

14b NCAC 15C .1307 abc store spirituous liquor tastings

(a) Local boards shall determine whether to allow tastings to be conducted in any of their ABC stores. The ABC store, date, and times for any tastings authorized by the local board shall be set by the local board. Tastings are not required to be conducted every week or in all ABC stores operated by the local board. The schedule set by the local board for tastings may vary from week to week.

(b) If a local board authorizes consumer tasting events to be held in a specific ABC store, written requests to conduct a consumer tasting event at that ABC store at a specific date and time established by the local board shall be processed on a first-come, first-served basis. A local board may require a permittee to include a signed agreement to comply with local board conditions as a part of a written request for permission to conduct a consumer tasting event pursuant to G.S. 18B-1114.7(c)(10).

(c) Notwithstanding Paragraph (b) of this Rule, once permission has been granted to conduct a consumer tasting event at a specific date and time, this permission shall be subject to the permission being withdrawn for that ABC store not later than 30 days prior to the scheduled time of the event, upon the receipt of a request from another permittee that has conducted fewer consumer tasting events in the ABC store within a previous 12-month period than the permittee originally granted permission. A superseding request for the same date and time must be received in writing by the local board before the close of business on the last business day prior to 35 days prior to the previously approved request date. Prior to accepting a request to preempt a previously approved request date and time, the local board shall provide to the superseding requestor a schedule of other available dates and times for consumer tasting events in lieu of the requested date. If the alternative dates and times are not acceptable to the superseding requestor, the original permission shall be withdrawn, and the date and time shall be assigned to the superseding requestor. A local board that withdraws permission to conduct a consumer tasting event shall provide the permittee originally granted permission with a written explanation of the reason for the withdrawal and the process for requesting a rescheduling of the consumer tasting event.

(d) The local board may deny a permittee the right to conduct future consumer tasting events for a period of up to one year from the date of the violation upon a determination by the local board that the permittee conducted a consumer tasting event in violation of G.S. 18B-1114.7(c)(10).

(e) In addition to the requirements set forth in G.S. 18B-1114.7(c)(7), a permit holder shall include with the notice a copy of the local board's written approval for the permit holder to conduct a consumer tasting event at a specific time and location. Written approval by the local board may be by email. For purposes of G.S. 18B-1114.7(c)(7)c., the list shall include the product codes of the specific spirituous liquor products available for tasting.

(f) Proof of purchase of spirituous liquor from any ABC store shall be by receipts issued by an ABC store. Permittees shall maintain receipts of purchases of spirituous liquor used in tastings for a period of six months from the date the spirituous liquor is first used for tastings pursuant to G.S. 18B-1114.7. Spirituous liquor purchased from an ABC store for use in tastings conducted in accordance with this Section may be used for multiple tastings at multiple locations.

(g) At the time of the completion of a tasting, the permittee shall submit to the local board in writing the name of the permittee that conducted the consumer tasting event, the names of all employees or agents of the permittee who were present at the tasting, and the name of each product available for tasting at the consumer tasting event. A local board that authorizes consumer tasting events shall maintain for a period of three years a list of all consumer tasting events conducted in each of its stores by date, name of the permittee that conducted the consumer tasting event, name of all employees or agents of the permittee who were present at the tasting, and name of each product available for tasting at the consumer tasting event.

(h) A local board that authorizes consumer tasting events shall maintain for a period of three years the following records by types of permittees:

(1) written requests for permission to conduct tastings;

(2) permissions granted to conduct tastings;

(3) denials of request for permission to conduct tastings; and

(4) withdrawal of permissions to conduct tastings.

A local board shall make these records available to the Commission upon request.

History

Authority G.S. 18B-100; 18B-207; 18B-1114.7
Eff. November 1, 2020.

Chapter 16 Private Protective Services Board

14B NCAC 16 .0101 Purpose

The Private Protective Services Board is established within the North Carolina Department of Public Safety for the purpose of administering the licensing of and setting the education and training requirements for persons, firms, associations, and corporations engaged in the private protective services businesses within this State.

History

Authority G.S. 74C-4
Eff. June 1, 1984
Transferred and Recodified from 12 NCAC 07D .0101 Eff. July 1, 2015
Amended Eff. October 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0102 Location

The administrative offices of the Private Protective Services Board are located at 3101 Industrial Drive, Suite 104, Raleigh, North Carolina 27609, telephone (919) 788-5320.

History

Authority G.S. 74C-4; 74C-5
Eff. June 1, 1984
Amended Eff. July 1, 2012; March 1, 2001; December 1, 1993; December 1, 1987
Transferred and Recodified from 12 NCAC 07D .0102 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. August 1, 2020.

14B NCAC 16 .0103 Definitions

In addition to the definitions set forth in G.S. 74C, the following definitions shall apply throughout this Subchapter:

(1) "Advertising medium" means any form of written, printed, broadcast or computer-based advertising, or other promotional materials, except a telephone directory listing for which no additional advertising charge is made.

(2) "Agency Head" means the Chair of the Board.

(3) "Applicant" means any person, firm, or corporation applying to the Board for a license, trainee permit, registration, or firearms trainer certificate.

(4) "Armed Security Guard" means an individual employed, full time or part time, by a contract security company or a proprietary security organization:

(a) who at any time wears, carries, or possesses a firearm in the performance of his or her duties; and

(b) whose principal duty is that of:

(i) an armed security guard, officer, patrol, or watchman;

(ii) an armed armored car service guard; or

(iii) an armed courier service guard.

(5) "Board" means the Private Protective Services Board established by G.S. 74C.

(6) "Branch Manager or Operator" means the individual endowed with the responsibility and liability for a branch office.

(7) "Branch Office" means a separate but dependent part of a central organization engaged in the business of providing private protective services established for the purpose of extending the activities of the central organization. The establishment of a telephone number or mailing address in the company name constitutes prima facie evidence of a branch office. If an out-of-state person, firm, association, or corporation opens an office in North Carolina, the North Carolina office shall be deemed the principal place of business and shall have a resident licensed qualifying agent.

(8) "Chair" means the Chair of the Private Protective Services Board.

(9) "Contract Security Company" means any person, firm, association, or corporation engaging in a private protective services business as defined in G.S. 74C-3 that provides the services on a contractual basis for a fee or other valuable consideration to any other person, firm, association, or corporation.

(10) "Direct Supervision" means personal, face-to-face contact and direction of the trainee's activities on a frequent and reasonable basis based upon the trainee's level of experience.

(11) "Investigative Capacity" means any law enforcement agency position for which the majority of the duties include conducting investigations and interviews, completing reports, and testifying in courts, administrative hearings, or military tribunals.

(12) "Law Enforcement Officer" means a sworn peace officer who has the power of arrest, and who is an employee of the United States, any state, or any political subdivision of a state.

(13) "Licensee" means any person licensed to perform private protective services in North Carolina in accordance with G.S. 74C.

(14) "Proprietary Security Organization" means any person, firm, association, corporation, or department that employs watchmen, security guards or "officers," patrol personnel, or couriers in connection with the business affairs of the employer.

(15) "Qualifying Agent" means the individual licensee who is responsible for the private protective services business. If the licensee maintains an office in North Carolina, the Qualifying Agent must be a resident of North Carolina.

(16) "Registered agent" means the individual resident of North Carolina designated by the business entity in lieu of the Qualifying Agent as allowed by G.S. 74C-8(c)(1) who may be, but is not required to be, the registered agent required by G.S. 55D-30.

History

Authority G.S. 74C-3; 74C-5; 74C-8
Eff. June 1, 1984
Amended Eff. October 1, 2013; August 1, 1998; May 1, 1988; July 1, 1987
Transferred and Recodified from 12 NCAC 07D .0104 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. September 1, 2025; January 1, 2023; March 1, 2022.

14B NCAC 16 .0104 Uniforms and Equipment

(a) This Rule applies to holders of a license, trainee permit, unarmed security guard registration, armed security guard registration, unarmed armored car service guard, armed armored car service guard, or firearms trainer certificates. No holder, while engaged in private protective services, shall wear or display any badge, insignia, device, shield, patch, or pattern that indicates or tends to indicate that the individual is a sworn law enforcement officer or that contains or includes the word "police" or the equivalent thereof, or is similar in wording to any law enforcement agency in the local area of the licensee's operations.

(b) No holder, while performing any private security service, shall have or utilize any vehicle or equipment displaying the words "law enforcement officer," "police," or the equivalent thereof, or have any sign, shield, marking, accessory, or insignia that indicates that the vehicle is a vehicle of a law enforcement agency.

(c) A holder who is required to wear a military style uniform while in the performance of private security services shall have:

(1) affixed over the left breast pocket of the uniform and on all caps or hats worn by the individual, badges or patches, distinct in design from those used by law enforcement agencies within the local area of the licensee's operations;

(2) affixed over the right breast pocket of the uniform a metal, plastic, or cloth tag not less than three inches nor more than five inches in length and not less than three-fourths inch nor more than one inch in height containing the words "Security Guard," "Security Officer," "Armored Car Guard," or "Armored Car Officer" in capital letters approximately one-half inch in height; and

(3) affixed over the "Security Guard," "Security Officer," "Armored Car Guard," or "Armored Car Officer" tag, a metal, plastic, or cloth tag bearing the name of the wearer. The name tag may be smaller than "Security Guard," "Security Officer," "Armored Car Guard," or "Armored Car Officer" tag if it is displayed in capital letters five-sixteenth inch to one-half inch in height.

(d) The wearing of the armed or unarmed private protective services card visible on the outermost garment (except foul weather clothing) satisfies the requirements of Subparagraphs (c)(1), (2) and (3) of this Rule.

(e) All holders who perform the duties of a security guard or security officer and who are not required to wear a military style uniform shall have affixed over the right or left breast pocket of the outermost garment (except for rainwear or other foul weather clothing) a tag as described in (c)(2) of this Rule.

History

Authority G.S. 74C-5; 74C-12; 74C-15
Eff. June 1, 1984
Amended Eff. January 1, 2015; January 1, 2013; July 1, 1995; July 1, 1987
Transferred and Recodified from 12 NCAC 07D .0105 Eff. July 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0105 Prohibited Acts

(a) In addition to the prohibited acts set forth elsewhere in these Rules and in Chapter 74C of the General Statutes, any licensee, trainee, registrant, or firearms trainer who does any of the following may have his or her license, trainee permit, registration, or firearms trainer certificate revoked or suspended:

(1) Displays, causes or allows to be displayed, or has in his or her possession any cancelled, revoked, suspended, fictitious, or fraudulently altered license, trainee permit, registration identification card, or firearms trainer certificate, or any document simulating, purporting to be, or purporting to have been issued as a license, trainee permit, registration identification card, or firearms trainer certificate;

(2) Lends his or her license, trainee permit, registration identification card, or firearms trainer certificate to any person or allows the use thereof by another;

(3) Displays or represents any license, trainee permit, registration identification card, or firearms trainer certificate not issued to him or her as being his or her license, trainee permit, registration identification card, or firearms trainer certificate; or

(4) Includes in any advertisement a statement that implies official state authorized certification or approval other than this statement: "Licensed by the Private Protective Services Board of the State of North Carolina" and license number required by 14B NCAC 16 .0116.

(b) In addition to the prohibited acts set forth elsewhere in these Rules and in Chapter 74C of the General Statutes, it shall be grounds for application denial or license registration suspension or revocation for an applicant, licensee, trainee, registrant, or trainer to make any false statement or give any false information to a third party in connection with any criminal history record check provided to the Board.

History

Authority G.S. 74C-5; 74C-8.1; 74C-12; 74C-16
Eff. June 1, 1984
Amended Eff. May 1, 2014; July 1, 1987
Transferred and Recodified from 12 NCAC 07D .0106 Eff. July 1, 2015
Readopted Eff. August 1, 2020.
Amended Eff. September 1, 2025.

14B NCAC 16 .0106 Disciplinary Actions

(a) The Board may deny a license, trainee permit, registration, or firearms trainer certificate for any violation of G.S. Chapter 74C or this Chapter. The Board may suspend or revoke a license, trainee permit, registration, or firearms trainer certificate for any violation of G.S. Chapter 74C or this Chapter, provided that the violation occurred within three years of the initiation of the Board investigation of the violation.

(b) The Board may issue a written reprimand to a holder of a license, trainee permit, registration identification card, or firearms trainee certificate when the Board determines:

(1) the holder has violated any of the provision of this Chapter or G.S. Chapter 74C that were applicable to the holder;

(2) the violation did not result in the physical injury of or property loss to any person; and

(3) the holder expresses an intention to correct or already has corrected the improper activity.

History

Authority G.S. 74C-5; 74C-8
Eff. June 1, 1984
Amended Eff. July 1, 2012
Transferred and Recodified from 12 NCAC 07D .0107 Eff. July 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0107 Law Enforcement Officers Special Provisions

(a) Law enforcement officers may provide security guard and patrol services on an individual employer-employee basis to any person, firm, association, or corporation that is not engaged in a contract security guard and patrol business.

(b) Law enforcement officers, while off-duty, may be employed by a licensed security guard and patrol business provided the officer is registered with the Board.

(c) A law enforcement officer employed by a proprietary security organization at times when the officer is not scheduled for work with the employing law enforcement agency shall not be considered as being employed regularly and exclusively as an employee in connection with the business affairs of the employer.

History

Authority G.S. 74C-5; 74C-21
Eff. June 1, 1984
Amended Eff. December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0108 Eff. July 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0108 Records

(a) All records for an audit or an investigation required to be maintained by G.S. 74C or this Chapter shall be subject to inspection by the Director or the Director's designee between 8:00 a.m. - 5:00 p.m. Monday through Friday.

(b) Upon written request from the Director or the Director's designee, any licensee having registered employees shall submit a copy of its quarterly Division of Employment Security reports within 10 days of the request.

History

Authority G.S. 74C-5
Eff. June 1, 1984
Amended Eff. February 1, 2010; July 1, 1987
Transferred and Recodified from 12 NCAC 07D .0109 Eff. July 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0109 Rulemaking and Administrative Hearing Procedures

History

Status: repealed
Authority G.S. 74C-5; 74C-12
Eff. May 1, 1988
Transferred and Recodified from 12 NCAC 07D .0111 Eff. July 1, 2015
Repealed Eff. August 1, 2020.

14B NCAC 16 .0110 Reporting Requirements

(a) If any registrant, trainee, certificate holder, employee, subcontractor, or any other person providing private protective services on behalf of a licensee is charged with any criminal offense that would constitute grounds to deny, suspend, or revoke a permit, registration or certificate under this Chapter, the licensee shall report the criminal charge to the Board either in person or by telephone no later than the first business day following knowledge of the charge. The licensee shall provide a copy of the charging document and a written explanation to the Board within five business days.

(b) If any licensee, trainee, registrant, or certificate holder, or any employee, subcontractor, or any other person providing services on behalf of a licensee, trainee, registrant, or certificate holder is charged with any criminal offense that would constitute grounds to deny, suspend, or revoke a license, registration, or certificate under this Chapter, the licensee, trainee, registrant, or certificate holder shall self-report the criminal charge to the Board either in person or by telephone no later than the first business day following the charge. The licensee, trainee, registrant, or certificate holder shall provide a copy of the charging document and a written explanation to the Board within five business days.

(c) If a licensee, trainee, registrant, or certificate holder, or any employee, subcontractor, or any other person providing services on behalf of a licensee, trainee, registrant, or certificate holder discharges a firearm while engaged in the private protective services business, the licensee shall notify the Board either in person or by telephone no later than the first business day following the incident. The licensee shall also file a written report to the Board within five business days of the incident. In the report, the licensee shall state the name of the individual who discharged the firearm, the type of weapon discharged, the location of the incident, the law enforcement agency investigating the incident, the events leading to the discharge of the firearm, and any bodily injuries occurring from the incident. This Rule shall not apply to a weapon that is discharged during a training course that has been approved by the Board.

History

Authority G.S. 74C-5
Eff. February 1, 1995
Transferred and Recodified from 12 NCAC 07D .0112 Eff. July 1, 2015
Readopted Eff. November 1, 2019
Amended Eff. July 1, 2021
Amended Eff. February 1, 2022.

14B NCAC 16 .0111 Change of Address or Telephone Number

All licensees, registrants, permittees, and trainers must inform the Board of their home address, business street address, home telephone number, and business telephone number and must inform the Board within 15 days of any changes.

History

Authority G.S. 74C-5
Eff. April 1, 1995
Transferred and Recodified from 12 NCAC 07D .0113 Eff. July 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0112 Suspension of Authority to Expend Funds

In the event that the Board's authority to expend funds is suspended pursuant to G.S. 93B-2(d), the Board shall continue to issue and renew licenses, registrations, and certifications and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

Authority G.S. 93B-2(d)
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .0114 Eff. July 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0113 Involvement in Administrative Hearing

All licensees, registrants, trainees, and trainers shall report to the Board any administrative proceeding commenced against him or her that involves any potential revocation or suspension of, or other disciplinary action against, any private protective service license, permit, certification, or registration that he or she holds in another state. The Board must receive written notice of any such administrative proceeding within 30 days of the date the licensee, registrant, or trainer is notified of the administrative proceeding.

History

Authority G.S. 74C-5; 74C-12
Eff. October 1, 2013
Transferred and Recodified from 12 NCAC 07D .0115 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. July 1, 2021.

14B NCAC 16 .0114 Application Completion Deadline

All photographs, record checks, proof of insurance, explanations of criminal charges, explanations of credit history, or requested documents shall be submitted online through the Board's website by any applicant for a permit, license, registration, or certificate within 60 days of the Board's receipt of the application form or a request from Board staff, whichever is later. Any failure to submit required or requested documents to complete the application process within this 60-day period shall void the application and require re-application.

History

Authority G.S. 74C-2; 74C-5; 74C-8; 74C-8.1; 74C-12
Eff. January 1, 2015
Transferred and Recodified from 12 NCAC 07D .0116 Eff. July 1, 2015
Readopted Eff. March 1, 2020.

14B NCAC 16 .0115 Complaints

(a) Any person may file a complaint against any licensee, trainee, registrant or certificate holder, or any unlicensed or unregistered person; acting as or holding himself or herself out as a licensee or registrant, for any violation of G.S. 74C or 14B NCAC 16, or any violation of State or federal criminal law. A complaint form is available on the Board's website at www.ncdps.gov/dps-services/complaint/private-protective-services-board or a copy may be requested from the Board's office.

(b) The complaint shall set forth all relevant facts and the basis for the complainant's belief that the licensee, trainee, registrant, certificate holder, or unlicensed or unregistered person, is in violation. The complainant shall be willing to be interviewed by the Board's investigator, provide any information or documentation to support the allegation, and appear and testify necessary before the Grievance Committee or at any hearing if requested by the attorney prosecuting the case. An anonymous complaint shall not be accepted unless the Director determines the alleged violation may pose a threat to the public health, safety or welfare.

(c) The complaint shall be filed with the Board online via e-mail, by U.S. Mail, or by hand-delivery to the Board's office.

(d) The complaint shall be evaluated by the Director or the Director's designee and if it alleges a violation of G.S. 74C or 14B NCAC 16, shall be assigned to an investigator for further substantiation. The results of the investigation shall be reported to the Board's Grievance Committee for review and action.

(e) The Director shall notify the complainant and the licensee, trainee, registrant, or certificate holder of the initial complaint and its final disposition.

History

Authority G.S. 74C-5; 74C-6; 74C-7; 74C-12
Eff. March 1, 2022
Amended Eff. September 1, 2024.

14B NCAC 16 .0116 Advertising

Any advertisement of private protective services in any advertising media, as defined in these Rules, shall include the licensee's name and license number, whether or not a trade name is used in advertising.

History

Authority G.S. 74C-5
Eff. September 1, 2025.

14B NCAC 16 .0117 Declaratory Ruling Procedures

(a) All requests for declaratory rulings shall be in writing and mailed to the Board at the Board's address.

(b) Each request for a declaratory ruling shall include the following information:

(1) the name and address of person requesting the ruling;

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

(3) a concise statement of the manner in which the requesting person is aggrieved by the rule or statute or its potential application to him or her;

(4) names and addresses of additional third persons known to the person aggrieved who may possibly be affected by the requested ruling;

(5) a statement of all material facts;

(6) a statement whether or not the person aggrieved is aware of any pending Board action or court action that may bear on the applicability of the statute or rule to the person's particular situation; and

(7) a statement of the arguments and legal authority supporting the person's position on the applicability of this statute or rule; and

The petitioner shall sign and verify the request before an officer qualified to administer oaths that the information supplied in the request is true and accurate.

(c) Within 30 days of receipt of a request for a declaratory ruling, the Board shall determine whether a ruling is appropriate under the facts stated.

(d) The Board shall proceed to issue a declaratory ruling when the person requesting the rule shows that, with regard to the facts presented:

(1) the rule or statute in question is unclear on its face;

(2) circumstances are so changed since the adoption of a rule that a declaratory ruling is warranted;

(3) the factors specified in the request were not given appropriate consideration by the Board at the time the rule was adopted;

(4) the rule or statute is unclear in its application to the requesting person's facts; or

(5) a fair question exists regarding the validity of the rule because of an absence of authority for the Board's adoption of the rule or other irregularities in the Board's rule-making proceedings.

(e) The Board shall not issue a declaratory ruling when the petitioner's request is the subject of, or materially related to, an investigation or audit by the Board or contested case before the Board.

(f) When the Board determines for good cause that the issuance of a declaratory ruling is unnecessary, the Board shall notify, in writing, the person requesting the ruling, stating the reasons for the denial of the request. The Board will ordinarily decline to issue a declaratory ruling when:

(1) there has been a similar controlling factual determination made by the Board;

(2) the rule-making record shows that the factual issues raised by the request were specifically considered prior to, or at times of, adoption of the rule;

(3) the subject matter of the request is involved in pending litigation in any state or federal court in North Carolina, or pending legislation or rulemaking;

(4) the request does not comply with the procedural guidelines within Paragraphs (a) and (b) of this Rule;

(5) the Board has previously issued a declaratory ruling on substantially similar facts;

(6) the Board has previously issued a final agency decision in a contested case on substantially similar facts;

(7) the subject matter is one concerning which the Board is without authority to make a decision binding the Board or the petitioner;

(8) the petitioner is not aggrieved by the rule or statute in question or otherwise has no interest in the subject matter of the request; or

(9) there is reason to believe that the petitioner or some other person or entity materially connected to the subject matter of the request is acting in violation of the G.S. Chapter 74C or the rules adopted by the Board.

The denial of the request is immediately subject to judicial review in accordance with Article 4 of G.S. Chapter 150B.

(g) Prior to issuing a declaratory ruling, the Board may give notice of the declaratory proceedings to any persons it deems appropriate and may direct that fact-finding proceedings appropriate to the circumstances of the particular request be conducted by the Board. The proceedings may consist of written submissions, an oral hearing, or other appropriate procedures. A written ruling on the merits shall be issued within 45 days of the decision to grant the request.

(h) If the Board finds evidence that the factors listed in Subparagraphs (d)(1), (2), or (3) of this Rule exist or potentially exist beyond the specific facts presented in a particular petition for declaratory ruling, the Board shall consider rule-making proceedings on the rule.

(i) A record of each declaratory ruling and the procedures conducted therefor will be maintained by the Board. The record will contain:

(1) the request for a declaratory ruling;

(2) all written submissions filed in the request, whether filed by the person requesting the ruling or by any other person;

(3) a record or summary of oral presentations, if any; and

(4) a copy of the declaratory ruling.

History

Authority G.S. 150B-4
Eff. September 1, 2025.

14B NCAC 16 .0201 Application for License and Trainee Permits

(a) Each applicant for a license or trainee permit shall submit an online application on the website provided by the Board. The online application shall be accompanied by:

(1) electronic submission of fingerprints from a Live Scan or similar system approved by the State Bureau of Investigations or one set of classifiable fingerprints on an applicant fingerprint card that shall be mailed separately to the Board's office;

(2) one head and shoulders digital photograph of the applicant in JPG, JPEG, or PNG format of sufficient quality for identification, taken within six months prior to online application and submitted by uploading the photograph online with the application submission;

(3) a statement of the results of a statewide criminal history records search by the reporting service designated by the Board pursuant to G.S. 74C-8.1(a) for each state where the applicant has resided within the preceding 60 months;

(4) the applicant's non-refundable application fee, along with the convenience fee charged by the Board's on-line application vendor and a separate credit card transaction fee;

(5) the actual cost charged to the Private Protective Services Board by the State Bureau of Investigation to cover the cost of criminal record checks performed by the State Bureau of Investigation, collected online by the Private Protective Services Board;

(6) an Equifax credit check run within 30 days of the license application submission date, which will be submitted to the Board's investigator during the application process; and

(7) five letters attesting to the good character and reputation of the applicant using the online character letter submission process.

(b) Applications for trainee permits shall be accompanied by a form provided by the Board and signed by the applicant and his or her prospective supervisor, stating that the trainee applicant shall at all times work with and under the direct supervision of that supervisor and the form shall be uploaded as part of the online application process.

(c) Private investigator and digital forensics examination trainees applying for a license shall make available for inspection a log of experience on a form provided by the Board as required by Rule .0403 of this Chapter.

(d) Each applicant must upload evidence of high school graduation either by diploma, G.E.D. certificate, or other proof.

(e) Each applicant for a license shall meet personally with either a Board investigator, the Screening Committee, the Director, or another Board representative designated by the Director prior to being issued a license. The applicant shall discuss the provisions of G.S. 74C and the administrative rules in this Chapter during the personal meeting. The applicant shall sign a form provided by the Board indicating that he or she has reviewed G.S. 74C and the administrative rules in this Chapter with the Board's representative. During a national or State declared state of emergency that restricts or prohibits travel, the personal meeting requirement may be waived if requested by the applicant in favor of alternative means of communication.

History

Authority G.S. 74C-2; 74C-5; 74C-8; 74C-8.1; 74C-12
Eff. June 1, 1984
Amended Eff. May 1, 2012; July 1, 2011; August 1, 1998; December 1, 1995; July 1, 1987; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0201 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. March 1, 2020
Emergency Amendment Eff. May 6, 2020
Temporary Amendment Eff. July 24, 2020
Temporary Amendment Expired May 14, 2021
Amended Eff. January 1, 2022; July 1, 2021
Temporary Amendment Eff. April 28, 2023
Amended Eff. September 1, 2024; November 1, 2023.

14B NCAC 16 .0202 Fees for Licenses and Trainee Permits

(a) Application, license, and trainee permit fees are as follows:

(1) one hundred and fifty dollars ($150.00) non-refundable application fee;

(2) two hundred fifty dollar ($250.00) annual fee for a new or renewal license, unless the applicant is requesting a new license be issued because of a transfer to a new company, which shall require a one hundred dollar ($100.00) fee for issuance of the new license with the original expiration date in the new company name;

(3) two hundred fifty dollar ($250.00) annual trainee permit fee;

(4) fifty dollars ($50.00) new or renewal fee per year of the license term for each license in addition to the basic license;

(5) twenty five dollars ($25.00) duplicate license fee per year of the license term;

(6) one hundred dollars ($100.00) late renewal fee in addition to the renewal fee;

(7) one hundred dollars ($100.00) temporary permit fee;

(8) fifty dollars ($50.00) branch office license fee per year of the license term; and

(9) fifty dollars ($50.00) special limited guard and patrol licensee fee.

(b) Fees shall be paid online by credit card or other form of electronic funds transfer.

History

Authority G.S. 74C-9
Eff. June 1, 1984
Amended Eff. July 1, 1987; December 1, 1985
Temporary Amendment Eff. January 1, 1990 for a period of 180 days to expire on July 1, 1990
ARRC Objection Lodged January 18, 1990
Amended Eff. July 1, 2010; June 1, 2009; January 1, 2004; February 1, 1995; July 1, 1990; Transferred and Recodified from 12 NCAC 07D .0202 Eff. July 1, 2015
Amended Eff. January 1, 2018
Readopted Eff. March 1, 2020.

14B NCAC 16 .0203 Renewal or Re-Issue of Licenses and Trainee Permits

(a) Each applicant for renewal of a license or trainee permit shall submit an online renewal application on the website provided by the Board. The application shall contain:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) military service;

(4) current employer;

(5) date of birth, birth country, state or province, county or parish, and citizenship; and

(6) driver's license number and state of issuance.

(b) This online application shall be submitted not less than 30 days prior to expiration of the applicant's current license or trainee permit and shall be accompanied by:

(1) one head and shoulders digital color photograph of the applicant in JPG, JPEG, or PNG format of sufficient quality for identification, taken within six months prior to online application and submitted by uploading the photograph online with the application submission;

(2) a statement of the result of a statewide criminal history records search by the reporting service designated by the Board pursuant to G.S. 74C-8.1(a) for each state where the applicant has resided within the preceding 24 months;

(3) the applicant's renewal fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee;

(4) for license applicants, proof of liability insurance as set out in G.S. 74C-10(e); and

(5) proof of having completed continuing education as require by Rule .1202 of this Chapter.

(c) If there is a criminal charge pending against the applicant for renewal that constitutes a deniable offense under G.S. 74C-8(d)(2), consideration of the application shall be deferred until the criminal charge is adjudicated.

(d) If a licensee has maintained a license at least two years and then allows the license to expire, the license may be re-issued if application is made within two years of the expiration date and the following documentation is submitted to the Board:

(1) an online Application For Reinstatement of an Expired License;

(2) one set of classifiable fingerprints on an applicant fingerprint card that shall be mailed separately to the Board's office;

(3) one head and shoulders digital color photograph of the applicant in JPG, JPEG, or PNG format of sufficient quality for identification, taken within six months prior to online application and submitted by uploading the photograph online with the application submission;

(4) a statement of the result of a statewide criminal history records search by the reporting service designated by the Board pursuant to G.S. 74C-8.1(a) for each state where the applicant has resided within the preceding 60 months;

(5) the applicant's non-refundable application fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee;

(6) proof of liability insurance as set out in G.S. 74C-10(e);

(7) payment to the State Bureau of Investigations to cover the cost of criminal record checks performed by the State Bureau of Investigations, with payment to be paid online through the Board's online application process; and

(8) proof of having completed continuing education as required by Rule .1202 of this Chapter.

(e) A member of the armed forces whose license is in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return shall receive that same extension of time to pay the license renewal fee and complete any continuing education requirements prescribed by the Board. A copy of the military order or the extension approval by the Internal Revenue Service or by the North Carolina Department of Revenue shall be furnished to the Board.

History

Authority G.S. 74C-5; 74C-8; 74C-8.1; 74C-9
Eff. June 1, 1984
Amended Eff. October 1, 2013; May 1, 2012; October 1, 2010; November 1, 2007; January 4, 1994; July 1, 1987; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0203 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. March 1, 2020
Amended Eff. May 1, 2026; September 1, 2024; July 1, 2022; July 1, 2021.

14B NCAC 16 .0204 Determination of Experience

(a) Experience requirements shall be determined as follows:

(1) one year experience = 1,000 hours;

(2) two years experience = 2,000 hours;

(3) three years experience = 3,000 hours.

(b) Applicants shall make available upon Board request written documentation to verify experience.

(c) When applying for a license, registration, or trainee permit, the Board shall not consider any experience claimed by the applicant if:

(1) gained by contracting private protective services to another person, firm, association, or corporation while not in possession of a valid private protective services license or registration; or

(2) gained when employed by a company contracting private protective services to another person, firm, association, or corporation while the company is not in possession of a valid private protective services license.

(d) The Board may consider formal classroom training that is directly related to the private protective services industry. The Board may grant one half hour of credit for each hour of formal classroom training, but shall grant no more than 200 hours. Paragraph (c) of this Rule is to be considered in addition to any other formal training credits. No credit shall be given for formal training required pursuant to these Rules.

History

Authority G.S. 74C-5; 74C-8
Eff. June 1, 1984
ARRC Objection October 19, 1988
Amended Eff. April 1, 1999; February 1, 1996; March 1, 1989; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0204 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. July 1, 2021.

14B NCAC 16 .0205 Company Business License

(a) Any firm, association, or corporation required to be licensed pursuant to G.S. 74C-2(a) shall upload on the Board's website an application for a company business license on a form provided by the Board. Only a sole proprietorship that is owned and operated by an individual licensee shall be exempt from this Rule. This application for license shall require the firm, association, or corporation name; the address of its principal office within the State; any past conviction for criminal offenses of any company director, or officer; information concerning the past revocation, suspension, or denial of a business or professional license to any director or officer; a list of all directors and officers of the firm, association, or corporation; a list of all persons, firms, associations, corporations or other entities owning 10 percent or more of the outstanding shares of any class of stock; and the name and address of the qualifying agent.

(b) In addition to the items required in Paragraph (a) of this Rule, an out-of-state corporation shall file with its application for a license, a copy of its certificate of authority to transact business in this State issued by the North Carolina Secretary of State in accordance with G.S. 55-15-01. The corporation shall also file a consent to service of process and pleadings that shall be authenticated by its corporate seal and accompanied by a duly certified copy of the resolution of the board of directors authorizing the proper officer or officers to execute the consent.

(c) After filing a completed application with the Board, the Board shall conduct a background investigation to determine if the qualifying agent is in a management position. A management position means a position which manages established divisions or subdivisions of the firm, association or corporation and directs the work of one or more supervisors, has the authority to hire, reward, discipline or discharge employees, and may also provide suggestions for changes in policy to senior executives with policy-making authority. The Board shall also determine if the directors or officers have the requisite good moral character as defined in G.S. 74C-8(d)(2). For purposes of this Rule, "conviction" means and includes the entry of a plea of guilty or no contest, a prayer for judgment continued or adjudication withheld, or a verdict rendered in open court by a judge or jury.

(d) Upon satisfactory completion of the background investigation, a company business license shall be issued. This license shall be conspicuously displayed at the principal place of business within North Carolina.

(e) The company business license shall be issued only to the business entity and shall not be construed to extend to the licensing of its officers and employees.

(f) The issuance of the company business license is issued to the firm, association, or corporation in addition to the license issued to the qualifying agent. The qualifying agent for the firm, association, or corporation which has been issued the company business license shall be responsible for assuring compliance with G.S. 74C.

(g) Dissolution or administrative suspension of corporate status shall result in suspension of the company business license by operation of law and may result in disciplinary action for unlicensed if it is determined that the suspension was due to intentional disregard of the law or inaction.

History

Authority G.S. 74C-2(a); 74C-5
Eff. April 1, 1993
Amended Eff. February 1, 1995
Transferred and Recodified from 12 NCAC 07D .0205 Eff. July 1, 2015
Readopted Eff. March 1, 2020
Amended Eff. May 1, 2026; November 1, 2023.

14B NCAC 16 .0301 Experience Requirements/Security Guard and Patrol License

(a) In addition to the requirements of Section .0200 of this Chapter, applicants for a security guard and patrol license shall:

(1) establish three years of verifiable experience as a manager, supervisor, or administrator with a contract security company or a proprietary security organization performing guard and patrol functions;

(2) establish three years of experience as a manager, supervisor, or administrator in security with any federal, state, county, or municipal law enforcement agency performing guard and patrol functions; or

(3) establish a military occupational specialty and two years of experience within the past five years in the U.S. Armed Forces as a manager, supervisor, or administrator performing guard and patrol functions.

(b) In addition to the requirements of Section .0200 of this Chapter, an applicant for a security guard and patrol license that is the spouse of an active duty member of the U.S. Armed Forces shall establish to the Board's satisfaction:

(1) the spouse holds a current license, certification, or registration from another jurisdiction and the other jurisdiction's requirements are substantially equivalent to or exceed the Board's requirements; and

(2) the spouse has two years verifiable experience within the past five years as a manager, supervisor, or administrator performing guard and patrol functions as set forth in G.S. 74C-3(a)(8) while serving in an official capacity with any entity described in Paragraph (a) of this Rule.

(c) Using the formula in Rule .0204(d) of this Chapter, the Board shall give credit toward the experience requirements set forth in Subparagraphs (a)(1) and (2) and Subparagraph (b)(2) of this Rule as follows:

(1) An applicant shall receive a minimum of 400 hours of experience credit for an associate's degree. The Board shall grant up to 100 additional hours if the applicant can demonstrate that further training or course-work related to the private protective services industry was received while obtaining the associate's degree.

(2) An applicant shall receive 800 hours of experience credit for a bachelor's degree. The Board shall grant up to 200 additional hours if the applicant can demonstrate that further training or course-work related to the private protective services industry was received while obtaining the bachelor's degree.

(3) An applicant shall receive 1,200 hours of experience credit for a graduate degree. The Board shall grant an additional 300 additional hours if the applicant can demonstrate that further training or course-work related to the private protective services industry was received while obtaining the graduate degree.

(d) Persons licensed under Chapter 74D of the General Statutes of North Carolina may be issued a limited guard and patrol license exclusively for providing armed alarm responders.

History

Authority G.S. 74C-5; 74C-8; 93B-15.1
Eff. June 1, 1984
Amended Eff. October 1, 2013; February 1, 2009; December 1, 1995; January 4, 1994; January 1, 1990; August 1, 1988
Transferred and Recodified from 12 NCAC 07D .0301 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. September 1, 2024.

14b NCAC 16 .0302 Experience Requirements for Guard Dog Service License

(a) In addition to the requirements of Section .0200 of this Chapter, applicants for a guard dog service license shall:

(1) establish two years of verifiable experience as a manager, supervisor, administrator, or dog handler with a contract security company or proprietary security organization performing guard dog functions;

(2) establish two years of experience as a manager, supervisor, administrator, or dog handler with any federal, state, county, or municipal agency performing guard dog functions; or

(3) establish a military occupational specialty and two years of experience within the past five years in the U.S. Armed Forces as a manager, supervisor, or administrator or dog handler performing guard dog functions.

(b) In addition to the requirements of Section .0200 of this Chapter, an applicant for a guard dog service license that is the spouse of an active duty member of the U.S. Armed Forces shall establish to the Board's satisfaction:

(2) the spouse has two years of verifiable experience within the past five years as a manager, supervisor, or administrator or dog handler performing guard dog functions.

History

Authority G.S. 74C-5; 74C-8; 93B-15.1
Eff. June 1, 1984
Amended Eff. October 1, 2013; February 1, 2009; January 4, 1994
Transferred and Recodified from 12 NCAC 07D .0302 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. September 1, 2024.

14B NCAC 16 .0401 Experience Requirements for a Private Investigator License

(a) In addition to the requirements of G.S. 74C-8 and Section .0200 of this Chapter, applicants for a private investigator license shall:

(1) establish three years of verifiable experience while conducting investigations as set forth in G.S. 74C-3(a)(8) with a contract security company or with a private person, firm, association, or corporation;

(2) establish three years of verifiable experience while conducting investigations as set forth in G.S. 74C-3(a)(8) while serving in an investigative capacity as defined in Rule .0103(10) of this Chapter with any federal, state, county, municipal law enforcement agency, or other governmental agency; or

(3) establish a military occupational specialty and two years of verifiable experience within the past five years in the U.S. Armed Forces while conducting investigations as set forth in G.S. 74C-3(a)(8) while serving in an investigative capacity as defined in Rule .0103(10) of this Chapter.

(b) In addition to the requirements of Section .0200 of this Chapter, an applicant for a private investigator license that is the spouse of an active duty member of the U.S. Armed Forces shall establish to the Board's satisfaction:

(2) the spouse has two years verifiable experience within the past five years while conducting investigations as set forth in in G.S. 74C-3(a)(8) while serving in an investigative capacity as defined in Rule .0103(10) of this Chapter.

(c) Using the formula in Rule .0204(d) of this Chapter the Board shall give credit toward the experience requirements set forth in Paragraphs (a) and (b) of this Rule as follows:

(1) An applicant shall receive of 400 hours of experience credit for an associate's degree. The Board shall grant up to 100 additional hours if the applicant can demonstrate that further training or course-work related to the private protective services industry was received while obtaining the associate's degree.

History

Authority G.S. 74C-5(2); 93B-15.1
Eff. June 1, 1984
Amended Eff. December 1, 1987
Temporary Amendment Eff. October 1, 1989 For a Period of 180 Days to Expire on March 31, 1990
Amended Eff. October 1, 2013; February 1, 2009; December 1, 1995; January 4, 1994; February 1, 1990
Transferred and Recodified from 12 NCAC 07D .0401 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. September 1, 2024.

14B NCAC 16 .0402 EXPERIENCE REQUIREMENTS FOR An Electronic COUNTERMEASURES LICENSE

In addition to the requirements of Section .0200 of this Chapter, applicants for an electronic countermeasures license shall:

(1) establish three years of experience in electronic countermeasures; or

(2) have successfully completed a course in electronic countermeasures given by a school specializing in electronic countermeasures that consists of a minimum of 40 hours of actual classroom instruction.

History

Authority G.S. 74C-5
Eff. June 1, 1984
Amended Eff. July 1, 2009; January 4, 1994; July 1, 1987
Transferred and Recodified from 12 NCAC 07D .0402 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. September 1, 2024.

14b NCAC 16 .0403 Trainee Permit Requirements

(a) In addition to the requirements of Section .0200 of this Chapter, applicants for a trainee permit in private investigation, electronic countermeasures, or digital forensics examination shall be directly supervised by a licensee and that supervisor shall be responsible for the training and other professional activities of the trainee.

(b) Trainees who wish to apply for a license must submit an application to the Board in accordance with Rule .0201 of this Chapter.

(c) Private investigator, electronic countermeasures, or digital forensics examination trainees shall maintain a log on a form provided by the Board on its website as evidence of which sets forth the case number, date, work or training activity and the number of hours. The log shall be signed and dated by both the trainee and the sponsor. This log must be available for inspection by Board staff when applying for a license.

(d) Any request for renewal of a trainee permit or for issuance of a license shall be accompanied by an evaluation report of the trainee's performance on a form provided by the Board on its website and submitted by the trainee's supervisor.

History

Authority G.S. 74C-2; 74C-5
Eff. June 1, 1984
Amended Eff. December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0403 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Temporary Amendment Eff. April 28, 2023
Amended Eff. November 1, 2023.

14B NCAC 16 .0404 Reports

(a) In addition to the requirements in G.S. 74C-12(a)(20), private investigators shall make and offer to each client a written report containing the findings and details of the investigation within 30 days after the completion of the investigation for which the client has paid the investigator for the services. The licensee shall retain a copy of the written report, and if provided to the client, proof of such delivery.

(b) Descriptive reports, chronological reports, cover letters, and itemized invoices to the client shall be personally signed by a licensee. The file copy shall reflect the names of all participating employees and a description of the work performed by each one. These documents shall be retained by the licensee who signed the report.

History

Authority G.S. 74C-5
Eff. June 1, 1984
Amended Eff. October 1, 2010; July 1, 1987
Transferred and Recodified from 12 NCAC 07D .0404 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. July 1, 2022; July 1, 2021.

14B NCAC 16 .0405 Private Investigator's Use of a Badge

While engaged in his or her official duties, a private investigator shall be allowed to carry, possess, and display the badge set forth in this Rule. The badge shall be a duplicate of the badge shown below except for the licensee's name and license number. The badge shall be gold with dark blue lettering. Any deviation from this design shall be deemed an unauthorized badge and may constitute a violation of G.S. 74C-12(a) and this Rule. The badge shall be carried in a folding pocket case with the badge displayed on one side of the case and the private investigator's pocket credential issued by the Board displayed on the opposite side of the case. In no instance may the badge be displayed, even in a case, openly on the breast pocket, the belt, a neck lanyard, or any other open carry or possession.

Official publisher figure

History

Authority G.S. 74C-5(12)
Eff. May 1, 2010
Transferred and Recodified from 12 NCAC 07D .0405 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. July 1, 2021.

14B NCAC 16 .0501 Experience Requirements for a Polygraph License

(a) In addition to the requirements of Section .0200 of this Chapter, applicants for a polygraph license shall:

(1) successfully complete a course of instruction at any polygraph school accredited by the American Polygraph Association or approved by the Board using standards established by the American Polygraph Association; and

(2) have a minimum of one year of verifiable polygraph experience with verification or certification of having conducted no less than 25 polygraph examinations; and

(3) pass a 100 question written examination, provide three sets of polygraph charts from polygraph examinations conducted by the applicant, successfully complete a performance test of independent, blind chart scoring, and successfully complete an oral examination conducted by a panel of polygraph examiners appointed by the Board; or

(4) have a military occupational specialty and two years of verifiable experience within the past five years in the U.S. Armed Forces performing polygraph examinations.

(b) In addition to the requirements of Section .0200 of this Chapter, an applicant for a polygraph license who is the spouse of an active duty member of the U.S. Armed Forces shall establish:

(2) the spouse has two years of verifiable experience within the past five years performing polygraph examinations.

(c) Applicants for a polygraph license may attempt to complete the requirements in Subparagraph (a)(1) of this Rule no more than twice within a 12 month period. All portions of the licensing process must be completed within that 12 month period.

History

Authority G.S. 74C-5; 93B-15.1
Eff. June 1, 1984
Amended Eff. May 1, 2014; October 1, 2013; July 1, 2009; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0501 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. September 1, 2025; September 1, 2024; February 1, 2022.

14B NCAC 16 .0502 Polygraph Trainee Permit Requirements

In addition to the requirements of Section .0200 of this Chapter, the following requirements shall apply to polygraph trainees:

(1) Successfully complete a formal course of instruction at any polygraph school approved by the American Polygraph Association or approved by the Board using standards established by the American Polygraph Association. A list of approved schools can be found at: https://www.ncdps.gov/list-polygraph-schools;

(2) Be directly supervised by a North Carolina licensed polygraph examiner;

(3) Trainees who wish to apply for a license must submit an application to the Board in accordance with Rule .0201 of this Chapter. Applicants meeting license qualifications within one year of the issuance of a trainee permit shall not be required to pay an additional application fee; and

(4) Any request for renewal of a trainee permit or for issuance of a polygraph license shall be accompanied by an evaluation report of the trainee's performance submitted by the trainee's supervisor.

History

Authority G.S. 74C-5
Eff. June 1, 1984
Amended Eff. May 1, 2014; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0502 Eff. July 1, 2015
Readopted Eff. March 1, 2020
Amended Eff. September 1, 2025.

14B NCAC 16 .0503 Polygraph Examination Requirements

Polygraph licensees and trainees shall adhere to the following:

(1) Obtain written consent from the individual to be examined. The consent form shall be signed in the presence of the examiner and shall include a statement advising the examinee that he or she may terminate the examination at any time.

(2) A printed or reproducible electronic copy of each chart collected, as well as documents associated with the examination such as reports, question sets, and signed consent forms, shall be retained by the examiner for a minimum of three years. The examiner shall record the following information:

(a) the name of the examinee;

(b) the date of the examination;

(d) the time the examination started;

(e) the location of the examination; and

(f) the name and license number of the examiner.

This requirement may be completed by labeling the beginning of the first printed chart by hand, or by entering the information into the electronic polygraph file.

(3) The examiner shall give the examinee an opportunity prior to concluding the examination to explain reactions on the charts.

(4) The examiner shall not issue or permit an employee to issue an examination report that is misleading, biased, or falsified.

(5) Each examination report shall be a factual, impartial, and objective account of the pertinent information developed during the examination and the examiner's professional conclusion, based upon the analysis of the charts.

(6) All questions considered for chart analysis shall be documented in writing or an electronic question set and shall be reviewed with the examinee prior to any testing.

(7) An examiner shall not make a conclusive verbal or written examination report without having administered two or more charts consisting of the same questions.

(8) An examiner shall not inquire into the sexual conduct or preferences of a person to whom a polygraph examination is being given unless pertinent to an alleged sex-related crime or while conducting Post Conviction Sex Offender Testing (POST), nor shall an examiner inquire into the activities, affiliations, or beliefs on religion, politics, or race, except where there is relevancy to an investigation.

(9) Each chart shall be signed at the end of the chart by the examinee and the examiner before the end of the recording if using an analog instrument. If an analog instrument is used, the examiner shall retain printed and not electronic copies of the charts for a minimum of three years. Retaining reproducible electronic copies of all charts noting the names of the examiner and examinee as well as the date and time of testing will also meet the requirements of this Item.

(10) An examiner shall conduct no more than five examinations in a 24 hour period.

(11) Each examiner shall keep a daily log of examinations. The daily log of examinations shall be maintained by the licensee for a minimum of three years and shall be subject to inspections by the Director or the Director's designee between 8:00 a.m. – 5:00 p.m. Monday through Friday.

History

Authority G.S. 74C-5
Eff. June 1, 1984
Amended Eff. May 1, 2014; December 1, 1987; July 1, 1987; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0503 Eff. July 1, 2015
Readopted Eff. August 1, 2020.
Amended Eff. September 1, 2025.

14B NCAC 16 .0504 Polygraph Instruments

(a) A polygraph examiner shall not conduct an examination unless the instrument used makes a simultaneous recording of at least three physiological tracings including the pneumo cardio and electrodermal changes. This recording must be in a form capable of review by another polygraph examiner and shall be available to the Board or its designated representative. This requirement shall not prohibit recording additional physiological phenomena on the same charts.

(b) A polygraph examiner shall not conduct an examination on an instrument unless the examiner has ensured the instrument is functioning as designed.

(1) complete a functionality check or calibration of the instrument at time intervals that comply with the manufacturer's recommendations; and

(2) maintain a signed and dated record of the charts collected during the functionality check or calibration for a period of three years.

History

Authority G.S. 74C-5
Eff. June 1, 1984
Amended Eff. May 1, 2014; August 1, 1998; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0504 Eff. July 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0601 Experience Requirements for a Psychological Stress Evaluator License

(a) In addition to the requirements of Section .0200 of this Chapter, applicants for a Psychological Stress Evaluator (P.S.E.) license shall:

(1) successfully complete a course of instruction at any P.S.E. school approved by the Board; or

(2) establish to the Board's satisfaction a military occupational specialty and two years of verifiable experience within the past five years in the U.S. Armed Forces conducting psychological stress evaluations.

(b) In addition to the requirements of Section .0200 of this Chapter, an applicant for a P.S.E. license that is the spouse of an active duty member of the U.S. Armed Forces shall establish to the Board's satisfaction:

(2) the spouse has two years of verifiable experience within the past five years conducting psychological stress evaluations.

(c) A P.S.E. school shall consist of not less than 40 hours of live classroom instruction in psychological stress evaluation.

History

Authority G.S. 74C-5; 93B-15.1
Eff. June 1, 1984
Amended Eff. October 1, 2013; March 1, 2008
Transferred and Recodified from 12 NCAC 07D .0601 Eff. July 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0602 P.s.e. Examination Requirements

P.S.E. licensees shall comply with the requirements of Rule .0503 of this Chapter. In addition, P.S.E. examinations shall be conducted by the examiner in the presence of the examinee and with the examinee's knowledge that he or she is being examined. Examination by telephone or any other method that is not in person is prohibited.

History

Authority G.S. 74C-5
Eff. June 1, 1984
Transferred and Recodified from 12 NCAC 07D .0602 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. July 1, 2021.

14b NCAC 16 .0603 P.s.e. Instruments

An instrument used for P.S.E. examinations shall be capable of measuring and recording voice reactions on a graph. This recording must be in a form suitable for examination by another P.S.E. examiner. Such recordings shall be available to the Board or its designated representative. The instrument must be given maintenance, cleaning, adjustment, and demagnetizing periodically as recommended by the manufacturer and not less than once after each eight hours of continuous mechanical operation. The examiner shall conduct a test pattern of the instrument prior to each examination.

History

Authority G.S. 74C-5
Eff. June 1, 1984
Transferred and Recodified from 12 NCAC 07D .0603 Eff. July 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0701 Application for Unarmed Security Guard Registration

(a) Each employer or his or her designee shall submit an online application for the registration of each employee unarmed security guard to the Board containing the applicant's:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) residence history;

(4) date of birth, birth country, state or province, county or parish, and citizenship; and

(5) driver's license number and state of issuance.

(b) This online submission shall be accompanied by:

(2) one head and shoulders color digital photograph of the applicant in JPG, JPEG, or PNG format of sufficient quality for identification, taken within six months prior to online application and submitted by uploading the photograph online with the application submission;

(4) the applicant's non-refundable registration fee, along with the convenience fee charged by the Board's on-line application vendor and a separate credit card transaction fee;

(6) a signed SBI release of information form;

(7) a statement signed by a certified trainer that the applicant has completed the training requirements of Rule .0707 of this Section, unless a valid statement is on file in the Board's office; and

(8) a completed affidavit form and public notice statement form.

(b) The applicant's copies of the application, affidavit, training certification, and the statement required by Subparagraph (a)(7) of this Rule shall together serve as a temporary registration card. These copies shall be carried by the applicant while performing job duties and shall be exhibited upon the request of any law enforcement officer or authorized representative of the Board. However, if the statement required by Subparagraph (a)(7) of this Rule is already on file with the Board, the applicant does not need to carry or present the statement.

(c) A copy of the statement required by Subparagraph (a)(7) of this Rule shall be retained by the licensee in the individual applicant's personnel file in the employer's office.

History

Authority G.S. 74C-5; 74C-8.1; 74C-11
Eff. June 1, 1984
Amended Eff. May 1, 2012; July 1, 2011; August 1, 1998; December 1, 1995; June 1, 1994; February 1, 1990; May 1, 1988
Transferred and Recodified from 12 NCAC 07D .0701 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. March 1, 2020
Amended Eff. November 1, 2025; September 1, 2024; January 1, 2024; July 1, 2021.

14B NCAC 16 .0702 Fees for Unarmed Security Guard Registration

(a) Fees for unarmed security guards are as follows, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee:

(1) thirty dollar ($30.00) non-refundable initial registration fee;

(2) thirty dollar ($30.00) annual renewal, or reissue fee;

(3) fifteen dollar ($15.00) transfer fee; and

(4) twenty-five dollars ($25.00) late renewal fee to be paid within 90 days from the date the registration expires and to be paid in addition to the renewal fee.

(b) Fees shall be paid online by credit card or other form of electronic funds transfer.

History

Authority G.S. 74C-9
Eff. June 1, 1984
Amended Eff. December 1, 1985
Temporary Amendment Eff. January 1, 1990 for a Period of 180 Days to Expire on July 1, 1990
ARRC Objection Lodged January 18, 1990
Amended Eff. July 1, 2010; May 1, 2010; December 1, 2003; July 1, 1990
Transferred and Recodified from 12 NCAC 07D .0702 Eff. July 1, 2015
Amended Eff. January 1, 2018
Readopted Eff. March 1, 2020
Amended Eff. September 1, 2024.

14B NCAC 16 .0703 Minimum Standards for Unarmed Security Guard Registration

An applicant for registration shall:

(1) be at least 18 years of age;

(2) be a citizen of the United States or a resident alien;

(3) be of good moral character and temperate habits. Any of the following within the last five years shall be prima facie evidence that the applicant does not have good moral character or temperate habits: conviction by any local, state, federal, or military court of any crime involving the illegal use, carrying, or possession of a firearm; conviction of any crime involving the illegal use, possession, sale, manufacture, distribution, or transportation of a controlled substance, drug, narcotic, or alcoholic beverage, conviction of a crime involving felonious assault or an act of violence; conviction of a crime involving unlawful breaking and/or entering, burglary, or larceny, or a history of addiction to alcohol or a narcotic drug. For the purposes of this Rule, "conviction" means and includes the entry of a plea of guilty or no contest, a prayer for judgment continued or adjudication withheld, or a verdict rendered in open court by a judge or jury;

(4) not have been judicially declared incompetent or not have been involuntarily committed to an institution for treatment of mental illness. When an individual has been treated and found to have been restored, the Board will consider this evidence and determine whether the applicant meets the requirements of this Rule; and

(5) not have had a revocation of a registration.

History

Authority G.S. 74C-5; 74C-12(a)(19)
Eff. June 1, 1984
Amended Eff. August 1, 1988; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0703 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. May 1, 2026; July 1, 2021.

14B NCAC 16 .0704 Investigation for Unarmed Security Guard Registration

History

Status: repealed
Authority G.S. 74C-5
Eff. June 1, 1984
Transferred and Recodified from 12 NCAC 07D .0704 Eff. July 1, 2015
Repealed Eff. August 1, 2020.

14B NCAC 16 .0705 Unarmed Security Guard Registration Identification Cards

(a) The registration identification card shall be carried by the registrant when performing the duties of a private protective services employee.

(b) The registration identification card shall be exhibited upon the request of any law enforcement officer or any other authorized representative of the Board.

(c) Registration identification card holders shall notify the Board upon receipt of any information relating to the holder's eligibility to continue holding such a card.

(d) The guard transfer online form and fee shall be submitted to the Board by the employer within 10 days of the beginning of employment.

(e) Upon revocation or suspension by the Board, a holder shall return the registration identification card to the administrator within 10 days of the date of the revocation or suspension.

History

Authority G.S. 74C-5; 74C-11
Eff. June 1, 1984
Amended Eff. December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0705 Eff. July 1, 2015
Readopted Eff. March 1, 2020.

14B NCAC 16 .0706 Renewal of Unarmed Security Guard Registration

(a) Each applicant for renewal of a registration identification card or his or her employer shall complete an online form on the website provided by the Board. The application shall contain:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) current employer;

(4) date of birth, birth country, state or province, county or parish, and citizenship; and

(5) driver's license number and state of issuance.

(b) This online form shall be submitted less than 90 days prior to the expiration of the applicant's current registration and shall be accompanied by:

(1) one head and shoulders color digital photograph of the applicant in JPG, JPEG, or PNG format of sufficient quality for identification, taken within six months prior to online application and submitted by uploading the photograph online with the application submission;

(2) a statement of the results of a statewide criminal history records search by the reporting service designated by the Board pursuant to G.S. 74C-8.1(a) for each state where the applicant has resided within the preceding 12 months;

(3) the applicant's renewal fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee; and

(4) a completed affidavit form and public notice statement form.

(d) The employer of each applicant for a registration renewal shall give the applicant a copy of the online application and a copy of the completed affidavit form to serve as a record of application for renewal and shall retain a copy of the application, including affidavit, in the guard's personnel file in the employer's office.

(e) Members of the armed forces whose registration is in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return shall receive that same extension of time to pay the registration renewal fee and to complete any continuing education requirements prescribed by the Board. A copy of the military order or the extension approval by the Internal Revenue Service or by the North Carolina Department of Revenue shall be furnished to the Board.

History

Authority G.S. 74C-5; 74C-11
Eff. June 1, 1984
Amended Eff. May 1, 2012; October 1, 2010; December 1, 1995; February 1, 1990; July 1, 1987; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0706 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. March 1, 2020
Amended Eff. May 1, 2026; September 1, 2024; July 1, 2022.

14B NCAC 16 .0707 Training Requirements for Unarmed Security Guards

(a) The basic unarmed security guard training course shall consist of a minimum of 16 hours of classroom instruction including:

(1) The Security Officer in North Carolina -- (minimum of one hour);

(2) Legal Issues for Security Officers -- (minimum of three hours);

(3) Emergency Response -- (minimum of three hours);

(4) Communications -- (minimum of two hours);

(5) Patrol Procedures -- (minimum of three hours);

(6) Note Taking and Report Writing -- (minimum of three hours); and

(7) Professional Conduct -- (minimum of one hour).

(b) A minimum of four hours of instruction consisting of the topics in Subparagraph (a)(1) and Subparagraph (a)(2) of this Rule shall be completed before any security guard, including probationary, is placed on a duty station. The 16 hour basic unarmed security guard course shall be completed within 30 days from the date of permanent, non-probationary employment.

(c) Training shall be conducted by a Board certified unarmed security guard trainer. A Board created lesson plan covering the training requirements in Paragraph (a) of this Rule shall be used by each trainer and a copy made available to each student during instruction. The trainer may use other forms of media and training materials to supplement the training requirements of Paragraph (a) of this Rule.

(d) The 16 hours of training may be delivered in-person, in-person remotely, synchronously on-line, or in a hybrid format under the following conditions:

(1) "In-Person" means an instructor physically present in-person in a classroom setting with students physically present in-person in a classroom setting. This is considered traditional in-person training. "In-Person remotely" means an instructor delivering a course to students in an in-person seated classroom while also transmitting to another or multiple other classrooms where students are in-person and observing via video and sound technology. Students must have the ability to have constant audio and visual communication with the instructor as the instructor is presenting. "Synchronously on-line" means instruction utilizing an on-line audio/video platform where the instructor is teaching the course live to students that are attending live and the instructor and students have constant visual and audio communication with each other available. "Hybrid format" means instruction utilizing both in-person classroom teaching as well as synchronously on-line. The instruction is delivered by an instructor that is in-person in a classroom with in-person seated students while the instruction is also being delivered simultaneously in an on-line live format where on-line students have had the ability to have constant audio and video communication with the in-person students and instructor.

(2) Each student is provided a copy of the unarmed security guard training manual to use for the duration of the 16 hour training course.

(3) The technology used allows the trainer to see the students and the students to see the trainer in real time during the training.

(4) All students are able to see and read the screen or monitor, and they must be able to hear and understand the audio presentation. All monitors used in a classroom setting must be at least 32 inches.

(5) The technology used is of sufficient quality so that the training audio and video is delivered smoothly and without interruption.

(6) The total number of students receiving the in-person or in-person remotely training at one time does not exceed 35 students. There is no size limitation for synchronous on-line training.

(7) Any additional training beyond the Board mandated training in the unarmed security guard training manual is taught either before or after the 16 hour unarmed security officer training.

History

Authority G.S. 74C-5; 74C-11; 74C-13(m)
Eff. January 1, 1990
Amended Eff. June 1, 2009; November 1, 2006; June 1, 2004
Transferred and Recodified from 12 NCAC 07D .0707 Eff. July 1, 2015
Readopted Eff. August 1, 2020
Amended Eff. September 1, 2025; June 1, 2024; July 1, 2021.

14B NCAC 16 .0708 Trainer Name to Be Submitted to Director

History

Status: repealed
Authority G.S. 74C-5; 74C-13(m)
Eff. July 1, 2021
Repealed Eff. January 1, 2024.

14B NCAC 16 .0801 Application/Armed Security Guard Firearm Registration Permit

(a) Each employer or his or her designee shall submit an online application for the registration of each employee armed security guard to the Board containing the applicant's:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) residence history;

(4) date of birth, birth country, state or province, county or parish, and citizenship; and

(5) driver's license number and state of issuance.

(b) This online submission shall be accompanied by:

(4) the applicant's non-refundable registration fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee;

(5) a statement signed by a certified trainer that the applicant has successfully completed the training requirements of Rule .0807 of this Section;

(6) a statement signed by a certified trainer that the applicant has completed the training requirements of Rule .0707 of this Chapter, unless a valid statement is on file in the Board's office;

(7) the actual cost charged to the Private Protective Services Board by the State Bureau of Investigation to cover the cost of criminal record checks performed by the State Bureau of Investigation, collected online by the Private Protective Services Board;

(8) a signed SBI release of information form; and

(9) a completed affidavit form and public notice statement form.

(b) The applicant's copy of the application and proof of completion of a Board approved firearms course shall serve as a temporary registration card that shall be carried by the applicant when he or she is working within the scope of his or her employment and shall be exhibited upon the request of any law enforcement officer or authorized representative of the Board.

(c) Applications submitted without proof of completion of a Board-approved firearms training course shall not serve as temporary registration cards.

(d) The provisions of Paragraphs (a), (b), and (c) of this Rule also apply to any employee whose employment is terminated within 30 days of employment.

History

Authority G.S. 74C-5; 74C-9; 74C-13
Eff. June 1, 1984
Amended Eff. May 1, 2012; April 1, 2008; August 1, 1998; December 1, 1995; February 1, 1990; May 1, 1988; July 1, 1987
Transferred and Recodified from 12 NCAC 07D .0801 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. March 1, 2020
Amended Eff. November 1, 2025; September 1, 2024; July 1, 2021.

14B NCAC 16 .0802 Fees for Armed Security Guard Firearm Registration Permit

(a) Fees for armed security guard firearm registration permits are as follows, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee:

(1) thirty dollars ($30.00) non-refundable initial registration fee;

(2) thirty dollars ($30.00) annual renewal, or reissue fee; and

(3) fifteen dollar ($15.00) application fee.

(b) Fees shall be paid online by credit card or other form of electronic funds transfer.

History

Authority G.S. 74C-9
Eff. June 1, 1984
Amended Eff. December 1, 1985
Temporary Amendment Eff. January 1, 1990 for a Period of 180 Days to Expire on July 1, 1990
ARRC Objection Lodged January 18, 1990
Amended Eff. July 1, 2010; December 1, 2003; July 1, 1990
Transferred and Recodified from 12 NCAC 07D .0802 Eff. July 1, 2015
Amended Eff. January 1, 2018
Readopted Eff. March 1, 2020
Amended Eff. September 1, 2024.

14B NCAC 16 .0803 MINIMUM standards for armed SECURITY GUARD FIREARM REGISTRATION PERMIT

Applicants for an armed security guard registration shall meet all of the requirements of Rule .0703 of this Chapter.

History

Authority G.S. 74C-5; 74C-13
Eff. June 1, 1984
Amended Eff. February 1, 1990; July 1, 1987
Transferred and Recodified from 12 NCAC 07D .0803 Eff. July 1, 2015
Readopted Eff. August 1, 2020.

14B NCAC 16 .0804 Investigation/Armed Security Guard Firearm Registration Permit

History

Status: repealed
Authority G.S. 74C-5
Eff. June 1, 1984
Transferred and Recodified from 12 NCAC 07D .0804 Eff. July 1, 2015
Repealed Eff. December 1, 2019.

14B NCAC 16 .0805 Armed Security Guard Firearm Registration Permit Identification Cards

(a) The provisions of 14B NCAC 16 .0705 shall apply to armed security guards.

(b) Upon termination of employment of an armed security guard, the employer shall return the employee's registration card to the Director of the Board within 15 business days of the employee's termination.

History

Authority G.S. 74C-5; 74C-13; 74C-15
Eff. June 1, 1984
Amended Eff. July 1, 1987
Transferred and Recodified from 12 NCAC 07D .0805 Eff. July 1, 2015
Readopted Eff. November 1, 2019.

14B NCAC 16 .0806 Renewal of Armed Security Guard Firearm Registration Permit

(a) Each applicant for renewal of an armed security guard firearm registration permit identification card or his or her employer shall complete an online form on the website provided by the Board. The application shall contain:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) current employer;

(4) date of birth, birth country, state or province, county or parish, and citizenship; and

(5) driver's license number and state of issuance.

(b) This online form shall be submitted not more than 90 days prior to expiration of the applicant's current armed registration and shall be accompanied by:

(2) upload online a statement of the results of a statewide criminal history search obtained by the reporting service designated by the Board pursuant to G.S. 74C-8.1(a) for each state where the applicant has resided within the preceding 12 months;

(3) the applicant's renewal fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee;

(4) the actual cost charged to the Private Protective Services Board by the State Bureau of Investigation to cover the cost of criminal record checks performed by the State Bureau of Investigation, collected online by the Private Protective Services Board;

(5) a statement signed by a certified trainer that the applicant has successfully completed the training requirements of Rule .0807 of this Section; and

(6) a completed affidavit form and public notice statement form.

(d) The employer of each applicant for a registration renewal shall give the applicant a copy of the online application and a copy of the completed affidavit form to serve as a record of application for renewal and shall retain a copy of the application, including the affidavit in the guard's personnel file in the employer's office.

(f) A registered armed security guard may utilize a dedicated light system or gun-mounted light for requalification.

(g) During a national or State declared state of emergency that restricts or prohibits a registered armed security guard from requalifying, the Board shall, upon written request to the Director by the licensee, extend the deadline for requalification up to 90 days beyond the effective period of the state of emergency. Any registration renewed pursuant to this Paragraph shall be issued conditionally and shall automatically expire on the 90th day if requalification requirements have not been met.

History

Authority G.S. 74C-5; 74C-8.1; 74C-9; 74C-13
Eff. June 1, 1984
Amended Eff. May 1, 2012; October 1, 2010; December 1, 1995; February 1, 1990; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0806 Eff. July 1, 2015
Amended Eff. January 1, 2018; November 1, 2017
Readopted Eff. November 1, 2019
Amended Eff. March 1, 2020
Emergency Amendment Eff. May 6, 2020
Temporary Amendment Eff. July 24, 2020
Temporary Amendment Expired Eff. May 14, 2021
Amended Eff. May 1, 2026; September 1, 2024; October 1, 2022; July 1, 2022; January 1, 2022.

14B NCAC 16 .0807 Training Requirements for Armed Licensees and Security Guard Registrants

(a) Applicants for an armed security guard firearm registration permit shall first complete the basic unarmed security guard training course set forth in Rule .0707 of this Chapter.

(b) Private investigator, close personal protection, or any other licensees applying for an armed permit shall first complete a training course consisting of the courses set forth in Rule .0707(a)(1) and (2) of this Chapter.

(c) Applicants for an armed security guard firearm registration permit shall complete a basic training course for armed security guards which consists of at least 20 hours of classroom instruction including:

(1) legal limitations on the use of handguns and on the powers and authority of an armed security guard, including familiarity with rules and regulations relating to armed security guards (minimum of four hours);

(2) handgun safety, including range firing procedures (minimum of one hour);

(3) handgun operation and maintenance (minimum of three hours);

(4) handgun fundamentals (minimum of eight hours); and

(5) night firing (minimum of four hours).

Subparagraph (c)(2), "operation" under Subparagraph (c)(3), and Subparagraph (c)(4) of this Rule shall be completed prior to the applicant's participation in range firing, and all 20 hours must be completed within 14 consecutive days.

(d) Applicants for either an armed licensee permit or an armed security guard firearm registration permit shall attain a score of at least 80 percent accuracy on a firearms range qualification course established by the Board and the Secretary of Public Safety, a copy of which is on file in the Director's office, once in three consecutive attempts. Should a student fail to attain a score of 80 percent accuracy, the student shall be given a second opportunity to qualify once in three consecutive attempts on the course of fire the student did not pass. Failure to qualify after the second series of attempts shall require the student to repeat the entire basic training course for armed security guards. All attempts must take place within 20 days of the completion of the initial 20 hour course. For rifle qualification all shots shall be located on the target.

(e) All training required by this Rule shall be administered by a certified trainer and the training required by Paragraph (c) of this Rule and the initial training for authorization for a rifle or shotgun shall be completed no more than 90 days prior to the date of application for the licensee permit or armed security guard firearm registration permit.

(f) All applicants for an armed security guard firearm registration permit shall obtain training under the provisions of this Section using their duty weapon and their duty ammunition or ballistic equivalent ammunition, to include lead-free ammunition that meets the same point of aim, point of impact, and felt recoil of the duty ammunition, for all firearms.

(g) No more than six new or renewal licensee permit or armed security guard applicants per one instructor shall be placed on the firing line at any one time during firearms range training.

(h) Applicants for re-certification of an armed licensee permit or an armed security guard firearm registration permit shall complete the basic recertification training course for armed security guards that consists of at least four hours of classroom instruction and is a review of the requirements set forth in Subparagraphs (c)(1) through (c)(5) of this Rule. Subparagraph (c)(2), operation under Subparagraph (c)(3), and Subparagraphs (c)(4) and (5) of this Rule shall be reviewed prior to range firing; maintenance under Subparagraph (c)(3) may be reviewed after range firing. The recertification course is valid for 180 days after completion of the course. Applicants for recertification of a licensee permit or an armed security guard firearm registration permit shall also complete the requirements of Paragraph (d) of this Rule.

(i) An armed guard registered with one company may be registered with a second company. The registration shall be considered "dual." The registration with the second company shall expire at the same time that the registration expires with the first company. An updated application shall be required to be submitted by the applicant, along with the digital photograph, updated criminal records checks, and a forty dollar ($40.00) registration fee. If the guard's duty firearm for all companies is the same make, model, and caliber, then no additional firearms training shall be required. The licensee shall submit a letter stating the guard will be carrying the same make and model firearm. If the guard will be carrying a firearm of a different make and model, the licensee shall submit a letter to the Board advising of the make, model, and caliber of the firearm the guard will be carrying and the guard shall be required to qualify at the firing range on both the day and night qualification course. The qualification score is valid for 180 days after completion of the course.

(j) To be authorized to carry a standard 12 gauge shotgun in the performance of his or her duties as an armed security guard, an applicant shall complete, in addition to the requirements of Paragraphs (a), (c), and (d) of this Rule, six hours of classroom training that shall include the following:

(1) legal limitations on the use of shotgun (minimum of one hour);

(2) shotgun safety, including range firing procedures (minimum of one hour);

(3) shotgun operation and maintenance (minimum of one hour);

(4) shotgun fundamentals (minimum of two hours); and

(5) night firing (minimum of one hour).

Subparagraph (j)(2), "operation" under Subparagraph (j)(3), and Subparagraph (j)(4) of this Rule shall be completed prior to the applicant's participation in range firing.

(k) An armed security guard applicant may take the additional shotgun training at a time after the initial training in this Rule. If the shotgun training is completed at a later time, the shotgun certification shall run concurrent with the armed registration permit. In addition to the requirements set forth in Paragraph (j) of this Rule, applicants shall attain a score of at least 80 percent accuracy on a shotgun range qualification course established by the Board and the Secretary of Public Safety, a copy of which is on file in the Director's office.

(l) Applicants for shotgun recertification shall complete one hour of classroom training covering the topics set forth in Paragraph (j) of this Rule and shall also complete the requirements of Paragraph (d) of this Rule.

(m) To be authorized to carry a rifle in the performance of his or her duties as an armed security guard, an applicant shall complete, in addition to the requirements of Paragraphs (a), (c), and (d) of this Rule, 16 hours of classroom training which shall include the following:

(1) legal limitations on the use of rifles (minimum of one hour);

(2) rifle safety, including range firing procedures (minimum of one hour);

(3) rifle operation and maintenance (minimum of two hours);

(4) rifle fundamentals (minimum of ten hours); and

(5) night firing (minimum two hours).

Subparagraph (m)(2), "operation" under Subparagraph (m)(3), and Subparagraph (m)(4) of this Rule shall be completed prior to the applicant's participation in range firing.

(n) The applicant shall pass a skills course that tests each basic rifle skill and the test of each skill shall be completed within three attempts.

(o) An applicant may take the additional rifle training at a time after the initial training in Subsection (c) of this Rule. If the rifle training is completed at a later time, the rifle certification shall run concurrent with the armed registration permit. In addition to the requirements set forth in Paragraphs (m) and (n) of this Rule, applicants shall attain a score of at least 80 percent accuracy on a rifle range qualification course established by the Board and the Secretary of Public Safety, a copy of which is on file in the Director's office.

(p) Applicants for rifle recertification shall complete an additional one hour of classroom training covering the topics set forth in Paragraph (m) of this Rule and shall also complete the requirements of Paragraph (d) of this Rule.

(q) Upon written request, an applicant for an armed licensee permit or an armed security guard firearm registration permit who possesses a current firearms trainer certificate shall be given a licensee permit or registration permit that will run concurrent with the trainer certificate upon completion of an annual qualification with the applicant's duty firearms as set forth in Paragraph (d) of this Rule.

(r) An armed licensee or security guard is required to qualify annually both for day and night firing with his or her duty handgun, shotgun, and rifle, if applicable. If the licensee or security guard fails to qualify on any course of fire, the licensee or security guard shall not carry the firearm until such time as he or she meets the qualification requirements. Upon failure to qualify, the firearm instructor shall notify the licensee or security guard verbally that he or she is no longer authorized to carry the firearm and the firearm instructor shall notify the employer and the Private Protective Services Board staff in writing on the next business day.

(s) A firearm training certificate of an armed security guard remains valid even if the guard leaves the employment of one company for the employment of another. The range qualifications shall remain valid if the guard will be carrying a firearm of the same make, model, and caliber and no additional firearms training shall be required. The licensee shall submit a letter stating the guard will be carrying the same make and model firearm. If the guard will be carrying a firearm of a different make and model, the licensee shall submit a letter to the Board advising of the make, model, and caliber of the firearm the guard will be carrying and the guard shall be required to qualify at the firing range on both the day and night qualification course. The qualification score is valid for 180 days after completion of the course. However, nothing herein shall extend the period of time the qualification is valid.

History

Authority G.S. 74C-5; 74C-9; 74C-13
Eff. June 1, 1984
Amended Eff. November 1, 1991; February 1, 1990; July 1, 1987
Temporary Amendment Eff. January 14, 2002
Amended Eff. October 1, 2013; October 1, 2010; June 1, 2009; February 1, 2006; August 1, 2002
Transferred and Recodified from 12 NCAC 07D .0807 Eff. July 1, 2015
Amended Eff. January 1, 2018; February 1, 2016; October 1, 2015
Readopted Eff. November 1, 2019
Amended Eff. January 1, 2023; February 1, 2022
Temporary Amendment Eff. April 28, 2023
Amended Eff. April 1, 2026; November 1, 2023.

14B NCAC 16 .0808 Concealed Handgun

(a) The Board does not have the authority to issue a Concealed Handgun Carry Permit. However, a licensee, trainee, registrant, or firearms trainer who has complied with all provisions of G.S. 14, Article 54B and applicable rules adopted by the N.C. Criminal Justice Education and Training Standards Commission pursuant thereto and has been issued a current concealed handgun permit by a Sheriff may carry a concealed handgun after complying with the concealed handgun provisions for training and qualifications set forth in Paragraph (b) of this Rule.

(b) A licensee, trainee, or registrant shall comply with each of the following requirements to carry a concealed handgun while engaged in a private protective services business:

(1) Hold a current Armed Licensee Registration or Armed Guard Registration Permit by complying with all requirements for armed registration as prescribed in this Section.

(2) Complete standards as required by G.S. 14-415.12 to include knowledge of North Carolina firearms laws including the limitation on concealed handgun possession on specified property and within certain buildings.

(c) Upon application to the Board, a licensee, trainee, or registrant meeting the requirements of this Section shall be issued a concealed handgun endorsement to the current Armed Licensee Registration or Armed Guard Registration Permit without additional permit fees, but any additional training costs necessary to comply with this Section shall be borne directly by the applicant. The endorsement shall be renewed at the time of the Armed Licensee Registration or Armed Guard Registration Permit renewal pursuant to this Rule on payment of the renewal fee and proof of possession of a current Concealed Handgun Permit. A licensee, but not a registrant, who is authorized pursuant to Section 926B or 926C of Title 18 of the United States Code to carry a concealed handgun and is in compliance with the requirements of those Code sections is exempt from the Concealed Handgun Carry Permit requirements of this Rule, but must still obtain the endorsement. There shall be no additional fee for the concealed handgun endorsement renewal.

History

Authority G.S. 74C-5; 74C-13
Eff. June 1, 1984
Temporary Amendment Eff. December 1, 1995 for a period of 180 days or until the
permanent rule becomes effective, whichever is sooner
Amended Eff. June 1, 1996
Transferred and Recodified from 12 NCAC 07D .0808 Eff. July 1, 2015
Readopted Eff. November 1, 2019
Amended Eff. April 1, 2026; July 1, 2021.

14B NCAC 16 .0809 Authorized Firearms

Armed licensees or registrants are authorized, while in the performance of official duties or traveling directly to and from work, to carry a standard revolver from .32 caliber to .357 caliber, a standard semi-automatic pistol from .354 caliber to .45 caliber, any standard 12 gauge shotgun, or any standard semi-automatic or bolt action .223, .308, 5.56 X 45 mm NATO caliber, or any above handgun caliber rifle as long as the licensee or registrant has been trained pursuant to Rule .0807 of this Section. For purposes of this Section, a "standard" firearm means a firearm that has not been modified or altered from its original manufactured design.

History

Authority G.S. 74C-5; 74C-13
Eff. June 1, 1984
Amended Eff. January 1, 2015; June 1, 1993; November 1, 1991; July 1, 1987
Transferred and Recodified from 12 NCAC 07D .0809 Eff. July 1, 2015
Amended Eff. February 1, 2016
Readopted Eff. November 1, 2019.

14B NCAC 16 .0901 Requirements for a Firearms Trainer Certificate

(a) Firearms trainer applicants shall:

(1) meet the minimum standards established by Rule .0703 of this Chapter;

(2) have a minimum of one year of experience in security with a contract security company or proprietary security organization, or one year of experience with any federal, state, county or municipal law enforcement agency;

(3) attain a 90 percent score on a firearm's prequalification course approved by the Board and the Secretary of Public Safety, with a copy of the firearm's course certificate to be kept on file in the administrator's office;

(4) to teach handgun qualification, complete a training course approved by the Board and the Secretary of Public Safety that shall consist of a minimum of 32 hours of classroom and practical range training in safety and maintenance, range operations, night firearm training, control and safety procedures, and methods of handgun firing;

(5) to teach shotgun qualification, complete a training course approved by the Board and the Secretary of Public Safety that shall consist of a minimum of 12 hours of classroom and practical range training in shotgun safety and maintenance, range operations, night firearm training, control and safety procedures, and methods of shotgun firing;

(6) to teach rifle qualification, complete a training course approved by the Board and the Secretary of Public Safety that shall consist of a minimum of 16 hours of classroom and practical range training in rifle safety and maintenance, range operations, night firearm training, control and safety procedures, and methods of rifle firing;

(7) pay the certified trainer application fee established in Rule .0903(a)(1) of this Section; and

(8) successfully complete the requirements of the Unarmed Trainer Certificate set forth in Rule .0909 of this Section.

(b) The applicant's score on the prequalification course set forth in Subparagraph (a)(3) of this Rule is valid for 180 days after completion of the course.

(c) In lieu of completing the training course set forth in Subparagraph (a)(4) of this Rule, an applicant may submit to the Board a current Criminal Justice Specialized Law Enforcement Firearms Instructor Certificate from the North Carolina Criminal Justice Education and Training Standards Commission.

(d) In lieu of Subparagraphs (a)(2) and (4) of this Rule, an applicant may establish that the applicant satisfies the conditions set forth in G.S. 93B-15.1(a) for firearm instruction and two years of verifiable experience within the past five years in the U.S. Armed Forces as a firearms instructor.

(e) All applicants subject to Paragraph (c) of this Rule shall comply with the provisions of Subparagraph (a)(3), pay the application fee amount as set forth in Rule .0903 of this Section, and complete the eight-hour course given by the Board on rules and regulations.

(f) All applicants subject to Paragraph (d) of this Rule shall comply with the provisions of Subparagraph (a)(3) and complete the eight-hour course given by the Board on rules and regulations. No application fee shall be required.

(g) In addition to the requirements of Section .0200 of this Chapter, an applicant for a firearms trainer certificate who is the spouse of an active duty member of the U.S. Armed Forces shall establish that the application satisfies the conditions set forth in G.S. 93B-15.1(b). No application fee shall be required.

(h) A Firearms Trainer Certificate expires two years after the date of issuance.

History

Authority G.S. 74C-5; 74C-9; 74C-13; 93B-15.1
Eff. June 1, 1984
Amended Eff. July 1, 2014; October 1, 2013; December 1, 2008; January 1, 2008; August 1, 2004; November 1, 1991
Transferred and Recodified from 12 NCAC 07D .0901 Eff. July 1, 2015
Amended Eff. February 1, 2016; October 1, 2015
Readopted Eff. November 1, 2019.

14B NCAC 16 .0902 Application for Firearms Trainer Certificate

(a) Each applicant for a firearms trainer certificate shall submit an online application to the Board containing the applicant's:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) residence history;

(4) date of birth, birth country, state or province, county or parish, and citizenship; and

(5) driver's license number and state of issuance.

(b) The application shall be accompanied by:

(2) one head and shoulders color digital photograph of the applicant in JPG, JPEG, or PNG format of sufficient quality for identification, taken within six months prior to online submission and submitted by uploading online with the application submission;

(5) the applicant's non-refundable application fee, along with the convenience fee charged by the Board's on-line application vendor and a separate credit card transaction fee;

(6) evidence of the liability insurance required by G.S. 74C-10(e) if the applicant is not an employee of a licensee;

(7) a certificate of successful completion of the training required by Rule .0901(a)(3) and (4) of this Section or acceptable certificate of other current certification as set forth in Rule .0901(c) and (d) of this Section; and

(8) the actual cost charged to the Private Protective Services Board by the North Carolina Justice Academy or other entity to cover the cost of the firearms training course given by the N.C. Justice Academy or other entity and collected as part of the online application process by the Private Protective Services Board.

History

Authority G.S. 74C-5; 74C-8(d); 74C-8.1(a); 74C-13
Eff. June 1, 1984
Amended Eff. August 1, 1998; December 1, 1995; July 1, 1987; December 1, 1985
Temporary Amendment Eff. July 17, 2001
Amended Eff. January 1, 2013; May 1, 2012; August 1, 2002
Transferred and Recodified from 12 NCAC 07D .0902 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. March 1, 2020
Amended Eff. May 1, 2026; September 1, 2024; January 1, 2024; July 1, 2021.

14B NCAC 16 .0903 Fees for Trainer Certificate

(a) Trainer certificate fees are as follows:

(1) fifty-dollar ($50.00) non-refundable initial application fee for firearms trainer applicants;

(2) fifty-dollar ($50.00) non-refundable initial application fee for an unarmed trainer applicant; and

(3) twenty-five dollar ($25.00) biennial fee for a renewal or replacement trainer certificate.

(b) Fees shall be paid online by credit card or other form of electronic funds transfer.

History

Authority G.S. 74C-9
Eff. June 1, 1984
Amended Eff. January 1, 2005; January 1, 2004
Transferred and Recodified from 12 NCAC 07D .0903 Eff. July 1, 2015
Amended Eff. January 1, 2018
Readopted Eff. March 1, 2020
Amended Eff. February 1, 2022.

14B NCAC 16 .0904 Renewal of a Firearms Trainer Certificate

(a) Each applicant for renewal of a firearms trainer certificate shall complete an online renewal form on the website provided by the Board. The application shall contain:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) current employer;

(4) date of birth, birth country, state or province, county or parish, and citizenship; and

(5) driver's license number and state of issuance.

(b) This online application shall be submitted online not less than 30 days prior to the expiration of the applicant's current certificate and shall be accompanied by:

(1) a certificate of successful completion of a firearms trainer refresher course approved by the Board and the Secretary of Public Safety consisting of a minimum of eight hours of classroom and practical range training in safety and maintenance of the applicable firearm (i.e. handgun, shotgun, or rifle), range operations, control and safety procedures, and methods of firing. This training shall be completed within 180 days of the submission of the renewal application;

(2) a statement of the results of a criminal history records search by the reporting service designated by the Board pursuant to G.S. 74C-8.1(a) for each state where the applicant has resided within the preceding 24 months; and

(3) the applicant's renewal fee, along with the convenience fee charged by the Board's on-line application vendor and a separate credit card transaction fee.

(d) Members of the armed forces whose certification is in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return shall receive that same extension of time to pay the certification renewal fee and to complete any continuing education requirements prescribed by the Board. The applicant shall furnish the Board a copy of the military order or the extension approval by the Internal Revenue Service or by the North Carolina Department of Revenue.

(e) Any firearms trainer who fails to qualify with the minimum score during the refresher course shall not continue to instruct during the period between the failure to qualify and the expiration of his or her permit.

(f) The holder of a firearms trainer certificate may utilize a dedicated light system or gun mounted light for personal requalification.

(g) During a national or State declared state of emergency that restricts or prohibits a certified firearms trainer from requalifying, the Board shall, upon written request to the Director by the licensee, extend the deadline for requalification up to 90 days beyond the effective period of the state of emergency. Any certificate renewed pursuant to this Paragraph shall be issued conditionally and shall automatically expire on the 90th day if requalification requirements have not been met.

History

Authority G.S. 74C-5; 74C-8.1(a); 74C-9; 74C-13; 93B-15; 15A-151(a)(10)
Eff. June 1, 1984
Amended Eff. January 1, 2013; October 1, 2010; June 1, 2009; December 1, 1995; December 1, 1985
Transferred and Recodified from 12 NCAC 07D .0904 Eff. July 1, 2015
Amended Eff. November 1, 2017; February 1, 2016; October 1, 2015
Readopted Eff. November 1, 2019
Amended Eff. March 1, 2020
Emergency Amendment Eff. May 6, 2020
Temporary Amendment Eff. July 24, 2020
Temporary Amendment Expired Eff. May 14, 2021
Amended Eff. May 1, 2026; September 1, 2024; January 1, 2024; October 1, 2022; July 1, 2022; January 1, 2022.

14B NCAC 16 .0905 Determination of Experience

In determining the experience required under this Section, the provisions of Rule .0204 of this Chapter shall apply.

History

Authority G.S. 74C-5; 74C-13
Eff. June 1, 1984
Transferred and Recodified from 12 NCAC 07D .0905 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .0906 Records Retention

(a) A Certified Firearms Trainer shall retain the following in each applicant's armed certification file:

(1) a copy of the post delivery report listing the name(s) of individual(s) who qualified or attempted to qualify for armed security guard registration, and hour(s) of training, firearms qualification scores and any other information thereon;

(2) a copy of the individual's Firearm Training Certificate; and

(3) the individual's B-27 target and the Certified Firearms Trainer's Documentation Record.

(b) The individual's B-27 qualification attempt target shall be retained for a minimum of 18 calendar months from the date of each qualification attempt. Each B-27 target shall contain the full name of the individual that fired the qualification course of fire, the date that qualification attempt took place, and the printed name and signature of the private protective service Certified Firearms Trainer who scored the target and the score. The qualification target shall also show letter "N" or "D" to indicate if the qualification attempt was a day time ("D") or night time ("N") qualification attempt. The information required by this Paragraph shall be placed on the B-27 target in ink or permanent marker.

History

Authority G.S. 74C-5; 74C-13
Eff. May 3, 1993
Amended Eff. December 1, 2008
Transferred and Recodified from 12 NCAC 07D .0906 Eff. July 1, 2015
Readopted Eff. November 1, 2019.

14B NCAC 16 .0907 PRE-DELIVERY REPORT For FIREARMS TRAINING courses

Certified Firearms Trainers shall submit to the Board a pre-delivery report for all firearms training courses required by Rule .0807 of this Chapter not less than five days prior to commencing any firearms training course. This report shall be submitted on a Board form and shall contain the following information:

(1) the Certified Firearms Trainer's name, address, and contact telephone number;

(2) the date, time, and location of classroom training;

(3) the date, time, and location of range qualification;

(4) the classroom and range telephone number(s);

(5) the number of students anticipated; and

(6) the Certified Firearms Trainer's signature.

History

Authority G.S. 74C-5; 74C-13
Temporary Adoption Eff. October 2, 2002
Temporary Adoption Expired July 29, 2003
Eff. December 1, 2003
Transferred and Recodified from 12 NCAC 07D .0907 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .0908 POST-DELIVERY REPORT For FIREARMS TRAINING courses

Certified Firearms Trainers shall submit to the Board a post-delivery report for all firearms training courses required by Rule .0807 of this Rule within 20 days after completion of the firearms training. The report shall be submitted on a Board form and shall contain the following information:

(1) the Certified Firearms Trainer's name;

(2) the date, time, and location of classroom training;

(3) the date, time, and location of range qualification;

(4) the full name of the students who completed the firearms training course;

(5) the certification by the Firearms Trainer that the applicant has successfully completed the firearms classroom training;

(6) the range score for each student completing the firearms training course; and

(7) the Certified Firearms Trainer's signature.

History

Authority G.S. 74C-5; 74C-13
Temporary Adoption Eff. October 2, 2002
Temporary Adoption Expired July 29, 2003
Eff. December 1, 2003
Amended Eff. December 1, 2008; January 1, 2008
Transferred and Recodified from 12 NCAC 07D .0908 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .0909 Unarmed Trainer Certificate

(a) To receive an unarmed trainer certificate, an applicant shall meet the following requirements:

(1) comply with the requirements of Rule .0703 of this Chapter;

(3) complete a training course approved by the Board and the Secretary of Public Safety that shall consist of classroom instruction to include the following topic areas:

(A) civil liability for the security trainer -- (minimum of two hours);

(B) interpersonal communications in instruction -- (minimum of three hours);

(D) principles of instruction -- (minimum of one hour);

(E) methods and strategies of instruction -- (minimum of one hour);

(F) principles of instruction: audio-visual aids -- (minimum of three hours); and

(G) student performance -- (minimum 45 minute presentation);

(4) receive a favorable recommendation from the employing or contracting licensee or other individual with knowledge of the applicant's experience and teaching skills; and

(5) submit the online application required by Rule .0910 of this Section.

(b) In lieu of completing the training course set forth in Subparagraph (a)(3) of this Rule, an applicant may submit to the Board:

(1) a Criminal Justice General Instructor Certificate from the North Carolina Criminal Justice Education and Training Standards Commission; or

(2) any training certification that meets or exceeds the requirements of Subparagraph (a)(3) of this Rule and is approved by the Director of PPS.

(c) In lieu of the experience requirement of Subparagraph (a)(2) of this Rule and completing the training course set forth in Subparagraph (a)(3) of this Rule, an applicant may establish that the applicant satisfies the conditions set forth in G.S. 93B-15.1(a) for an unarmed trainer and two years of verifiable experience within the past five years in the U.S. Armed forces as an unarmed guard trainer. No application fee shall be required.

(d) In addition to the requirements of Section .0200 of this Chapter, an applicant for an unarmed guard trainer certificate that is the spouse of an active duty member of the U.S. Armed Forces shall establish that the applicant satisfies the conditions set forth in G.S. 93B-15.1(b). No application fee shall be required.

(e) The holder of an unarmed trainer certificate may teach as:

(1) an employee of a licensed security guard and patrol business;

(2) as a contractor of a licensed security guard and patrol business; and

(3) in a program sponsored by a public high school defined by G.S. 115C-75(a)(2) or a community college defined by G.S. 115D-2(2).

(f) An Unarmed Trainer Certificate expires two years after the date of issuance.

History

Authority G.S. 74C-8; 74C-9; 74C-11; 93B-15.1
Eff. October 1, 2004
Amended Eff. October 1, 2013; January 1, 2013; January 1, 2008
Transferred and Recodified from 12 NCAC 07D .0909 Eff. July 1, 2015
Amended Eff. October 1, 2015
Readopted Eff. November 1, 2019
Amended Eff. March 1, 2020.

14B NCAC 16 .0910 APPLICATION FOR AN Unarmed Trainer

(a) Each applicant for an unarmed trainer certificate shall submit an online application to the Board containing the applicant's:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) residence history;

(4) date of birth, birth country, state or province, county or parish, and citizenship; and

(5) driver's license number and state of issuance.

(b) The online submission shall be accompanied by:

(2) one head and shoulders color digital photograph of the applicant in JPG, JPEG, or PNG format of sufficient quality for identification, taken within six months prior to online submission and submitted by uploading online with the application submission;

(3) a statement of the results of a statewide criminal history records search by the reporting service designated by the Board pursuant to G. S. 74C-8.1(a) for each state where the applicant has resided within the preceding 60 months;

(5) the applicant's non-refundable application fee, along with the convenience fee charged by the Board's on-line application vendor and a separate credit card transaction fee;

(6) a certificate of successful completion of the training required by Rule .0909(a)(3) or current certificate of other acceptable certification as set forth in Rule .0909(b) of this Section.

(7) the actual cost charged to the Private Protective Services Board by Wake Technical Community College, or other entity, to cover the cost of the unarmed guard trainer course and collected as part of the online application process by the Private Protective Services Board.

History

Authority G.S. 74C-8; 74C-9; 74C-11; 74C-13
Eff. October 1, 2004
Amended Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .0910 Eff. July 1, 2015
Readopted Eff. March 1, 2020
Amended Eff. May 1, 2026; September 1, 2024; January 1, 2024.

14b NCAC 16 .0911 RENEWAL OF AN Unarmed Trainer Certificate

(a) Each applicant for renewal of an unarmed trainer certificate shall complete an online renewal form on the website provided by the Board. The application shall contain:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) current employer;

(4) date of birth, birth country, state or province, county or parish, and citizenship;

(5) driver's license number and state of issuance; and

(6) firearm type.

(b) This online form shall be submitted not less than 30 days prior to the expiration of the applicant's current certificate. In addition, the applicant shall include the following:

(1) the renewal fee set forth in Rule .0903(a)(3) of this Section and collected online as part of the application process;

(2) a certificate of completion of a minimum of 16 hours of Board developed armed or unarmed instruction performed during the current unarmed trainer certification period;

(3) a statement verifying the classes taught during the current unarmed trainer certification period on a form provided by the Board as part of the online application process; and

(4) a statement of the results of a criminal history records search by the reporting service designated by the Board pursuant to G.S. 74C-8.1(a) for each state where the applicant has resided within the preceding 24 months.

(d) Members of the armed forces whose certification is in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return are granted that same extension of time to pay the certification renewal fee and to complete any continuing education requirements prescribed by the Board. A copy of the military order or the extension approval by the Internal Revenue Service or by the North Carolina Department of Revenue must be furnished to the Board.

(e) During a national or State declared state of emergency that restricts or prohibits an unarmed trainer from performing the instruction required by Subparagraph (b)(2) of this Rule, the Board shall, upon written request to the Director by the licensee, extend the deadline for renewal up to 90 days beyond the effective period of the state of emergency. Any certificate renewed pursuant to this Paragraph shall be issued conditionally and shall automatically expire on the 90th day if instruction requirements have not been met.

History

Authority G.S. 74C-8; 74C-9; 74C-11; 74C-13
Eff. August 1, 2004
Amended Eff. January 1, 2013; October 1, 2010; January 1, 2008
Transferred and Recodified from 12 NCAC 07D .0911 Eff. July 1, 2015
Readopted Eff. March 1, 2020
Amended Eff. May 1, 2026;October 1, 2022; July 1, 2022.

14B NCAC 16 .0912 rosters of Unarmed Trainer classeS

History

Status: repealed
Authority G.S. 74C-5; 74C-13
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .0912 Eff. July 1, 2015
Readopted Eff. March 1, 2020
Repealed Eff. January 1, 2024.

14b NCAC 16 .1001 Definitions

History

Status: repealed
Authority G.S. 74C-31
Eff. June 1, 1989
Transferred and Recodified from 12 NCAC 07D .1001-.1003 Eff. July 1, 2015
Repealed Eff. October 1, 2020.

14b NCAC 16 .1002 Petition for Hearing/Application for Relief

History

Status: repealed
Authority G.S. 74C-31
Eff. June 1, 1989
Transferred and Recodified from 12 NCAC 07D .1001-.1003 Eff. July 1, 2015
Repealed Eff. October 1, 2020.

14B NCAC 16 .1003 Processing Applications

History

Status: repealed
Authority G.S. 74C-31
Eff. June 1, 1989
Transferred and Recodified from 12 NCAC 07D .1001-.1003 Eff. July 1, 2015
Repealed Eff. October 1, 2020.

14b NCAC 16 .1101 Definitions

In addition to the definitions set forth in G.S. 74C, the following definitions shall apply to this Section:

(1) "Private Investigator Associate" means an individual training to become a Private Investigator. A Private Investigator Associate may also be referred to as a "trainee" in these Rules. A Private Investigator Associate must complete three training levels as set out in this Section.

(2) "One-on-one Supervision" means person-to-person contact whereby the licensed investigator is personally and directly supervising or training the Associate. The training investigator must be the sponsoring licensed Private Investigator or any licensed Private Investigator who is a member of the sponsoring Private Investigator's firm, association, or corporation. The Private Investigator Associate may not subcontract his or her employment to another Private Investigator. However, the sponsoring Private Investigator may subcontract the Private Investigator Associate if the sponsor obtains prior written approval from the Board's Director by showing that the Private Investigator Associate will receive an educational benefit from the subcontract employment and the Associate will receive one-on-one supervision from another licensed Private Investigator.

(3) "Training Checklist" means the documents that shall state all areas of training and work that the Associate has performed. The sponsor is responsible for maintaining the training checklist and providing a copy of the checklist to the Associate. The Training Checklist must reflect the date the Associate advances from one level to another. The training checklist must be signed by the Associate and the sponsor at the end of each reporting period. In the event the Associate transfers employment to another Private Investigator, the Associate must provide the new sponsor with the training checklist and the new sponsoring Private Investigator will then be responsible for the maintenance of the checklist. The Training Checklist must be updated on a quarterly basis for Level One Associates and on a yearly basis for Level Two and Level Three Associates. The training checklist must be maintained pursuant to Rule .0108 of this Chapter. When an Associate completes Level Three, the Training Checklist must be made a part of the Associate's application for a Private Investigator's license. The Board shall have immediate access to the training checklist upon request.

(4) "Associate Log" means the documents maintained by the Associate which shall list each case the Associate has worked, the number of hours spent on the case, and the type of work performed.

History

Authority G.S. 74C-2(c); 74C-5(2)
Eff. July 1, 1994
Transferred and Recodified from 12 NCAC 07D .1101 Eff. July 1, 2015
Readopted Eff. July 1, 2020
Amended Eff. September 1, 2024; November 1, 2023.

14B NCAC 16 .1102 Training and Supervision Required in Level One

(a) If upon sponsorship, the Associate has less than one year or 1,000 hours of verifiable training or experience, the Associate shall be classified as a Level One Associate and undergo 160 hours of one-on-one supervision training.

(b) The first 40 hours of employment shall be one-on-one supervision. The remaining 120 hours of one-on-one supervision shall be gathered over the first year of employment or the first 1,000 hours of work, whichever comes first.

(c) A Level One Associate cannot, independently of the sponsor, accept or contract employment. The Associate shall have direct face-to-face or telephone contact with the sponsor or another licensed Private Investigator within the firm, association, or corporation before accepting employment or before accepting a new case.

(d) The sponsor or another licensed Private Investigator associated with the sponsor's firm, association, or corporation shall meet with the Level One associate to review the Associate's work product. The sponsor's review may be by telephone or face-to-face and shall occur at least four times per month. The sponsor shall review each case on which the Associate is working or has worked since the last review. Review sessions may encompass more than one case.

History

Authority G.S. 74C-5(2)
Eff. July 1, 1994
Transferred and Recodified from 12 NCAC 07D .1102 Eff. July 1, 2015
Readopted Eff. July 1, 2020
Amended Eff. September 1, 2024.

14B NCAC 16 .1103 Training and Supervision Required in Level Two

(a) If upon initial application for an Associate permit, the applicant has at least one year or 1,000 hours of verifiable training or experience, the applicant will skip Level One and be classified as a Level Two Private Investigator Associate. An applicant that skips Level One shall undergo 80 hours of one-on-one training. The first 40 hours of one-on-one supervision shall occur within the first 40 hours of employment. The remaining 40 hours shall be gathered over the first year of employment or the first 1,000 hours of work, whichever comes first.

(b) A Level Two Associate cannot, independently of the sponsor, accept or contract employment. The Associate shall have direct face-to-face or telephone contact with the sponsor or another licensed Private Investigator within the firm, association, or corporation before accepting employment or before accepting a new case.

(c) The sponsor or another licensed Private Investigator associated with the sponsor's firm, association, or corporation shall meet with the Level Two Associate to review the Associate's work product. The sponsor's review may be by telephone or face-to-face and shall occur at least four times per month. The sponsor shall review each case on which the Associate is working or has worked since the last review. Review sessions may encompass more than one case.

History

Authority G.S. 74C-5(2)
Eff. July 1, 1994
Transferred and Recodified from 12 NCAC 07D .1103 Eff. July 1, 2015
Readopted Eff. July 1, 2020
Amended Eff. September 1, 2024.

14B NCAC 16 .1104 Training and Supervision Required in Level Three

(a) If upon sponsorship the Associate has at least two years or 2,000 hours of verifiable training or experience, the Associate will be classified as a Level Three Private Investigator Associate and shall undergo 40 hours of one-on-one training.

(b) The first 40 hours of employment for the Level Three Private Investigator Associate shall be one-on-one supervision.

(c) When the Level Three Associate completes the requirements of Level Three by fulfilling the licensing requirements set forth in Rules .0204 and .0401 of this Chapter, the Associate may apply for a private investigator's license.

(d) The sponsor or another licensed Private Investigator associated with the sponsor's firm, association, or corporation shall meet with the Level Three Associate to review the Associate's work product. The sponsor shall review each case on which the Associate is working or has worked since the last review. Review sessions may encompass more than one case.

(e) The sponsor shall ensure the Level Three Associate remains in compliance with G.S. 74C.

History

Authority G.S. 74C-5(2)
Eff. July 1, 1994
Transferred and Recodified from 12 NCAC 07D .1104 Eff. July 1, 2015
Readopted Eff. July 1, 2020
Amended Eff. September 1, 2024.

14B NCAC 16 .1105 Educational Degrees and Non-Degreed Training

(a) Using the formula in Rule .0204 of this Chapter, the Board shall give credit toward the educational and training requirements of this Section as follows:

(b) During the first 40 hours of one-on-one supervision, a Level One Associate may receive up to 4 hours of one-on-one supervision credit for time spent in the courtroom observing a docketed trial. Of the remaining 120 hours of one-on-one supervision required in Level One, the Associate may receive up to 12 hours of credit for time spent in the courtroom observing a trial. Of the thousand hours of training required in Level One, the Associate cannot receive more than 100 hours of credit for time spent in the courtroom observing a trial. To receive credit for courtroom observation, the Level One Associate must state in the Associate's Log the docket number of the trial and the time spent observing the trial.

(c) During the first 40 hours of one-on-one supervision, a Level Two Associate may receive up to 4 hours of one-on-one supervision credit for time spent in the courtroom observing a docketed trial. Of the remaining 80 hours of one-on-one supervision required in Level Two, the Associate may receive up to 8 hours of credit for time spent in the courtroom observing a trial. Of the thousand hours of training required in Level Two, the Associate cannot receive more than 100 hours of credit for time spent in the courtroom observing a trial. To receive credit for courtroom observation, the Level Two Associate must state in the Associate's Log the docket number of the trial and the time spent observing the trial.

(d) During the first 40 hours of one-on-one supervision, a Level Three Associate may receive up to 4 hours of one-on-one supervision credit for time spent in the courtroom observing a docketed trial. Of the one thousand hours of training required in Level Three, the Associate cannot receive more than 100 hours of credit for time spent in the courtroom observing a trial. To receive credit for courtroom observation, the Level Three Associate must state in the Associate's Log the docket number of the trial and the time spent observing the trial.

History

Authority G.S. 74C-5(2)
Eff. July 1, 1994
Transferred and Recodified from 12 NCAC 07D .1105 Eff. July 1, 2015
Readopted Eff. July 1, 2020
Amended Eff. September 1, 2024.

14B NCAC 16 .1106 Consideration of Experience

(a) The Board shall consider any practical experience gained prior to the application date. The Board shall not consider experience claimed by the applicant if the experience was:

(1) gained by contracting private protective services to another person, firm, association, or corporation while not in possession of a valid private protective services license; or

(b) The Board shall consider any educational experience referred to in Rule .1105 of this Section.

History

Authority G.S. 74C-5(2)
Eff. July 1, 1994
Amended Eff. January 1, 2013; April 1, 1999
Transferred and Recodified from 12 NCAC 07D .1106 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1107 Enforcement

A violation by the Associate may be deemed by the Board to be a violation of the sponsor if the violation is found to be the result of insufficient supervision and may subject the sponsor to any enforcement actions pursuant to G.S. 74C-17.

History

Authority G.S. 74C-2(c); 74C-5(2); 74C-12
Eff. July 1, 1994
Transferred and Recodified from 12 NCAC 07D .1107 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1108 Transferability of Training Hours

If a Level One Associate transfers employment to another Private Investigator, the one-on-one training shall not transfer and the Associate shall undergo new one-on-one supervised training hours with the new sponsoring Private Investigator. If a Level Two or Level Three Associate transfers employment to another Private Investigator, all training hours shall be transferred.

History

Authority G.S. 74C-5(2)
Eff. July 1, 1994
Transferred and Recodified from 12 NCAC 07D .1110 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1109 Probationary Employees

(a) A private investigator licensee may employ a potential trainee as a probationary employee for 60 consecutive calendar days. The Director, upon written request of the licensee, shall extend the probationary period by 30 additional days.

(b) A private investigator licensee may supervise an intern as a probationary employee concurrent with the intern's educational institution's schedule.

(c) A private investigator licensee may employ an apprentice participating in a North Carolina registered apprentice program as set forth in G.S. 93B-8.6 as a probationary employee for the period prescribed in the federal guidelines as set forth therein.

(d) To qualify as an "intern" the potential probationary employee must be enrolled as a student in a high school, community college, college, or university, be in good standing with the educational institution, and the internship must be for credit towards a degree, diploma, or certificate issued by the educational institution.

(e) Upon completion of the probationary period and the desire of the licensee to supervise the probationary employee as a private investigator trainee, the potential trainee shall apply pursuant to Section .0200 of this Chapter.

(f) For hours gained during probationary employment, an internship, or apprenticeship to be considered for licensure the probationary employee shall comply with Rule .1102 of this Section.

(g) Before a probationary employee engages in any activity defined as private investigation or has access to any confidential client information, the employee shall complete 40 hours of one-on-one supervision by the supervising licensee, and the licensee shall conduct a criminal record check on the employee.

(h) Before engaging the probationary employee, intern, or apprentice the licensee shall submit to the Director in writing the name, address, last four digits of social security number, confirmation that the results of the criminal history record check contain no prohibitions as set forth in G.S. 74C-8(d)(2), and anticipated start date and ending date of employment of the probationary employee. The Director shall confirm receipt within three business days of receipt.

(i) Probationary employment which does not comply with this Rule is a violation of Rule .0204(c)(2) of this Chapter.

(j) Any probationary employee, intern, or apprentice shall be a minimum of 18 years of age.

(k) The use of the terms "employee" and "employment" in this Rule does not require or mandate compensation for any probationary employment, internship, or apprenticeship.

History

Authority G.S. 74C-5(2); 93B-8.6
Eff. January 1, 2024.

14b NCAC 16 .1201 Definitions

In addition to the definitions set forth in Rule .0103 of this Chapter, the following definitions shall apply to this Section:

(1) "continuing education" or "CE" refers to any educational activity approved by the Board to be a continuing education activity.

(2) "credit hour" means 60 minutes of continuing education instruction.

(3) "year" refers to the calendar year after the issuance of a new or renewal license.

History

Authority G.S. 74C-5; 74C-22
Eff. February 1, 2010
Transferred and Recodified from 12 NCAC 07D .1301 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1202 Required Continuing Education Hours

(a) Each licensee shall complete 12 credit hours of continuing education training during each two year renewal period.

(b) Credit shall be given only for classes that have been approved by the Board as set forth in Rule .1203 of this Section.

(c) A licensee who attends a complete meeting of a regularly scheduled meeting of the Board shall receive two credit hours for each meeting that the licensee attends, with credit being given for a maximum of two meetings per year with no more than four credit hours per year and eight credit hours per renewal period.

(d) No more than six hours of CEU credit shall be given during a renewal period for online courses. However, during a national or State declared state of emergency that restricts or prohibits a licensee from attending live continuing education courses or a meeting of the Board, all required hours may be obtained online and credit shall be given upon written request to the Director.

(e) No course offering CEU credits may be taken for credit more than one time during a renewal period.

History

Authority G.S. 74C-2; 74C-5; 74C-22
Eff. February 1, 2010
Amended Eff. May 1, 2014
Transferred and Recodified from 12 NCAC 07D .1302 Eff. July 1, 2015
Emergency Amendment May 6, 2020
Readopted Eff. July 1, 2020
Emergency Amendment Eff. May 6, 2020
Temporary Amendment Eff. July 24, 2020
Temporary Amendment Expired May 14, 2021
Amended Eff. January 1, 2022.

14B NCAC 16 .1203 Continuing Education Course Accreditation Standards

(a) Continuing education course instructors may obtain Board accreditation of their course by submitting the following information to the Board for consideration:

(1) the nature and purpose of the course;

(2) the course objectives or goals;

(3) the outline of the course, including the number of training hours for each segment; and

(4) the name of the instructor; and

(5) a one hundred dollar ($100.00) continuing education course evaluation fee, paid online by credit card or electronic funds transfer.

(b) The Board shall complete the following review:

(1) The matter shall be referred to a committee appointed by the Board for review.

(2) The appointed committee shall review the course to determine if the course is pertinent to the industry, and if the course meets its stated objectives or goals.

(3) The appointed committee shall report its findings with a recommendation of approval or denial to the Board.

(4) Upon receipt of the appointed committee's report, the Board shall determine by majority vote if the course will be approved for continuing education credits. In making its determination, the Board shall review the course to determine if the course is pertinent to the industry, and if the course meets its stated objectives or goals.

(c) Each approved course shall remain an approved course for two years from the date of approval by the Board, unless the course content changes or the course instructor changes.

(d) Trainers and instructors shall receive continuing education credit of four hours for every actual teaching hour with an eight hour cap of continuing education credit every two years.

(e) Colleges, universities, trade schools, and other degree granting institutions shall be granted standing approval when the institutions are accredited, certified, or approved by the Department of Public Instruction or by a similar agency in another state and the course is related to law, criminal justice, security profession, finance, ethics, forensics, crime prevention, and investigation. Approval is one credit hour per contact hour up to the maximum 12 credit hours.

History

Authority G.S. 74C-5; 74C-22
Eff. February 1, 2010
Amended Eff. October 1, 2011
Transferred and Recodified from 12 NCAC 07D .1303 Eff. July 1, 2015
Emergency Amendment Eff. May 6, 2020
Readopted Eff. July 1, 2020
Temporary Amendment Eff. July 24, 2020
Temporary Amendment Expired Eff. May 14, 2021
Amended Eff. April 1, 2026; September 1, 2025; February 1, 2022; January 1, 2022; July 1, 2021.

14b NCAC 16 .1204 Non-Resident Licensee Continuing Education Credits

A non-resident licensee shall obtain the required continuing education credits as set forth in Rule .1202 of this Section. If a non-resident licensee resides in a state that requires continuing education for a private protective services business license, then the continuing education courses to be offered in the state of residence may be considered by the Board for approval in North Carolina on an individual course basis. In determining if the course is to be approved, the Board shall review the course to determine if the course is pertinent to the industry, and if the course meets its stated objective.

History

Authority G.S. 74C-2; 74C-22
Eff. February 1, 2010
Transferred and Recodified from 12 NCAC 07D .1304 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1205 Recording and Reporting Continuing Education Credits

(a) Each licensee shall be responsible for recording and reporting continuing education credits to the Board at the time of license renewal. For each course taken such report shall include a certificate of course completion that is signed by at least one course instructor, states the name of the licensee who completed the course, the date of course completion, and the number of hours taken by the licensee. Credit shall not be given if a certificate of course completion is dated more than two years before the license renewal date. Each course instructor shall be required to maintain a course roster and shall verify the identity of each participant by a government issued photo identification, such as a driver's license. The roster shall be delivered to the Board's office within two weeks of the completion date of the course.

(b) All applications for renewal of a license shall have continuing education certificate(s) of course completion attached verifying completion of the required number of credit hours. If an applicant is filing an application designated as "new" and the applicant has been licensed for any period of time within the previous two years, the applicant shall attach continuing education certificate(s) of course completion verifying completion of the required number of credit hours. An applicant shall not be required to submit a continuing education certificate of course completion if the applicant is filing an application designated as a "transfer" or "duplicate" and if the applicant has a current license issued by the Board.

History

Authority G.S. 74C-5; 74C-22
Eff. February 1, 2010
Transferred and Recodified from 12 NCAC 07D .1305 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1206 Non-Compliance

If a licensee fails to comply with this Section, his or her license shall not be renewed.

History

Authority G.S. 74C-5; 74C-22
Eff. February 1, 2010
Transferred and Recodified from 12 NCAC 07D .1306 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1207 Credit for Ce Courses

History

Status: repealed
Authority G.S. 74C-2; 74C-4; 74C-5; 74C-22
Eff. February 1, 2010
Transferred and Recodified from 12 NCAC 07D .1307 Eff. July 1, 2015
Repealed Eff. October 1, 2020.

14B NCAC 16 .1301 Application for Unarmed Armored Car Service Guard Registration

(a) Each employer or his or her designee shall submit an online application for the registration of each employee unarmed security guard to the Board containing the applicant's:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) residence history;

(4) current employer and employment history;

(5) date of birth, birth country, state or province, county or parish, and citizenship; and

(6) driver's license number and state of issuance.

(b) This online submission shall be accompanied by:

(3) a statement of the result of a statewide criminal history records search by the reporting service designated by the Board pursuant to G.S. 74C-8.1(a) for each state where the applicant has resided within the preceding 60 months;

(4) the applicant's non-refundable registration fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee;

(6) a statement signed by a certified trainer that the applicant has completed the training requirements of Rule .1307 of this Section unless a valid statement is on file in the Board's office;

(7) a signed SBI release of information form; and

(8) a completed affidavit form and public notice statement form.

(c) The applicant's copies of the application, affidavit, training certification, and the statement required by Subparagraph (a)(6) of this Rule shall together serve as a temporary registration card. These copies shall be carried by the applicant while performing job duties and shall be exhibited upon the request of any law enforcement officer or authorized representative of the Board. However, if the statement required by Subparagraph (a)(6) of this Rule is already on file with the Board, the applicant does not need to carry or present the statement.

(d) A copy of the statement specified in Subparagraph (a)(6) of this Rule shall be retained by the licensee in the individual applicant's personnel file in the employer's office.

History

Authority G.S. 74C-3; 74C-5; 74C-8.1(a)
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1401 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. March 1, 2020
Amended Eff. November 1, 2025; September 1, 2024; July 1, 2021.

14B NCAC 16 .1302 FEES FOR UNARMED armored car service GUARD REGISTRATION

(a) Fees for unarmed armored car service guards are as follows, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee:

(1) thirty dollar ($30.00) non-refundable initial registration fee;

(2) thirty dollar ($30.00) annual renewal, or reissue fee;

(3) fifteen dollar ($15.00) transfer fee; and

(4) twenty-five dollars ($25.00) late renewal fee to be paid within 90 days from the date the registration expires and to be paid in addition to the renewal fee.

(b) Fees shall be paid by credit card or other form of electronic funds transfer.

History

Authority G.S. 74C-3; 74C-5; 74C-9
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1402 Eff. July 1, 2015
Amended Eff. January 1, 2018
Readopted Eff. March 1, 2020
Amended Eff. September 1, 2024.

14B NCAC 16 .1303 MINIMUM STANDARDS FOR UNARMED armored car service GUARD REGISTRATION

An applicant for registration as an unarmed armored service guard shall:

(1) be at least 18 years of age;

(2) be a citizen of the United States or a resident alien;

(a) conviction by any local, state, federal, or military court of any crime involving the illegal use, carrying, or possession of a firearm;

(b) conviction of any crime involving the illegal use, possession, sale, manufacture, distribution, or transportation of a controlled substance, drug, narcotic, or alcoholic beverage;

(d) conviction of a crime involving unlawful breaking or entering, burglary, larceny, or any offense involving moral turpitude; or

(e) a history of addiction to alcohol or a narcotic drug. For purposes of this Rule, "conviction" means the entry of a plea of guilty, plea of no contest, or a verdict of guilty;

(4) not have been judicially declared incompetent or not have been involuntarily committed to an institution for treatment of mental illness. When an individual has been treated and found to have been restored, the Board shall consider this evidence and determine whether the applicant meets the requirements of this Rule; and

(5) not have had a revocation by the Board.

History

Authority G.S. 74C-3; 74C-5
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1403 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1304 INVESTIGATION FOR UNARMED armored car service GUARD REGISTRATION

History

Status: repealed
Authority G.S. 74C-3; 74C-5
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1404 Eff. July 1, 2015
Repealed Eff. October 1, 2020.

14B NCAC 16 .1305 UNARMED Armored car service GUARD REGISTRATION IDENTIFICATION CARDS

(a) A registration identification card shall be carried by an armored car service guard registrant when performing the duties of a private protective services employee.

(b) The registration identification card shall be exhibited upon the request of any law enforcement officer or any authorized representative of the Board.

(c) Registration identification card holders shall within five business days notify the Board following receipt of any information relating to the holder's eligibility to continue holding the card.

(d) The guard transfer form and fee shall be submitted to the Board by the employer within 10 days of the beginning of employment.

(e) Upon revocation or suspension by the Board, a holder shall return the registration identification card to the Director within 10 days of the date of the revocation or suspension.

History

Authority G.S. 74C-3; 74C-5
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1405 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14b NCAC 16 .1306 RENEWAL OR REISSUE OF UNARMED armored car service guard REGISTRATION

(a) Each applicant for renewal of an unarmed armored car service guard registration identification card or his or her employer shall complete an online form provided by the Board. The application shall contain:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) military service;

(4) current employer;

(5) date of birth, birth country, state or province, county or parish, and citizenship; and

(6) driver's license number and state of issuance.

(b) This online form shall be submitted not less than 90 days prior to the expiration of the applicant's current registration and shall be accompanied by:

(1) a statement of the results of a statewide criminal history records search obtained from the reporting service designated by the Board pursuant to G.S. 74C-8.1(a) for each state where the applicant has resided within the preceding 12 months;

(2) the applicant's renewal fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee;

(3) one head and shoulders color digital photograph of the applicant in JPG, JPEG, or PNG format of sufficient quality for identification, taken within six months prior to online application and submitted by uploading the photograph online with application submission; and

(4) a completed affidavit form and public notice statement form.

(d) The employer of each applicant for a registration renewal or reissue shall give the applicant a copy of the online application, including the completed affidavit form, that shall serve as a record of application for renewal or reissue and shall retain a copy of the online application and affidavit in the guard's personnel file in the employer's office.

History

Authority G.S. 74C-3; 74C-5; 78C-8.1(a)
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1406 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. March 1, 2020
Amended Eff. May 1, 2026; September 1, 2024; July 1, 2022.

14B NCAC 16 .1307 TRAINING REQUIREMENTS FOR UNARMED Armored car service GUARDS

(a) The basic unarmed armored car service guard course shall consist of a minimum of 16 hours of classroom instruction including:

(1) The Security Officer in North Carolina – (minimum of one hour);

(2) Legal Issues for Security Officers – (minimum of three hours);

(3) Professional Conduct – (minimum of one hour);

(4) Armored Security Operations – (minimum of five hours);

(5) Emergency Responses – (minimum of three hours); and

(6) Safe Driver Training – (minimum of three hours);

(b) A minimum of four hours of classroom instruction consisting of the topics in Subparagraph (a)(1) and Subparagraph (a)(2) of this Rule shall be completed before any unarmed armored car service guard, including probationary, is placed on a duty station. The 16 hour basic unarmed armored car service guard course shall be completed within 30 days from the date of permanent, non-probationary employment. Unarmed armored car service guard training is not transferable to qualify as unarmed security guard training.

(c) Training shall be conducted by a Board certified unarmed trainer. A Board created lesson plan covering the training requirements in Paragraph (a) of this Rule shall be used by each trainer and a copy made available to each student during instruction. The trainer may use other forms of media and training materials to supplement the training requirements of Paragraph (a) of this Rule.

(d) The 16 hours of training may be delivered in-person, in-person remotely, synchronously on-line, or in a hybrid format under the following conditions:

(1) "In-person" means an instructor physically present in-person in a classroom setting with students physically present in-person in a classroom setting. This is considered traditional in-person training. "In-person remotely" means an instructor delivering a course to students in an in-person seated classroom while also transmitting to another or multiple other classrooms where students are in-person and observing via video and sound technology. Students must have the ability to have constant audio and visual communication with the instructor as the instructor is presenting. "Synchronously on-line" means instruction utilizing an on-line audio/video platform where the instructor is teaching the course live to students that are attending live and the instructor and students have constant visual and audio communication with each other available. "Hybrid format" means instruction utilizing both in-person classroom teaching as well as synchronously on-line. The instruction is delivered by an instructor that is in-person in a classroom with in-person seated students while the instruction is also being delivered simultaneously in an on-line live format where on-line students have had the ability to have constant audio and video communication with the in-person students and instructor.

(2) Each student is given a copy of the Board approved unarmed armored car service guard training manual to use for the duration of the 16 hour training course.

(3) The technology used allows the trainer to see the students and the students to see the trainer in real time during the training.

(4) All students in each classroom are able to see and read the screen or monitor, and they must be able to hear and understand the audio presentation. All monitors used in a classroom setting must be at least 32 inches .

(5) The technology used is of sufficient quality so that the training audio and video is delivered smoothly and without interruption.

(6) The total number of students receiving the in-person or in-person remotely training at one time does not exceed 35 students. There is no size limitation for synchronous on-line training.

(7) Any additional training beyond the Board mandated training in the unarmed armored car service guard training manual is taught either before or after the 16 hour unarmed armored car service guard training.

History

Authority G.S. 74C-3; 74C-5
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1407 Eff. July 1, 2015
Readopted Eff. July 1, 2020.
Amended Eff. September 1, 2025.

14B NCAC 16 .1308 Uniforms and Equipment

The provisions of Rule .0104 of this Chapter apply to unarmed armored car service guards.

History

Authority G.S. 74C-5; 74C-12; 74C-15
Eff. January 1, 2015
Transferred and Recodified from 12 NCAC 07D .1408 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1401 Application/Armed Armored Car Service Guard Firearm Registration Permit

(a) Each employer or his or her designee shall submit an online application for the registration of each employee armed security guard to the Board containing the applicant's:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) residence history;

(4) current employer and employment history;

(5) date of birth, birth country, state or province, county or parish, and citizenship; and

(6) driver's license number and state of issuance.

(b) This online submission shall be accompanied by:

(1) electronic submission of fingerprints from a Live Scan or similar system approved by the State Bureau of Investigation or one set of classifiable fingerprints on an applicant fingerprint card that shall be mailed separately to the Board's office;

(3) a statement of the result of a statewide criminal history records search from the reporting service designated by the Board pursuant to G.S. 74C-8.1(a) for each state where the applicant has resided within the preceding 60 months;

(4) the applicant's non-refundable registration fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee;

(5) a statement signed by a certified trainer that the applicant has successfully completed the training requirements of Rule .1407 of this Section;

(6) a statement signed by a certified trainer that the applicant has completed the training;

(8) a signed SBI release of information form; and

(9) a completed affidavit form and public notice statement form.

(c) The applicant's copies of the application, affidavit, training certification, and the statements required by Subparagraphs (a)(5) and (a)(6) of this Rule, training certification shall together serve as a temporary registration card. These copies shall be carried by the applicant while performing job duties and shall be exhibited upon the request of any law enforcement officer or authorized representative of the Board. However, if the statement required by Subparagraph (a)(6) of this Rule is already on file with the Board, the applicant does not need to carry or present the statement.

(d) Applications submitted without proof of completion of a Board-approved firearms training course shall not serve as temporary registration cards.

(e) The provisions of Paragraphs (a), (b), and (c) of this Rule also apply to any employee whose employment is terminated within 30 days of employment.

History

Authority G.S. 74C-3; 74C-5; 74C-8.1(a); 74C-13
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1501 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. March 1, 2020
Amended Eff. November 1, 2025; September 1, 2024.

14B NCAC 16 .1402 FEES FOR armed ARMored Car service guard FIREARM REGISTRATION PERMIT

(a) Fees for armed armored car service guard firearm registration permits are as follows, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee:

(1) thirty dollars ($30.00) non-refundable initial registration fee;

(2) thirty dollars ($30.00) annual renewal, or reissue fee; and

(3) fifteen dollars ($15.00) application fee.

(b) Fees shall be paid by credit card or other form of electronic funds transfer.

History

Authority G.S. 74C-3; 74C-5; 74C-9; 74C-13
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1502 Eff. July 1, 2015
Amended Eff. January 1, 2018
Readopted Eff. March 1, 2020
Amended Eff. September 1, 2024.

14B NCAC 16 .1403 MINIMUM Standards for armed ARMORED CAR service guard FIREARM REGISTRATION PERMIT

Applicants for an armed armored car firearms registration shall meet all the requirements of Rules .1303 and .1307 of this Chapter.

History

Authority G.S. 74C-3; 74C-5; 74C-13:
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1503 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14b NCAC 16 .1404 INVESTIGATION/ARMED ARMORED CAR service guard FIREARM REGISTRATION PERMIT

History

Status: repealed
Authority G.S. 74C-3; 74C-5; 74C-13
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1504 Eff. July 1, 2015
Repealed Eff. October 1, 2020.

14B NCAC 16 .1405 armed ARMORED CAR service guard FIREARM REGISTRATION PERMIT IDENTification CARDS

(a) The provisions of Rule .1305 of this Chapter apply to armed armored car service guards.

(b) Upon termination of employment of an armed armored car service guard, the employer shall return the employee's registration card to the Board within 15 business days of the employee's termination.

History

Authority G.S. 74C-3; 74C-5; 74C-13
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1505 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1406 RENEWAL OF armed ARMORED CAR service guard FIREARM REGISTRATION PERMIT

(a) Each applicant for renewal of an armed armored car service guard firearm registration permit identification card his or her employer or designee shall complete an online form provided by the Board. The application shall contain:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) military service;

(4) current employer;

(5) date of birth, birth country, state or province, county or parish, and citizenship; and

(6) driver's license number and state of issuance.

(b) This online form shall be accompanied by:

(3) the applicant's renewal fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee;

(5) a statement signed by a certified trainer that the applicant has successfully completed the training requirements of Rule .0807 of the Section; and

(6) a completed affidavit form and public notice statement form.

(d) The employer of each applicant for a registration renewal shall give the applicant a copy of the online application and completed application, including the completed affidavit form, to serve as a record of application for renewal and shall retain a copy of the online application and affidavit in the guard's personnel file in the employer's office.

History

Authority G.S. 74C-3; 74C-5; 74C-8.1(a); 74C-13
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1506 Eff. July 1, 2015
Amended Eff. November 1, 2017
Readopted Eff. March 1, 2020
Amended Eff. May 1, 2026; September 1, 2024; July 1, 2022.

14B NCAC 16 .1407 Training Requirements for Armed Armored Car Service Guards

(a) Prior to applying, applicants for an armed armored car service guard firearm registration permit shall complete the basic training course for unarmed armored car service guards set forth in Rule .1307(a) of this Chapter. Private Investigator Licensees applying for an armed armored car service guard firearm registration permit shall complete a four hour training course consisting of blocks of instruction "The Security Officer in North Carolina" and "Legal Issues for Security Officers" as set forth in Rule .1307(a) of this Chapter. Private Investigator Licensees applying for an armed armored car service guard firearm registration permit are not required to complete the following training blocks found in the basic training course referenced in Rule .1307(a) of this Chapter: "Emergency Responses," "Deportment," "Armored Security Operations," and "Safe Driver Training." A Private Investigator Licensee applying for an armed armored car service guard firearm registration permit shall meet all additional training requirements set forth in Rule .1307(a) of this Chapter as well as the training requirements set forth in this Rule.

(b) Applicants for an armed armored car service guard firearm registration permit shall complete a basic training course for armed security guards that consists of at least 20 hours of classroom instruction including:

(1) legal limitations on the use of handguns and on the powers and authority of an armed security guard, including familiarity with rules relating to armed security guards -- (minimum of four hours);

(2) handgun safety, including range firing procedures -- (minimum of one hour);

(3) handgun operation and maintenance -- (minimum of three hours);

(4) handgun fundamentals -- (minimum of eight hours); and

(5) night firing -- (minimum of four hours).

(c) Applicants for an armed armored service guard firearm registration permit shall attain a score of at least 80 percent accuracy on a firearms range qualification course adopted by the Board and the Secretary of Public Safety, a copy of which is on file in the Director's office. Should a student fail to attain a score of 80 percent accuracy, the student shall be given an additional three attempts to qualify on the course of fire he or she did not pass, which additional attempts shall take place within 20 days of the completion of the initial 20 hour course. Failure to meet the qualification after three additional attempts shall require the student to repeat the entire basic training course for armed security guards.

(d) All armed security guard training required by this Chapter shall be administered by a certified trainer and shall be successfully completed no more than 90 days prior to the date of issuance of the armed armored car service guard firearm registration permit.

(e) All applicants for an armed armored car service guard firearm registration permit shall obtain training under the provisions of this Rule using their duty weapon and their duty ammunition or ballistic equivalent ammunition, to include lead-free ammunition that meets the same point of aim, point of impact, and felt recoil of the duty ammunition, for all weapons.

(f) No more than six new or renewal armed armored car service guard applicants per one instructor shall be placed on the firing line at any one time during firearms range training.

(g) Applicants for re-certification of an armed armored car service guard firearm registration permit shall complete a basic recertification training course for armed armored car guards that consists of at least four hours of classroom instruction and is a review of the requirements set forth in Subparagraphs (b)(1) through (b)(5) of this Rule. The recertification course is valid for 180 days after completion of the course. Applicants for recertification of an armed armored car service guard firearm registration permit shall also complete the requirements of Paragraph (c) of this Rule.

(h) To be authorized to carry a standard 12 gauge shotgun in the performance of his or her duties as an armed armored car service guard, an applicant shall complete, in addition to the requirements of Paragraphs (a), (b) and (c) of this Rule, five hours of classroom training that shall include the following:

(1) legal limitations on the use of shotguns (minimum of one hour);

(2) shotgun safety, including range firing procedures (minimum of one hour);

(3) shotgun operation and maintenance (minimum of one hour);

(4) shotgun fundamentals (minimum of one hour); and

(5) night firing (minimum of one hour.)

An applicant may take the additional shotgun training at a time after the initial training in Subparagraph (b) of this Rule. If the shotgun training is completed at a later time, the shotgun certification shall run concurrently with the armed registration permit.

(i) In addition to the requirements set forth in Paragraph (h) of this Rule, applicants shall attain a score of at least 80 percent accuracy on a shotgun range qualification course adopted by the Board and the Secretary of Public Safety, a copy of which is on file in the Director's office.

(j) Applicants for shotgun recertification shall complete an additional one hour of classroom training as set forth in Subparagraphs (h)(1) through (h)(5) of this Rule and shall also complete the requirements of Paragraph (i) of this Rule.

(k) Applicants for an armed armored car service guard firearm registration permit who possess a current firearms trainer certificate shall be given, upon their written request, a firearms registration permit that will run concurrently with the trainer certificate upon completion of an annual qualification with their duty weapons as set forth in Paragraph (c) of this Rule.

(l) An armed armored car service guard shall qualify annually for both day and night firing with his or her duty weapon and shotgun, if applicable. If the armed armored car service guard fails to qualify on either course of fire, the guard cannot carry a firearm until such time as he or she meets the qualification requirements. Upon failure to qualify, the firearm instructor shall notify the armed armored car service guard that he or she is no longer authorized to carry a firearm, and the firearm instructor shall notify the employer and the Board on the next business day.

(m) Armed armored car service guard personnel may also work as armed security guards only if they hold an unarmed or armed security guard registration.

History

Authority G.S. 74C-3; 74C-5; 74C-13
Eff. January 1, 2013
Transferred and Recodified from 12 NCAC 07D .1507 Eff. July 1, 2015
Amended Eff. October 1, 2015
Readopted Eff. July 1, 2020
Amended Eff. July 1, 2021.

14B NCAC 16 .1408 Uniforms and Equipment

The provisions of Rule .0104 of this Chapter apply to armed armored car service guards.

History

Authority G.S. 74C-5; 74C-12; 74C-15
Eff. January 1, 2015
Transferred and Recodified from 12 NCAC 07D .1508 Eff. July 1, 2015
Readopted Eff. July 1, 2020.

14B NCAC 16 .1501 Experience Requirements for Close Personal Protection License

(a) In addition to the requirements of G.S. 74C-8 and Section .0200 of this Chapter, applicants for a close personal protection license shall:

(1) establish three years of verifiable experience while conducting close personal protection services as set forth in G.S. 74C-3(a)(3a) with a private person, firm, association, or corporation within the last 10 years;

(2) establish three years of verifiable experience while conducting close personal protection services as set forth in G.S. 74C-3(a)(3a) with any federal, state, county or municipal law enforcement agency, or other governmental agency within the last 10 years;

(3) establish a military occupational specialty and two years of verifiable experience within the past five years in the U.S. Armed Forces while conducting close personal protection services as set forth in G.S. 74C-3(a)(3a) while serving in an official capacity; or

(4) have completed a course in close personal protection approved by the Board given by a school specializing in close personal protection (or "executive protection") that consists of a minimum of 40 hours of actual classroom and practical instruction within the last two years as required by Rule .1502 of this Chapter; and

(5) possess a valid basic first aid certificate and CPR and AED certification from the American Red Cross, American Heart Association, American Safety and Health Institute, or National Safety Council.

(b) In addition to the requirements of Section .0200 of this Chapter, an applicant for a close personal protection license that is the spouse of an active duty member of the U.S. Armed Forces shall establish to the Board's satisfaction:

(1) the applicant holds a current license, certification, or registration from another jurisdiction and the other jurisdiction's requirements are substantially equivalent to or exceed the Board's requirements; and

(2) the applicant has two years verifiable experience within the past five years while conducting close personal protection as set forth in in G.S. 74C-3(a)(3a) while serving in an official capacity with any entity described in Paragraph (a) of this Rule.

History

Authority G.S. 74C-5(2); 93B-15.1
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023
Amended Eff. September 1, 2025; September 1, 2024.

14B NCAC 16 .1502 Training Requirements for Close Personal Protection License

(a) Applicants for a close personal protection license who do not have the experience set forth in Rule .1501(a)(1) through (3) or (b)(1) and (2) of this Section shall complete a basic close personal protection (or "executive protection") training course approved by the Board within the previous 24 months of application. The course shall consist of a minimum of 40 hours of classroom and practical instruction including as a minimum:

(1) Fundamentals of personal protection, including as a minimum mission planning, performing site surveys, route selection (primary, secondary, etc.), medical evacuation, walking formations (single, multiple, etc.), communications with protectees, and transitional movements (arrivals, departures, plan changes, hasty movements, etc.) – (minimum of 26 hours);

(2) Practical exercises – (minimum of 12 hours); and

(3) Legal Issues, including the rules applicable to each of the below blocks of instruction and this Section and North Carolina's laws on use of force, and the federal and State firearms law. The three hour unarmed guard block of instruction, set forth in 14B NCAC 16 .0707 if performing services unarmed, or the four hour armed guard block of instruction set forth in 14B NCAC 16 .0807(c)(1) if performing services armed taught by a certified instructor shall fulfill this requirement – (minimum of two hours).

(b) In addition to the minimum classroom and practical instruction required by Paragraph (a) of this Rule, the applicant must possess a basic valid first aid certificate and CPR and AED certification from the American Red Cross, American Heart Association, American Safety and Health Institute, or National Safety Council.

History

Authority G.S. 74C-5
Temporary Adoption Eff. April 28, 2023
Eff. September 1, 2025; November 1, 2023.

14B NCAC 16 .1503 Investigations Directly Related to Provision of Services

A close personal protection licensee may engage in activities otherwise defined by G.S. 74C-3(a)(8) as an investigation which are directly related to the provision of services including but not limited to advance planning, intelligence, and risk assessment.

History

Authority G.S. 74C-5
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14B NCAC 16 .1504 Distinguishing Security Services

(a) Prior to providing any service to a client, a close personal protection licensee or licensed private investigator with a close personal protection endorsement shall enter into a written contract or agreement that lists by name the individual person or persons for whom service is to be provided, the specific function that constitutes the service, and the duration of the service.

(b) A close personal protection license or close personal protection endorsement does not entitle the licensee to provide services defined by G.S. 74C-3(a)(6) to any person or persons not listed in the contract or agreement.

History

Authority G.S. 74C-3(c); 74C-5
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14B NCAC 16 .1601 Experience Requirements for a Digital Forensics Examiner License

(a) In addition to the requirements of Section .0200 of this Chapter, applicants for a Digital Forensic Examiner (D.F.E.) license shall:

(1) establish three years of verifiable experience within the past five years conducting digital forensic examinations as defined by G.S. 74C-3(a)(5a) individually, or with any private company or federal, state, county or municipal agency;

(2) hold a North Carolina private investigator license, or private investigator license from a state reciprocal with North Carolina, and have completed a course of instruction consisting of not less than 40 hours of live classroom and practical instruction in digital forensics, and obtained certification from a certifying entity approved by the Board within the previous two years;

(3) establish that the applicant has been qualified as an expert witness in an area of digital forensics in a court of law using the standard set forth by the United States Supreme Court in Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993), and its progeny cases, within the previous three years; or

(4) establish a military occupational specialty and two years of verifiable experience conducting digital forensics examinations within the past five years in the U.S. Armed Forces.

(b) In addition to the requirements of Section .0200 of this Chapter, an applicant for a D.F.E. license that is the spouse of an active duty member of the U.S. Armed Forces shall establish to the Board's satisfaction:

(2) the spouse has two years of verifiable experience conducting digital forensics examinations within the past five years.

(c) Using the formula in Rule .0204(d) of this Chapter, the Board shall give credit toward the experience requirements set forth in Paragraphs (a) and (b) of this Rule as follows:

(1) An applicant shall receive 400 hours of experience credit for an associate's degree. The Board shall grant up to 100 additional hours if the applicant can demonstrate that further training or course-work related to digital forensics examination was received while obtaining the associate's degree.

(2) An applicant shall receive 800 hours of experience credit for a bachelor's degree. The Board shall grant up to 200 additional hours if the applicant can demonstrate that further training or course-work related to digital forensics examination was received while obtaining the bachelor's degree.

(3) An applicant shall receive 1,200 hours of experience credit for a graduate degree. The Board shall grant an additional 300 additional hours if the applicant can demonstrate that further training or course-work related to digital forensics examination was received while obtaining the graduate degree.

History

Authority G.S. 74C-5; 93B-15.1
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14b NCAC 16 .1701 Definitions

In addition to the definitions set forth in G.S. 74C, the following definitions shall apply to this Section:

(1) "Digital Forensics Examiner Associate" means an individual training to become a digital forensics examiner licensee. A Digital Forensics Examiner Associate may also be referred to as a "trainee" in these Rules. A Digital Forensics Examiner Associate must complete three training levels as set out in this Section.

(2) "One-on-one Supervision" means person-to-person contact whereby the licensee is personally and directly supervising or training the Associate. The training licensee must be the sponsoring digital forensics examiner licensee. The Digital Forensics Examiner Associate may not subcontract his or her employment to another licensee. However, the sponsoring digital forensics examiner licensee may subcontract the Digital Forensics Examiner Associate if the sponsor obtains prior written approval from the Board's Director by showing that the Digital Forensics Examiner Associate will receive an educational benefit from the subcontract employment and the Associate will receive one-on-one supervision from another licensee.

(3) "Training Checklist" means the documents that shall state all areas of training and work that the Associate has performed. The sponsor is responsible for maintaining the training checklist and providing a copy of the checklist to the Associate. The Training Checklist must reflect the date the Associate advances from one level to another. The training checklist must be signed by the Associate and the sponsor at the end of each reporting period. In the event the Associate transfers employment to another licensee, the Associate must provide the new sponsor with the training checklist and the new sponsor will then be responsible for the maintenance of the checklist. The Training Checklist must be updated on a quarterly basis for Level One Associates and on a yearly basis for Level Two and Level Three Associates. The training checklist must be maintained pursuant to Rule .0108 of this Chapter. When an Associate completes Level Three, the Training Checklist must be made a part of the Associate's application for a digital forensics examiner license. The Board shall have immediate access to the training checklist upon request.

(4) "Associate Log" means the documents maintained by the Associate which shall list each case the Associate has worked, the number of hours spent on the case, and the type of work performed.

History

Authority G.S. 74C-2(c); 74C-5(2)
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14B NCAC 16 .1702 Training and Supervision Required in Level One

(a) If upon sponsorship, the Associate has less than one year or 1,000 hours of verifiable training or experience, the Associate shall be classified as a Level One Associate and shall undergo 160 hours of one-on-one supervision training.

(c) A Level One Associate cannot, independently of the sponsor, accept or contract employment. The Associate shall have direct face-to-face, telephone, or virtual contact with the sponsor before accepting employment or before accepting a new case.

(d) The sponsor shall meet with the Level One Associate to review the Associate's activities. The sponsor's review may be by telephone, virtually, or face-to-face and shall occur at least four times per month. The sponsor shall review each assignment the Associate is working or has worked since the last review. Review sessions may encompass more than one assignment.

History

Authority G.S. 74C-5(2)
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14B NCAC 16 .1703 Training and Supervision Required in Level Two

(a) If upon initial application for an Associate permit, the applicant has at least one year or 1,000 hours of verifiable training or experience, the applicant will skip Level One and be classified as a Level Two Digital Forensics Examiner Associate. An applicant that skips Level One shall undergo 80 hours of one-on-one training. The first 40 hours of one-on-one supervision shall be one-on-one training and shall occur within the first 40 hours of employment. The remaining 40 hours shall be gathered over the first year of employment or the first 1,000 hours of work, whichever comes first.

(b) A Level Two Associate cannot, independently of the sponsor, accept or contract employment. The Associate shall have direct face-to-face, virtual, or telephone contact with the sponsor.

(c) The sponsor shall meet with the Level Two Associate to review the Associate's work product. The sponsor's review may be by telephone, virtually, or face-to-face and shall occur at least four times per month. The sponsor shall review each assignment the Associate is working or has worked since the last review. Review sessions may encompass more than one assignment.

History

Authority G.S. 74C-5(2)
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14B NCAC 16 .1704 Training and Supervision Required in Level Three

(a) If upon sponsorship the Associate has at least two years or 2,000 hours of verifiable training or experience, the Associate will be classified as a Level Three Associate and shall undergo 40 hours of one-on-one training.

(b) The first 40 hours of employment for the Level Three Digital Forensics Examiner Associate shall be one-on-one supervision.

(d) The sponsor shall meet with the Level Three Associate to review the Associate's activities once each month. The sponsor licensee shall review each assignment the Associate is working or has worked since the last review. Review sessions may encompass more than one assignment.

(e) The sponsor shall ensure the Level Three Associate remains in compliance with G.S. Chapter 74C.

History

Authority G.S. 74C-5(2)
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14B NCAC 16 .1705 Educational Degrees and Non-Degreed Training

Using the formula in Rule .0204 of this Chapter, the Board shall give credit toward the educational and training requirements of this Section as follows:

(1) An applicant shall receive a minimum of 400 hours of experience credit for an associate's degree. The Board shall grant up to 100 additional hours if the applicant can demonstrate that further training or course-work related to digital forensics examination was received while obtaining the associate's degree.

(2) An applicant shall receive 800 hours of experience credit for a bachelor's degree. The Board shall grant up to 200 additional hours if the applicant can demonstrate that further training or course-work related to digital forensics examination was received while obtaining the bachelor's degree.

(3) An applicant shall receive 1,200 hours of experience credit for a graduate degree. The Board shall grant an additional 300 additional hours if the applicant can demonstrate that further training or course-work related to digital forensics examination was received while obtaining the graduate degree.

History

Authority G.S. 74C-5(2)
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14B NCAC 16 .1706 Consideration of Practical Experience

(a) The Board shall consider any practical experience in computer science or digital forensics examination gained by the applicant prior to the application date. The Board shall not consider experience claimed by the applicant if the experience was gained after December 1, 2022:

(1) by contracting private protective services to another person, firm, association, or corporation while not in possession of a valid private protective services license; or

(2) when employed by a company contracting private protective services to another person, firm, association, or corporation while the company is not in possession of a valid private protective services license.

(b) The Board shall consider any educational experience referred to in Rule .1705 of this Section.

History

Authority G.S. 74C-5(2)
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14B NCAC 16 .1707 Enforcement

A violation of this Chapter or G.S. Chapter 74C by the Associate may be deemed by the Board to be a violation by the sponsor if the violation is found to be the result of a failure to supervise which resulted in the violation and may subject the sponsor to an enforcement action pursuant to G.S. 74C-12(a) or G.S. 74C-17(c).

History

Authority G.S. 74C-2(c); 74C-5(2); 74C-12
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14B NCAC 16 .1708 Transferability of Training Hours

If a Level One Associate transfers employment to another digital forensics examiner licensee, the one-on-one training shall not transfer and the Associate shall undergo new one-on-one supervised training hours with the new sponsor. If a Level Two or Level Three Associate transfers employment to another licensee, all training hours shall be transferred.

History

Authority G.S. 74C-5(2)
Temporary Adoption Eff. April 28, 2023
Eff. November 1, 2023.

14B NCAC 16 .1709 Probationary Employees

(a) A digital forensic examiner licensee may employ a potential trainee as a probationary employee for 60 consecutive calendar days. The Director, upon written request of the licensee, shall extend the probationary period by 30 additional days.

(b) A digital forensic examiner licensee may supervise an intern as a probationary employee concurrent with the intern's educational institution's schedule.

(c) A digital forensic examiner licensee may employ an apprentice participating in a North Carolina registered apprentice program as set forth in G.S. 93B-8.6 as a probationary employee for the period prescribed in the federal guidelines as set forth therein.

(e) Upon completion of the probationary period and the desire of the licensee to supervise the probationary employee as a digital forensic examiner trainee, the potential trainee shall apply pursuant to Section .0200 of this Chapter.

(f) For hours gained during probationary employment, an internship, or apprenticeship to be considered for licensure the probationary employee shall comply with Rule .1702 of this Section.

(g) Before a probationary employee engages in any activity defined as digital forensic examination or has access to any confidential client information, the employee shall complete 40 hours of one-on-one supervision by the supervising licensee, and the licensee shall conduct a criminal record check on the employee.

(i) Probationary employment which does not comply with this Rule is a violation of Rule .0204(c)(2) of this Chapter.

(j) Any probationary employee, intern, or apprentice shall be a minimum of 18 years of age.

(k) The use of the terms "employee" and "employment" in this Rule does not require or mandate compensation for any probationary employment, internship, or apprenticeship.

History

Authority G.S. 74C-5(2); 93B-8.6
Eff. September 1, 2024.

Chapter 17 Security Systems Licensing Board

14B NCAC 17 .0101 Purpose

The Security Systems Licensing Board is established within the North Carolina Department of Public Safety for the purpose of administering the licensing of and setting the educational and training requirements for persons, firms, associations, and corporations engaged in providing alarm systems and services to citizens of North Carolina.

History

Authority G.S. 74D-4
Temporary Rule Eff. January 9, 1984, for a Period of 120 Days to Expire on May 7, 1984; Eff. May 1, 1984
Transferred and Recodified from 12 NCAC 11 .0101 Eff. July 1, 2015
Amended Eff. December 1, 2017
Readopted Eff. June 1, 2018
Amended Eff. March 1, 2026.

14B NCAC 17 .0102 location

The administrative offices of the Security Systems Licensing Board are located at 3101 Industrial Drive, Suite 104, Raleigh, North Carolina 27609, telephone (919) 788-5320.

History

Authority G.S. 74D-4; 74D-5
Temporary Rule Eff. January 9, 1984, for a Period of 120 Days to Expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. December 1, 2012
Transferred and Recodified from 12 NCAC 11 .0102 Eff. July 1, 2015
Amended Eff. December 1, 2017
Readopted Eff. June 1, 2018
Amended Eff. March 1, 2026.

14b NCAC 17 .0103 Definitions

In addition to the definitions under G.S. Chapter 74D, the following definitions shall apply throughout this Chapter:

(1) "Agency Head" means the Chair of the Security Systems Licensing Board.

(2) "Applicant" means any person, firm, or corporation applying to the Board for a license or registration.

(3) "Board" means the Security Systems Licensing Board established by G.S. Chapter 74D.

(4) "Branch Manager or Operator" means the licensee endowed with the responsibility and liability for a branch office.

(5) "Branch Office" means a separate but dependent part of a central organization. The establishment of a telephone number or mailing address in the company name constitutes prima facie evidence of a branch office.

(6) "Chairman" or "Chair" means the Chair of the Security Systems Licensing Board.

(7) "Employee" means:

(a) a person who has an agreement with a licensee to perform security systems business activities under the direct supervision and control of the licensee, for whose services any charges are determined imposed and collected by the licensee, and for whose security systems business activities the licensee is legally liable; or

(b) a person who solicits customers at a residential or commercial location whose services are compensated by payment of a referral fee or commission by a licensee.

(8) "Installs" means placing a security device in a residential or commercial location and includes demonstrating the use of a security system device for a specific location and function within the protected premises and, with such knowledge of the security system operation, delivering that device to the owner or operator of the protected premises.

(9) "Knowledge of Specific Applications" means obtaining specific information about the premises which is protected or is to be protected, gained during an on-site visit. Conducting a survey shall be prima facie evidence of knowledge of specific applications.

(10) "Licensee" means any person licensed pursuant to G.S. Chapter 74D.

(11) "Monitors" means receiving a signal from a protected premises or contracting with a person, firm or corporation to provide accessible equipment and personnel to receive a signal from a security device in a protected premises and take action in response.

(12) "Qualifying Agent" means any person who meets the requirements of G.S. 74D-2(c), provided that no licensee may act as qualifying agent for more than one security systems business without prior authorization of the Board.

(13) "Responds" means receiving a monitored security signal that indicates the existence of an unauthorized intrusion or taking from a protected premises of a customer and being required by contract to take action upon receipt of that security system signal.

(14) "Services" means inspecting, testing, repairing or replacing a security system device within protected premises.

History

Authority G.S. 74D-2; 74D-5
Temporary Rule Eff. January 9, 1984, for a Period of 120 Days to Expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. August 1, 1988; February 1, 1988; July 1, 1987; January 1, 1986
Transferred and Recodified from 12 NCAC 11 .0103 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. April 1, 2026.

14B NCAC 17 .0104 Disciplinary Actions

(a) In lieu of the disciplinary actions set forth in G.S. Chapter 74D, the Board may issue a written reprimand to a holder of a license or registration identification card based on whether:

(1) the holder has violated any of the provisions of this Chapter or G.S. Chapter 74D that were applicable to the holder;

(2) the violation did not result in the physical injury of any person or property loss to any person; and

(3) the holder expresses an intention to or already has corrected the improper activity.

(c) A notice of any disciplinary action shall be sent to the employer of the holder, the qualifying agent and the holder.

(d) Evidence of disciplinary action shall be presented and considered at any subsequent disciplinary proceeding of the holder.

History

Authority G.S. 74D-2; 74D-5; 74D-6; 74D-8; 74D-10
Temporary Rule Eff. January 9, 1984, for a Period of 120 Days to Expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. July 1, 1987
Transferred and Recodified from 12 NCAC 11 .0104 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

14b NCAC 17 .0105 Prohibited Acts

In addition to the prohibited acts set forth elsewhere in this Subchapter and in Chapter 74D of the General Statutes, an applicant, licensee, or registrant who does any of the following shall have his or her application denied or his or her license or registration revoked or suspended:

(1) displays, causes or permits to be displayed, or has in his or her possession any cancelled, revoked, suspended, fictitious, fraudulently-altered license or registration identification card, or any document simulating a license or registration identification card or purporting to be or to have been issued as a license or registration identification card;

(2) lends his or her license or registration identification card to another person or allows the use thereof by another;

(3) displays or represents any license or registration identification card not issued to him or her as being his or her license or registration identification card;

(4) includes in any advertisement a statement that implies an official State-authorized certification or approval other than this statement: "Licensed by the Security Systems Licensing Board of the State of North Carolina." Licensees may include their license number;

(5) includes in the company name the word "police" or other law enforcement designation that implies that the security system company is affiliated with a local, state, or federal law enforcement agency; or

(6) makes any false statement or gives any false information to a third party provider in connection with any criminal history record check provided to the Board.

History

Authority G.S. 74D-5; 74D-6; 74D-10
Temporary Rule Eff. January 9, 1984, for a Period of 120 Days to Expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. June 1, 2014; August 1, 2007
Transferred and Recodified from 12 NCAC 11 .0105 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. April 1, 2026.

14b NCAC 17 .0106 Determination of Experience

(a) Experience requirements shall be determined in the following manner: one year's experience = 1,000 hours.

(b) The Board shall not consider any experience claimed by the applicant if gained while not in possession of a valid license or registration while such license or registration was required by existing or previously existing laws of the United States, any state, or any political subdivision thereof.

History

Authority G.S. 74D-5
Temporary Rule Eff. January 9, 1984, for a Period of 120 Days to Expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. November 1, 2010; September 1, 1993
Transferred and Recodified from 12 NCAC 11 .0106 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

14B NCAC 17 .0107 Rulemaking and Administrative Hearing Procedures

The Administrative Procedures for rule-making and hearings, codified at Title 26, Subchapters 2 and 3 of the North Carolina Administrative Code, effective August 1, 1986, are adopted by reference to apply to actions including subsequent amendments and editions.

History

Authority G.S. 74D-5
Eff. August 1, 1988
Transferred and Recodified from 12 NCAC 11 .0122 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

14B NCAC 17 .0108 Consumer Contract and Disclosure Requirements for Security Services

(a) Every person, firm, association or corporation licensed to engage in the security systems business in North Carolina who sells, installs, services, responds to or monitors electrical, electronic or mechanical alarm systems shall execute with the consumer a written contract in all transactions that consists of the following:

(1) A description of the sales and services in brief, simple terminology; and

(2) The company's name, address and telephone number, the North Carolina Security Systems License Number, and the North Carolina Security Systems Licensing Board's address and telephone number.

(b) Any person, firm, association or corporation licensed to engage in the security systems business in North Carolina by providing sales, installation, service, response, or monitoring to a consumer and who unilaterally terminates, causes to be terminated, or reasonably knows of the termination of the monitoring, response or service to that consumer shall provide notification to that consumer by verified personal service or certified mail at least 10 days prior to cessation of the services. This provision shall not apply to consumer-initiated action to terminate or upon consumer relocation.

(c) Any person, firm, association or corporation licensed to engage in the security systems business in North Carolina by providing sales, installation, service, response, or monitoring to a consumer and who changes or causes to be changed the monitoring, response or service to that consumer shall provide written notification to that consumer of the change, the effective date, and the name, address and telephone number of the new provider.

History

Authority G.S. 74D-2(a); 74D-5
Eff. July 1, 1995
Transferred and Recodified from 12 NCAC 11 .0123 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. April 1, 2026.

14B NCAC 17 .0109 Declaratory Ruling Procedures

(a) All requests for declaratory rulings shall be in writing and mailed to the Board at the Board's address.

(b) Each request for a declaratory ruling shall include the following information:

(1) the name and address of person requesting the ruling;

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

(3) a concise statement of the manner in which the requesting person is aggrieved by the rule or statute or its potential application to him or her;

(4) names and addresses of additional third persons known to the person aggrieved who may possibly be affected by the requested ruling;

(5) a statement of all material facts;

(7) a statement of the arguments and legal authority supporting the person's position on the applicability of this statute or rule; and

The petitioner shall sign and verify the request before an officer qualified to administer oaths that the information supplied in the request is true and accurate.

(c) Within 30 days of receipt of a request for a declaratory ruling, the Board shall determine whether a ruling is appropriate under the facts stated.

(d) The Board shall proceed to issue a declaratory ruling when the person requesting the rule shows that, with regard to the facts presented:

(1) the rule or statute in question is unclear on its face;

(2) circumstances are so changed since the adoption of a rule that a declaratory ruling is warranted;

(3) the factors specified in the request were not given appropriate consideration by the Board at the time the rule was adopted;

(4) the rule or statute is unclear in its application to the requesting person's facts; or

(5) a fair question exists regarding the validity of the rule because of an absence of authority for the Board's adoption of the rule or other irregularities in the Board's rule-making proceedings.

(e) The Board shall not issue a declaratory ruling when the petitioner or his or her request is the subject of, or materially related to, an investigation by the Board or contested case before the Board.

(1) there has been a similar controlling factual determination made by the Board;

(2) the rule-making record shows that the factual issues raised by the request were specifically considered prior to, or at the time of adoption of the rule;

(3) the subject matter of the request is involved in pending litigation in any state or federal court in North Carolina, or pending legislation or rulemaking;

(4) the request does not comply with the procedural guidelines within Paragraphs (a) and (b) of this Rule;

(5) the Board has previously issued a declaratory ruling on substantially similar facts;

(6) the Board has previously issued a final agency decision in a contested case on substantially similar facts;

(7) the subject matter is one concerning which the Board is without authority to make a decision binding the Board or the petitioner;

(8) the petitioner is not aggrieved by the rule or statute in question or otherwise has no interest in the subject matter of the request; or

The denial of the request is immediately subject to judicial review in accordance with Article 4 of G.S. Chapter 150B.

(i) A record of each declaratory ruling and the procedures conducted therefore will be maintained by the Board. The record will contain:

(1) the request for a declaratory ruling;

(2) all written submissions filed in the request, whether filed by the person requesting the ruling or by any other person;

(3) a record or summary of oral presentations, if any; and

(4) a copy of the declaratory ruling.

History

Authority G.S. 150B-4
Eff. September 1, 2025
Amended Eff. May 1, 2026.

14B NCAC 17 .0201 Application for License

(a) Each applicant for a license shall submit an online application on the website provided by the Board. The application shall contain:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) military service;

(4) current employer;

(5) date of birth, birth country, state or province, county or parish, and citizenship; and

(6) driver's license number and state of issuance.

(b) When this online application is submitted, it shall be accompanied by:

(1) electronic submission of fingerprints from a Live Scan or similar system approved by the State Bureau of Investigation or one set of classifiable fingerprints on an F.B.I. fingerprint card provided by the Board and mailed separately to the Board's office;

(2) one head and shoulders digital photograph of the applicant in JPG format of sufficient quality for identification, taken within six months prior to the online submission;

(3) statements of the results of a statewide criminal history records search by the reporting service designated by the Board pursuant to G.S. 74D-2.1(a) for any state where the applicant has resided within the preceding 60 months;

(4) a minimum of three letters attesting to the good character and reputation of the applicant using the online character letter submission process; and

(5) the applicant's application fee, along with the convenience fee charged by the Board's on-line application vendor and the credit card transaction fee charged by the applicant's credit card provider and collected online.

(c) Each applicant shall upload evidence of high school graduation either by diploma, G.E.D. certificate, or other equivalent documentation.

(d) Each applicant for a license shall meet personally with either a Board investigator, the Screening Committee, the Director, or a Board representative designated by the Director prior to being issued a license. The applicant shall discuss the provisions of G.S. 74D and the administrative rules in this Chapter during the personal meeting. The applicant shall sign a form provided by the Board stating that the applicant has reviewed the information with the Board's representative and that the applicant understands G.S. 74D and the administrative rules in this Chapter. During a national or State declared state of emergency that restricts or prohibits travel, the personal meeting requirement may be waived if requested by the applicant in favor of alternative means of communication.

(e) Each applicant for a branch office license shall submit an online application on the website provided by the Board containing the physical address and telephone number of the branch office, the Qualifying Agent responsible for the branch office, the proposed branch manager, the parameters or scope of duties of the branch office, and the anticipated number of employees. This online application shall be accompanied by the branch office application fee.

(f) All photographs, record checks, proof of insurance, explanations of criminal charges, explanations of credit history, or requested documents shall be submitted online through the Board's website by any applicant for a permit, license, registration, or certificate within 60 days of the Board's receipt of the application form or a request from Board staff, whichever is later. Any failure to submit required or requested documents to complete the application process within this 60-day period shall void the application and require re-application.

History

Authority G.S. 74D-2; 74D-2.1; 74D-3; 74D-5; 74D-7; 74D-8
Temporary Rule Eff. January 9, 1984, for a period of 120 days to expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. December 1, 2012; February 1, 2012; January 1, 2007; September 1, 2006; March 1, 1993; July 1, 1987; January 1, 1986
Transferred and Recodified from 12 NCAC 11 .0201 Eff. July 1, 2015
Amended Eff. December 1, 2017
Readopted Eff. June 1, 2018
Amended Eff. September 1, 2019
Emergency Amendment Eff. June 9, 2020
Amended Eff. August 1, 2020
Temporary Amendment Eff. August 28, 2020
Temporary Amendment Expired Eff. June 12, 2021
Amended Eff. May 1, 2026; September 1, 2024; August 1, 2022; November 1, 2021.

14B NCAC 17 .0202 Experience or Training Requirements for License

(a) Applicants for a security systems business license shall meet the following requirements, which are in addition to those specified in G.S. 74D:

(1) establish two year's experience within the past five years in alarm or security systems installation or service, or alarm or security systems business management; or

(2) no longer than one year prior to the application date, successfully complete the Certified Alarm Technician Level I Course offered by the Electronic Security Association (ESA) or equivalent. Equivalency shall be determined by the Board's Training and Education Committee by comparing each segment of the training to ensure that the alternative course encompasses all segments of the ESA course.

(b) Applicants for a remote monitoring license pursuant to G.S. 74D-2(h) shall meet the following requirements:

(1) hold a security guard and patrol business license issued pursuant to G.S. 74C-2; and

(2) the Qualifying Agent for the license shall have completed a central station monitoring operator course offered by The Monitoring Association (TMA) or equivalent. Equivalency shall be determined by the Board's Training and Education Committee by comparing each segment of the training to ensure that the alternative course encompasses all segments of the TMA course.

History

Authority G.S. 74D-5
Temporary Rule Eff. January 9, 1984, for a period of 120 days to expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. January 1, 2007; August 1, 1998; January 1, 1995; March 1, 1993; August 3, 1992; June 1, 1990
Transferred and Recodified from 12 NCAC 11 .0202 Eff. July 1, 2015
Amended Eff. December. 1, 2017
Readopted Eff. June 1, 2018
Amended Eff. April 1, 2026; February 1, 2024; April 1, 2021.

14B NCAC 17 .0203 Fees for License

(a) Application license fees are as follows plus the convenience fee charged by the Board's on-line application vendor and credit card transaction fee charged by the applicant's credit card provider and collected online:

(1) one hundred fifty dollars ($150.00) non-refundable initial application fee.

(2) five hundred dollar ($500.00) biennial fee for a new or renewal license.

(3) one hundred fifty dollars ($150.00) branch office license fee.

(4) one hundred dollars ($100.00) late renewal fee to be paid in addition to the renewal fee if the license has not been renewed on or before the expiration date.

(b) Fees shall be paid by credit card or electronic funds transfer.

History

Authority G.S. 74D-7
Temporary Rule Eff. January 9, 1984, for a period of 120 days to expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. January 1, 1986
Temporary Amendment Eff. October 6, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Amended Eff. February 1, 2010; March 1, 1993
Transferred and Recodified from 12 NCAC 11 .0203 Eff. July 1, 2015
Amended Eff. January 1, 2018
Readopted Eff. June 1, 2018
Amended Eff. September 1, 2024; September 1, 2019.

14B NCAC 17 .0204 Renewal or Reinstatement of License

(a) Each applicant for a license renewal shall submit an online renewal application on the website provided by the Board. This online application shall be submitted not less than 30 days prior to expiration of the applicant's current license and shall be accompanied by:

(1) statements of the result of a local statewide criminal history records search by the reporting services service designated by the Board pursuant to G.S. 74D-2.1 for any state where the applicant has resided within the preceding 24 months;

(2) the applicant's renewal fee as set forth in .0203(a)(2); and

(3) proof of liability insurance pursuant to G.S. 74D-9.

(b) No renewal shall be granted more than 90 days after the date of expiration of a license.

(c) Applications for renewal submitted after the expiration date of the license shall be accompanied by the late renewal fee established by Rule .0203 of this Section and shall be submitted not later than 90 days after the expiration date of the license.

(d) If a licensee has maintained a license at least two years and fails to renew the license within 90 days of the expiration date, the license may be re-issued if an online reinstatement application is submitted within one year of the expiration date. The reinstatement application must include the items required in Subparagraphs (a)(1) through (3) of this Rule, the late fee required by Paragraph (c) of this Rule, evidence of compliance with the electrical licensing requirements of Rule .0210 of this Section, and documentation of completion within the previous two years of continuing education as required by Section .0500 of this Chapter. If the license reinstatement is approved, the license period shall be prorated to expire on the date the previous license would have expired, had the license been renewed on time. The licensee shall remain responsible for compliance with the Board's law and the rules of this Chapter during the period of lapse.

(e) The Director shall review and approve or recommend denial of an application for renewal or reinstatement. All recommendations of denial shall be submitted to the Board for a final Board decision.

(f) Members of the armed forces whose licenses are in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return shall be granted the same extension of time to pay the license renewal fee and to complete the continuing education requirements prescribed in Section .0500 of this Chapter. A copy of the military order or the extension approval by the Internal Revenue Service or by the North Carolina Department of Revenue shall be furnished to the Board.

History

Authority G.S. 74D- 2; 74D-2.1; 74D-5; 74D-5.1; 74D-6; 74D-7; 93B-15
Eff. January 1, 1995
Temporary Adoption Eff. May 18, 1995
Amended Eff. February 1, 2012; July 1, 2010; May 1, 1999; October 1, 1995
Transferred and Recodified from 12 NCAC 11 .0204 Eff. July 1, 2015
Amended Eff. April 1, 2018
Readopted Eff. June 1, 2018
Amended Eff. November 1, 2022; August 1, 2020; September 1, 2019.

14b NCAC 17 .0205 Identification Cards of Licensees

Upon the issuance of a license, a pocket identification card of design, size, and content approved by the Board shall be issued by the Director. The card will be evidence that the holder is duly licensed under G.S. Chapter 74D. The holder shall have this card in his or her possession at all times when acting within the scope of his employment.

History

Authority G.S. 74D-7
Temporary Rule Eff. January 9, 1984, for a period of 120 days to expire on May 7, 1984
Eff. May 1, 1984
Transferred and Recodified from 12 NCAC 11 .0205 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

14b NCAC 17 .0206 Records Inspection

(a) Records of a licensee maintained to satisfy the requirements of G.S. Chapter 74D or this Chapter shall be available for inspection by the Director or his or her staff upon demand between 8:00 a.m. and 5:00 p.m. Monday through Friday.

(b) All licensees having registered employees shall submit a copy of their current quarterly Employment Security Commission form NCUI 101-625 to the Director's office at the same time the form is submitted to the Employment Security Commission and shall also submit a list of non-Employment Security Commission employees currently employed by the licensee with the dates of employment. In lieu of submitting copies of the quarterly reports, within 10 days of a request by the Board, a licensee shall provide its Employment Security Commission account number along with the personal identification number (PIN) so that the Board may access the data electronically. Those licensees who do not submit an Employment Security Commission NCUI form 101-625 shall submit the names of their employees on a form provided by the Board. The licensee of a firm, association, or corporation that includes a licensed department or division shall also submit additional documentation as required by Paragraph (c) of this Rule.

(c) If a department or division of a firm, association, or corporation is licensed, the licensee shall submit a list of all employees who work with the department or division to the Board prior to the issuance of the license. This list shall indicate the employees who work with the department or division and are listed on the report required in Paragraph (b) of this Rule. If the department or division hires a new employee, the licensee shall report the hiring within 5 days of employment.

(d) All records required to be kept by either Chapter 74D of the General Statutes of North Carolina or by this Chapter shall be retained for at least three years. If the licensee is unable to produce records as required by this Rule, the licensee shall give the Board it's Employment Security Commission account number along with the personal identification number (PIN) so that the Board can access the data electronically.

History

Authority G.S. 74D-5
Temporary Rule Eff. January 9, 1984, for a period of 120 days to expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. September 1, 2009; March 1, 1993; August 1, 1988; July 1, 1987; January 1, 1986
Transferred and Recodified from 12 NCAC 11 .0206 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

14B NCAC 17 .0207 License Requirements

All licensees shall inform the Board of their home address, business street address, home telephone number and business telephone number and inform the Board within 10 business days of the change.

History

Authority G.S. 74D-5
Eff. June 1, 1990
Transferred and Recodified from 12 NCAC 11 .0207 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

14b NCAC 17 .0208 Training Requirements for Alarm Licensees

History

Status: repealed
Authority G.S. 74D-5(a)(2)
Eff. March 1, 1993
Transferred and Recodified from 12 NCAC 11 .0208 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Repealed Eff. February 1, 2024.

14B NCAC 17 .0209 Company Business License

(a) Any firm, association, or corporation required to be licensed pursuant to G.S. 74D-2(a) shall upload an application for a company business license on a form on the website provided by the Board. A sole proprietorship that is owned and operated by an individual holding a current security systems business license shall be exempt from this Rule. This application form shall include such information as the firm, association, or corporation name; the address of its principal office within the State; all past convictions for criminal offenses of any company director or officer; information concerning the past revocation, suspension, or denial of a business or professional license to any director or officer; a list of all directors and officers of the firm, association, or corporation; a list of all persons, firms, associations, corporations, or other entities owning 10 percent or more of the outstanding shares of any class of stock; and the name and address of the qualifying agent.

(b) In addition to the items required in Paragraph (a) of this Rule, an out-of-state company shall file with its license application form a copy of its certificate of authority to transact business in this state issued by the North Carolina Secretary of State, in accordance with G.S. 55-15-01, and a consent to service of process and pleadings that is authenticated by its company seal and accompanied by a duly-certified copy of the resolution of the board of directors authorizing the proper officer or officers to execute this consent.

(c) After filing a completed online application with the Board, the Board shall conduct a background investigation to ascertain if the qualifying agent is in a management position. The Board shall also determine if the directors or officers have the requisite good moral character as defined in G.S. 74D-6(3). It shall be prima facie evidence of good moral character if a director or officer has not been convicted by any local, State, federal, or military court of any crime involving the use, carrying, or possession of a firearm; conviction of any crime involving the use, possession, sale, manufacture, distribution, or transportation of a controlled substance, drug, narcotic, or alcoholic beverage; conviction of a crime involving assault or an act of violence; conviction of a crime involving breaking or entering, burglary, larceny, or any offense involving moral turpitude; or does not have a history of addiction to alcohol or a narcotic drug. For the purposes of this Section, "conviction" means and includes the entry of a plea of guilty, no contest, prayer for judgment continued, adjudication withheld, or a verdict rendered in open court by a judge or jury.

(d) Upon completion of the background investigation, a company business license shall be issued if all requirements of this Rule are met. A company business license issued by the Board shall be displayed at the principal place of business within North Carolina.

(e) The company business license shall be issued only to a corporation and shall not be construed to extend to a licensing of its directors, officers, or employees.

(f) The issuance of the company business license is issued to the firm, association, or corporation in addition to the license issued to the qualifying agent. The qualifying agent for the firm, association, or corporation that has been issued the company business license shall be responsible for assuring compliance with G.S. 74D.

(g) Within 90 days of the death of a licensee, the existing qualifying agent or a newly designated replacement qualifying agent for the company may submit a written request to the Board, asking that the deceased licensee's license number remain on company advertisements. The Board shall permit the use of the deceased licensee's license number only if the current qualifying agent's license number is printed adjacent to and in the same size print as the deceased licensee's license number.

History

Authority G.S. 74D-2(a); 74D-5
Eff. November 1, 1993
Amended Eff. July 1, 2005; March 1, 1995
Transferred and Recodified from 12 NCAC 11 .0209 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. April 1, 2026; September 1, 2019.

14b NCAC 17 .0210 Electrical Contracting License Requirements

(a) Each firm, association, corporation, department, division, or branch office required to be licensed pursuant to G.S. 74D-2(a) shall employ on a full-time basis a licensee or registered employee who holds a license for either a SP-FA/LV limited, intermediate or unlimited examination as administered by the North Carolina Board of Examiners of Electrical Contractors. Pursuant to Rule .0206 of this Section, each firm, association, corporation, department, division, or branch office shall maintain in its records a copy of the licensee's or registered employee's Electrical Contractors License.

(b) In the event the licensee holding the electrical contractor's license ceases to perform his duties, the business entity shall notify the Board in writing within 10 working days. The business entity shall employ a substitute electrical contractor licensee within 30 days after the original electrical licensee ceases to serve.

(c) If a company provides only security systems monitoring services and submits a written request to the Board certifying that they provide only monitoring services and do not sell, install, service, or respond to security alarms, the Board shall exempt the company from compliance with this rule. If the company later elects to sell, install, service, or respond to security alarms, then the company shall be required to fulfill the requirements of this rule.

History

Authority G.S. 74D-2(a); 74D-5
Eff. January 1, 1995
Temporary Adoption Eff. May 18, 1995
Amended Eff. September 1, 2008; May 1, 1999; October 1, 1995
Transferred and Recodified from 12 NCAC 11 .0210 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. April 1, 2026.

14B NCAC 17 .0301 Application for Registration

(a) Each licensee or qualifying agent shall submit an online application for the registration of his or her employee on the website provided by the Board. The application shall contain:

(1) name, address, telephone numbers, and social security number;

(2) gender and race;

(3) military service;

(4) current employer;

(5) date of birth, birth country, state or province, county or parish, and citizenship; and

(6) driver's license number and state of issuance.

(b) When this online application is submitted, it shall be accompanied by:

(1) electronic submission of fingerprints from a Live Scan or similar system approved by the State Bureau of Investigation or one set of classifiable fingerprints on a standard F.B.I. fingerprint card mailed separately to the Board's office;

(2) one original signed S.B.I. release of information form uploaded online and the original mailed separately to the Board's office;

(3) one head and shoulders digital photograph of the applicant of sufficient quality for identification, taken within six months prior to online submission, and uploaded with the application submission;

(4) statements of the results of a statewide criminal history records search by the reporting service designated by the Board pursuant to G.S. 74D-2.1(a) for any state where the applicant has resided within the preceding 60 months;

(5) the registration fee required by Rule .0302 of this Section, along with the convenience fee charged by the Board's on-line application vendor and the credit card transaction fee charged by the applicant's credit card provider and collected online; and

(6) a completed affidavit form attesting to the truth of the information provided and public notice statement form.

History

Authority G.S. 74D-2.1; 74D-5; 74D-8
Temporary Rule Eff. January 9, 1984 for a Period of 120 Days to Expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. December 1, 2012; January 1, 2007; July 1, 1993; March 1, 1993; September 1, 1990; November 1, 1988
Transferred and Recodified from 12 NCAC 11 .0301 Eff. July 1, 2015
Amended Eff. December 1, 2017
Readopted Eff. June 1, 2018
Amended Eff. May 1, 2026; September 1, 2024; August 1, 2022; August 1, 2020; September 1, 2019.

14B NCAC 17 .0302 Fees for Registration

(a) Registration fees are as follows, plus the convenience fee charged by the Board's on-line application vendor and credit card transaction fee charged by the applicant's credit card provider and collected online.

(1) Fifty dollar ($50.00) non-refundable biennial registration fee.

(2) Ten dollar ($10.00) non-refundable fee for registration of an employee who changes employment to another licensee.

(3) Ten dollar ($10.00) non-refundable annual multiple registration fee.

(4) Twenty dollar ($20.00) late renewal fee to be paid for an application submitted no more than 30 days from the date the registration expires and to be paid in addition to the renewal fee.

(b) Fees shall be paid by credit card or electronic funds transfer.

History

Authority G.S. 74D-7
Temporary Rule Eff. January 9, 1984, for a period of 120 days to expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. January 1, 1986
Temporary Amendment Eff. October 6, 1992 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner
Amended Eff. May 1, 2010; February 1, 2010; April 1, 2005; March 1, 1993
Transferred and Recodified from 12 NCAC 11 .0302 Eff. July 1, 2015
Amended Eff. January 1, 2018
Readopted Eff. June 1, 2018
Amended Eff. September 1, 2024; September 1, 2019.

14B NCAC 17 .0303 Minimum Standards for Registration

An applicant for registration shall:

(1) be at least 18 years of age;

(2) be a citizen of the United States or a resident alien;

(3) be of good moral character and temperate habits, as set forth in G.S. 74D-2(d)(2); and

(4) not have been found or declared mentally incompetent by any court.

History

Authority G.S. 74D-5; 74D-8
Temporary Rule Eff. January 9, 1984, for a Period of 120 Days to Expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. March 1, 1993; January 1, 1986
Transferred and Recodified from 12 NCAC 11 .0303 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

14B NCAC 17 .0304 Investigation for Registration

A denial of an applicant for registration by the Director shall be subject to review by the Board.

History

Authority G.S. 74D-5; 74D-8
Temporary Rule Eff. January 9, 1984, for a Period of 120 Days to Expire on May 7, 1984
Eff. May 1, 1984
Transferred and Recodified from 12 NCAC 11 .0304 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

14B NCAC 17 .0305 Registration Identification Cards

(a) The registration identification card shall be carried by the registrant when performing the duties of a security systems employee.

(b) The registration identification card shall be exhibited upon the request of any law enforcement officer or any other authorized representative of the Board.

(c) Registration identification card holders shall immediately notify the Board upon receipt of information relating to the holder's ineligibility to continue holding such a card.

(d) Upon revocation or suspension by the Board, a holder shall return the registration identification card to the Director within 10 days of the date of the revocation or suspension.

History

Authority G.S. 74D-8
Temporary Rule Eff. January 9, 1984, for a Period of 120 Days to Expire on May 7, 1984
Eff. May 1, 1984
Transferred and Recodified from 12 NCAC 11 .0305 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. April 1, 2026.

14B NCAC 17 .0306 Renewal or Reregistration of Registration

(a) Each applicant for renewal of a registration identification card or his or her employer shall complete an online form on the website provided by the Board. This online form shall be submitted not less than 90 days prior to expiration of the applicant's current card and shall be accompanied by:

(1) one digital head and shoulders color photograph of the applicant of acceptable quality for identification and made within 90 days of the application uploaded online with application submission;

(2) statements of the result of a statewide criminal history records search by the reporting service designated by the Board pursuant to G.S. 74D-2.1(a) for any state where the applicant has resided within the preceding 24 months; and

(3) the applicant's renewal fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee charged by the applicant's credit card provider and collected online.

(b) Each licensee shall provide each applicant for registration or re-registration a copy of the online submitted application form provided by the Board. This form shall be submitted to the Board online and accompanied by:

(1) one digital head and shoulders color photograph of the applicant of acceptable quality for identification and made within 90 days of the application uploaded online with the application submission; and

(2) the applicant's registration fee, along with the convenience fee charged by the Board's on-line application vendor and credit card transaction fee charged by the applicant's credit card provider and collected online.

(c) The employer of each applicant for a registration renewal or reregistration shall give the applicant a copy of the online application which will serve as a record of application for renewal and shall retain a copy of the applicant's online renewal application in the individual's personnel file in the employer's office.

(d) Members of the armed forces whose registrations are in good standing and to whom G.S. 105-249.2 grants an extension of time to file a tax return are granted that same extension of time to pay the registration renewal fee and to complete the continuing education requirements prescribed by Section .0500 of this Chapter. A copy of the military order or the extension approval by the Internal Revenue Service or by the North Carolina Department of Revenue must be furnished to the Board.

History

Authority G.S. 74D-7; 74D-8; 93B-15
Temporary Rule Eff. January 9, 1984, for a Period of 120 Days to Expire on May 7, 1984
Eff. May 1, 1984
Amended Eff. February 1, 2012; July 1, 2010; March 1, 1993; December 1, 1988; July 1, 1987
Transferred and Recodified from 12 NCAC 11 .0306 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. September 1, 2024; September 1, 2019.

14B NCAC 17 .0307 Suspension of Authority to Expend Funds

In the event that Board's authority to expend funds is suspended pursuant to G.S. 93B-2(d), the Board shall continue to issue and renew licenses and all fees tendered shall be placed in an escrow account maintained by the Board for this purpose. Once the Board's authority is restored, the funds shall be moved from the escrow account into the general operating account.

History

Authority G.S. 93B-2(b)
Eff. December 1, 2012
Transferred and Recodified from 12 NCAC 11 .0307 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

14B NCAC 17 .0401 Definitions

In addition to the definitions in Article 2 of Chapter 74D of the General Statutes of North Carolina, the following definitions shall apply through this Section:

(1) "Board" means the Security Systems Licensing Board.

(2) "Fund" means the Recovery Fund of the Security Systems Licensing Act.

(3) "Aggrieved Party" means a person who has suffered a direct or monetary loss because of a licensee's acts.

(4) "Licensee" means a person who, at the time of the act complained of, was licensed by the Security Licensing Board.

(5) "Reimbursable Loss" means only those losses of money or other property that meet all of the following tests:

(a) the obligation was incurred on or after July 1, 1983;

(b) the loss was caused by a licensee defaulting on an obligation that was entered into by the licensee to perform alarm services; and

(c) the aggrieved party has exhausted all civil remedies against the licensee or his estate and has complied with these Rules.

(d) the following shall be excluded from "reimbursable losses":

(i) Losses of spouses, children, parents, grandparents, siblings, partners, associates and employees of the licensee causing the losses;

(ii) Losses covered by any bond, surety agreement, or insurance contract to the extent covered thereby; and

(iii) Losses which have been otherwise received from or paid by or on behalf of the licensee who defaulted on an obligation.

History

Authority G.S. 74D-30; 74D-31
Eff. June 1, 1990
Transferred and Recodified from 12 NCAC 11 .0401 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. March 1, 2026.

14B NCAC 17 .0402 Petition for Hearing/Application for Relief

History

Status: repealed
Eff. June 1, 1990
Transferred and Recodified from 12 NCAC 11 .0402 and .0403 Eff. July 1, 2015
Repealed Eff. October 1, 2009 pursuant to G.S. 150B-21.7 (see S.L. 2009-557, s. 11).

14b NCAC 17 .0403 processing applications

History

Status: repealed
Eff. June 1, 1990
Transferred and Recodified from 12 NCAC 11 .0402 and .0403 Eff. July 1, 2015
Repealed Eff. October 1, 2009 pursuant to G.S. 150B-21.7 (see S.L. 2009-557, s. 11).

14B NCAC 17 .0501 Definitions

In addition to the definitions set forth in Rule .0103 of this Section, the following definitions shall apply to this Section:

(1) "continuing education" or "CE" refers to any educational activity approved by the Board to be a continuing education activity.

(2) "credit hour" means sixty minutes of continuing education instruction.

(3) "year" refers to the calendar year after the issuance of a new or renewal license.

(4) "licensee" shall refer to an individual who holds an alarm systems business license issued by the Board.

(5) "registrant" shall refer to an individual who holds an alarm systems business registration permit issued by the Board.

History

Authority G.S. 74D-2; 74D-5
Eff. May 1, 1999
Amended Eff. July 18, 2002
Transferred and Recodified from 12 NCAC 11 .0501 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

14B NCAC 17 .0502 Required Continuing Education Hours

Each licensee shall complete a minimum of six credit hours of continuing education training during each two-year renewal period. Each registrant shall complete a minimum of three credit hours of continuing education training during each renewal period. Only registrants who engage in installation, service, sales, or monitoring of alarm systems shall be required to complete the continuing education requirements. Credit shall be given only for classes that have been preapproved by the Board using the criteria set forth in Rule .0503 of this Section. A licensee or registrant who attends a complete meeting of a regularly scheduled meeting of the Alarm Systems Licensing Board in person shall receive three credit hours for each meeting that the licensee or registrant attends and shall receive one credit hour for each meeting that the licensee or registrant views virtually. The Board-approved continuing education form showing the credit hours earned must be uploaded online and submitted with each licensee or registrant's online application submission.

History

Authority G.S. 74D-2; 74D-5
Eff. May 1, 1999
Amended Eff. July 18, 2002
Transferred and Recodified from 12 NCAC 11 .0502 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. March 1, 2024; September 1, 2019.

14B NCAC 17 .0503 Accreditation Standards

(a) CE courses seeking to obtain the sanction of the Security Systems Licensing Board shall submit the following information to the Board:

(1) the nature and purpose of the course;

(2) the course objectives or goals;

(3) the outline of the course, including the number of training hours for each segment; and

(4) the identity of each instructor.

(b) To determine if a course will be sanctioned by the Security Systems Licensing Board, the Board shall complete the following review:

(1) The matter shall be referred to the Education and Training Committee for the appointment of a sub-committee that shall review the course under consideration. The sub-committee shall consist of at least one member of the Education and Training Committee, one member of the Board's staff, and one industry licensee who has no vested interest in the course. Other members of the sub-committee may be appointed at the discretion of the Education and Training Committee Chairman.

(2) The sub-committee shall review the course to determine if the course is pertinent to the industry and if the course meets its stated objectives.

(3) When the sub-committee completes its review, it shall report to the Education and Training Committee. The Education and Training Committee shall review the course to determine if the course is pertinent to the industry and if the course meets its stated objective. The Education and Training Committee shall then report the findings with a recommendation of acceptance or denial to the Security Systems Licensing Board.

(4) For any online course being reviewed by the Committee, the course sponsor shall allow the Committee to review the online course and any associated test and shall include with the application instructions and an access code for computer login.

(c) Upon receipt of the Education and Training Committee report, the Security Systems Licensing Board shall determine by majority vote if the course will be sanctioned for continuing education credits. In making its determination, the Board shall review the course to determine if the course is pertinent to the industry and if the course meets its stated objective.

(d) Each approved course shall remain an approved course for four years from the date of approval by the Board.

History

Authority G.S. 74D-2; 74D-5
Eff. May 1, 1999
Amended Eff. July 1, 2010; July 18, 2002
Transferred and Recodified from 12 NCAC 11 .0503 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. March 1, 2026.

14B NCAC 17 .0504 Non-Resident Licensee or Registrant Continuing Education Credits

A non-resident licensee or registrant shall obtain the required continuing education credits as set forth in Rule .0502 of this Section. If a non-resident licensee or registrant resides in a state that requires continuing education for an alarm systems business license, then the continuing education courses to be offered in the state of residence may be considered by the North Carolina Security Systems Licensing Board for sanctioning in North Carolina on an individual course basis. In determining if the course is to be sanctioned, the Board shall review the course to determine if the course is pertinent to the industry and if the course meets its stated objective.

History

Authority G.S. 74D-2; 74D-5
Eff. May 1, 1999
Amended Eff. July 18, 2002
Transferred and Recodified from 12 NCAC 11 .0504 Eff. July 1, 2015
Readopted Eff. June 1, 2018
Amended Eff. March 1, 2026.

14B NCAC 17 .0505 Recording and Reporting Continuing Education Credits

(a) Each licensee shall be responsible for recording and reporting continuing education credits to the Board at the time of license or registration renewal. For each course taken, the report shall include a certificate of course completion that is signed by at least one course instructor, states the name of the licensee or registrant who completed the course, states the date of course completion, and states the number of hours taken by the licensee or registrant. Credit shall not be given if a certificate of course completion is dated more than two years from the license or registration permit renewal date. Each course instructor shall maintain a course roster and shall verify the identity of each participant by a government issued photo identification, such as a driver's license. This roster shall be delivered to the Board's office within two weeks of the completion date of the course.

(b) All online applications for renewal of a license or registration permit shall have CE Certificates uploaded, verifying completion of the required number of credit hours. If an applicant is filing an application designated as "new" and the applicant has been licensed or registered for any period of time within the previous two years, the applicant shall upload CE Certificates verifying completion of the required number of credit hours. An applicant shall not be required to submit a CE Certificate if the applicant is filing an application designated as a "transfer" or "duplicate" and if the applicant has a current registration card issued by the Board.

History

Authority G.S. 74D-2; 74D-5
Eff. May 1, 1999
Amended Eff. March 1, 2006; March 1, 2004; July 18, 2002
Transferred and Recodified from 12 NCAC 11 .0505 Eff. July 1, 2015
Readopted Eff. June 1, 2018.
Amended Eff. September 1, 2019.

14B NCAC 17 .0506 Non-Compliance

If a licensee or registrant fails to comply with this Section of the rules, his or her license or registration permit shall not be renewed.

History

Authority G.S. 74D-2; 74D-5
Eff. May 1, 1999
Amended Eff. July 18, 2002
Transferred and Recodified from 12 NCAC 11 .0506 Eff. July 1, 2015
Readopted Eff. June 1, 2018.

Chapter 18 Division of Criminal Information

Subchapter A

14B NCAC 18A .0101 scope

(a) The rules in this Chapter are the rules of the North Carolina State Bureau of Investigation, Division of Criminal Information (DCI).

(b) The FBI Criminal Justice Information Services (CJIS) Security Policy is incorporated by reference herein and shall automatically include any later amendments or editions that may be published by the FBI. The policy is available at no charge on the FBI website: http://www.fbi.gov/about-us/cjis/cjis-security-policy-resource-center/view.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0101 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14b NCAC 18A .0102 Definitions

As used in this Chapter:

(1) "ACIIS" means Canada's Automated Criminal Intelligence and Information System.

(2) "Administration of criminal justice" means the:

(a) detection of accused persons or criminal offenders;

(b) apprehension of accused persons or criminal offenders;

(d) pretrial release of accused persons or criminal offenders;

(e) post-trial release of accused persons or criminal offenders;

(f) prosecution of accused persons or criminal offenders;

(g) adjudication of accused persons or criminal offenders;

(h) correctional supervision of accused persons or criminal offenders;

(i) rehabilitation of accused persons or criminal offenders;

(j) collection of criminal history record information;

(k) storage of criminal history record information;

(l) dissemination of criminal history record information;

(m) screening of persons for the purpose of criminal justice employment; or

(n) administration of crime prevention programs to the extent access to criminal history record information is limited to law enforcement agencies for law enforcement programs (e.g. record checks of individuals who participate in Neighborhood Watch or safe house programs) and the result of such checks will not be disseminated outside the law enforcement agency.

(3) "Advanced authentication" means an alternative method of verifying the identity of a computer system user. Examples include software tokens, hardware tokens, and biometric systems. These alternative methods are used in conjunction with traditional methods of verifying identity such as user names and passwords.

(4) "AOC" means the North Carolina Administrative Office of the Courts.

(5) "Authorized recipient" means any person or organization who is authorized to receive state and national criminal justice information by virtue of being:

(a) a member of a law enforcement/criminal justice agency approved pursuant to Rule .0201 of this Subchapter; or

(b) a non-criminal justice agency authorized pursuant to local ordinance or a state or federal law.

(6) "CCH" means computerized criminal history record information. CCH can be obtained through DCIN or through N-DEx.

(7) "Certification" means documentation provided by CIIS showing that a person has been trained in the abilities of DCIN devices, and has knowledge for accessing those programs that are developed and administered by CIIS for local law enforcement and criminal justice agencies.

(8) "CHRI" means criminal history record information. CHRI is information collected by and maintained in the files of criminal justice agencies concerning individuals, consisting of identifiable descriptions, notations of arrest, detentions, indictments or other formal criminal charges. This includes any disposition, sentencing, correctional supervision, and release information.

(9) "CIIS" means Criminal Information and Identification Section. CIIS is a section of DCI that manages all CJIS programs within North Carolina, including DCIN.

(10) "CJI" means criminal justice information. CJI is all of the FBI CJIS provided data necessary for law enforcement agencies to perform their mission and enforce laws, including biometric information, identity history person, organization, property, and case or incident history data. In addition, CJI refers to FBI CJIS provided data necessary for civil agencies to perform their mission including data used to make hiring decisions.

(11) "CJIS" means Criminal Justice Information Services. CJIS is the FBI division responsible for the collection, warehousing, and dissemination of relevant criminal justice information to the FBI and law enforcement, criminal justice, civilian, academic, employment, and licensing agencies.

(12) "CJIS Security Policy" means a document published by the FBI CJIS Information Security Officer that provides criminal justice and non-criminal justice agencies with a set of security requirements for the access to FBI CJIS systems to protect and safeguard criminal justice information whether in transit or at rest.

(13) "Class B misdemeanor" includes any act committed or omitted in violation of any common law, duly enacted ordinance, criminal statute, or criminal traffic code of any jurisdiction other than North Carolina, either civil or military, for which the maximum punishment allowable for the designated offense under the laws, statutes, or ordinances of the jurisdiction in which the offense occurred includes imprisonment for a term of more than six months but not more than two years. Specifically excluded are motor vehicle or traffic offenses designated as being misdemeanors under the laws of jurisdictions other than the State of North Carolina with the following exceptions: either first or subsequent offenses of driving while impaired if the maximum allowable punishment is for a term of more than six months but not more than two years, and driving while license permanently revoked or permanently suspended. "Class B Misdemeanor" shall also include acts committed or omitted in North Carolina prior to October 1, 1994 in violation of any common law, duly enacted ordinance, criminal statute, or criminal traffic code of this state for which the maximum punishment allowable for the designated offense included imprisonment for a term of more than six months but not more than two years.

(14) "Convicted" or "conviction" means, for purposes of DCIN user certification, the entry of:

(a) a plea of guilty;

(b) a verdict or finding of guilt by a jury, judge, magistrate, or other adjudicating body, tribunal, or official, either civilian or military; or

(15) "Criminal justice agency" means the courts, a government agency, or any subunit thereof which performs the administration of criminal justice pursuant to statute or executive order and which allocates more than 50 percent of its annual budget to the administration of criminal justice. State and federal Inspector General Offices are included in this definition.

(16) "Criminal justice board" means a board composed of heads of law enforcement or criminal justice agencies that have management control over a communications center.

(17) "CSA" means CJIS System Agency. The CSA is a state, federal, international, tribal, or territorial criminal justice agency on the CJIS network providing statewide (or equivalent) service to its criminal justice agency users with respect to the CJIS data from various systems managed by the FBI. In North Carolina, the CSA is the SBI.

(18) "CSO" means CJIS System Officer. The CSO an individual located within the CSA responsible for the administration of the CJIS network on behalf of the CSA. In North Carolina, the CSO is employed by the SBI.

(19) "DCI" means the Division of Criminal Information. DCI is the agency established by the Attorney General of North Carolina in accordance with Article 3 of Chapter 114 of the North Carolina General Statutes. The North Carolina State Bureau of Investigation's Criminal Information and Identification Section is a part of DCI.

(20) "DCIN" means the Division of Criminal Information Network. DCIN is the computer network used to collect, maintain, correlate, and disseminate information collected by CIIS under Article 3 of Chapter 114 of the North Carolina General Statutes. DCIN also provides access to information collected by other federal, state, and local entities necessary for the administration of criminal justice.

(21) "DCIN user" means a person who has been certified through the DCIN certification process.

(22) "Device" means an electronic instrument used by a DCIN user to accomplish message switching, DMV inquiries, functional messages, or DCIN, NCIC, Nlets on-line file transactions.

(23) "Direct access" means having the authority to:

(a) access systems managed by the FBI CJIS Division, whether by manual or automated means, not requiring the assistance of, or intervention by, any other party; or

(b) query or update national databases maintained by the FBI CJIS Division including national queries and updates automatically or manually generated by the CSA.

(24) "Disposition" means information on any action that results in termination or indeterminate suspension of the prosecution of a criminal charge.

(25) "Dissemination" means any transfer of information, whether orally, in writing, or by electronic means.

(26) "DMV" means the North Carolina Division of Motor Vehicles.

(27) "DMV information" includes vehicle description and registration information, and information maintained on individuals to include name, address, date of birth, license number, license issuance and expiration, control number issuance, and moving vehicle violation or convictions.

(28) "DOC" means North Carolina Department of Adult Correction.

(29) "End user interface" means software that is utilized by a certified user to connect to DCIN and perform message or file transactions.

(30) "Expunge" means to remove criminal history record information from the DCIN and FBI computerized criminal history and identification files pursuant to state statute.

(31) "FBI" means the Federal Bureau of Investigation.

(32) "FFL" means federal firearm licensee. A FFL is any individual, corporation, company, association, firm, partnership, society, or joint stock company that has been licensed by the federal government to engage in the business of importing, manufacturing, or dealing in firearms or ammunition in accordance with 18 USC § 923.

(33) "III" means Interstate Identification Index. III is the FBI CJIS service that manages automated submission and requests for criminal history record information.

(34) "Inappropriate message" means any message that is not related to the administration of criminal justice.

(35) "Incident based reporting" or "I-Base" is a system used to collect criminal offense and arrest information for each criminal offense reported.

(36) "INTERPOL" means International Criminal Police Organization.

(37) "N-DEx" means Law Enforcement National Data Exchange. N-DEx is the repository of criminal justice records, available in a secure online environment, managed by the FBI Criminal Justice Information Services (CJIS) Division. N-DEx is available to criminal justice agencies throughout North Carolina, and its use is governed by federal regulations.

(38) "NCIC" means National Crime Information Center. NCIC is an information system maintained by the FBI that stores criminal justice information which can be queried by federal, state, and local law enforcement and other criminal justice agencies.

(39) "NFF" means the National Fingerprint File. NFF is an FBI maintained enhancement to the Interstate Identification Index whereby only a single fingerprint card is submitted per state to the FBI for each offender at the national level.

(40) "Need-to-know" means for purposes of the administration of criminal justice, for purposes of criminal justice agency employment, or for some other purpose permitted by local ordinance, state statute, or federal regulation.

(41) "NICS" means the National Instant Criminal Background Check System. NICS is the system mandated by the Brady Handgun Violence Protection Act of 1993 that is used by FFLs to instantly determine via telephone or other electronic means whether the transfer of a firearm would be in violation of Section 922(g) or (n) of Title 18, United States Code, or state law, by evaluating the prospective buyer's criminal history. In North Carolina, NICS is used by sheriff's offices throughout the state to assist in determining an individual's eligibility for either a permit to purchase a firearm or a concealed handgun permit.

(42) "Nlets" means the International Justice and Public Safety Network.

(43) "Non-criminal justice agency" or "NCJA" means any agency or sub-unit thereof whose charter does not include the responsibility to administer criminal justice, but may need to process criminal justice information. A NCJA may be public or private. An example is a 911 communications center that performs dispatching functions for a criminal justice agency (government), a bank needing access to criminal justice information for hiring purposes (private), or a county school board that uses criminal history record information to assist in employee hiring decisions (public).

(44) "Non-criminal justice information" means any information or message that does not directly pertain to the necessary operation of a law enforcement or criminal justice agency. Examples of messages that are non-criminal justice include:

(a) accessing any DMV file for:

(i) political purposes;

(ii) vehicle repossession purposes; and

(iii) to obtain information on an estranged spouse or romantic interest;

(b) a message to confirm meal plans;

(d) a message to send well wishes during a holiday or birthday.

(45) "Official record holder" means the agency that maintains the master documentation and all investigative supplements of a restricted file entry or unrestricted file entry.

(46) "Ordinance" means a rule or law promulgated by a governmental authority including one adopted and enforced by a municipality or other local authority.

(47) "ORI" means Originating Agency Identifier, which is a unique alpha numeric identifier assigned by NCIC to each authorized criminal justice and non-criminal justice agency, identifying that agency in all computer transactions.

(48) "Private contractor" means any non-governmental non-criminal justice agency that has contracted with a government agency to provide services necessary to the administration of criminal justice.

(49) "Re-certification" means renewal of a user's initial certification every two years.

(50) "Restricted files" means those files maintained by NCIC that are protected as criminal history record information (CHRI), which is consistent with Title 28, Part 20 of the United States Code of Federal Regulations (CFR). Restricted files consist of:

(a) Gang Files;

(b) Known or Appropriately Suspected Terrorist (KST) Files;

(d) Immigration Violator Files;

(e) National Sex Offender Registry Files;

(f) Historical Protection Order Files of the NCIC;

(g) Identity Theft Files;

(i) Protective Interest File; and

(j) Person With Information (PWI) data within the Missing Person File.

(51) "Right-to-review" means the right of an individual to inspect his or her own criminal history record information.

(52) "SAFIS" means Statewide Automated Fingerprint Identification System. SAFIS is a computer-based system for reading, encoding, matching, storing, and retrieving fingerprint minutiae and images.

(53) "SBI" means the North Carolina State Bureau of Investigation.

(54) "Secondary dissemination" means the transfer of CCH/CHRI information to anyone legally entitled to receive such information that is outside the initial user agency.

(55) "SEND message" means messages that may be used by DCIN certified users to exchange official information of an administrative nature between in-state law enforcement/criminal justice agencies and out-of-state agencies by means of Nlets.

(56) "Servicing agreement" means an agreement between a terminal agency and a non-terminal agency to provide DCIN terminal services.

(57) "State" means any state of the United States, the District of Columbia, the Commonwealth of Puerto Rico and any territory or possession of the United States.

(58) "Statute" means a law enacted by a state's legislative branch of government.

(59) "TAC" means Terminal Agency Coordinator. A TAC is an individual who serves as a point of contact at a local agency in matters relating to DCIN or CJIS information systems. A TAC administers CJIS and CIIS system programs within the local agency and oversees the agency's compliance with both CIIS rules and CJIS system policies.

(60) "Terminal agency" means any agency that has a device under its management and control that is capable of communicating with DCIN.

(61) "Training module" means a manual containing guidelines for users on the operation of DCIN and providing explanations as to what information may be accessed through DCIN.

(62) "UCR" means the Uniform Crime Reporting program whose purpose it is to collect a summary of criminal offense and arrest information.

(63) "Unrestricted files" means those files that are maintained by NCIC that are not considered "Restricted Files."

(64) "User agreement" means an agreement between a terminal agency and CIIS whereby the agency agrees to comply with all CIIS rules.

(65) "User identifier" means a unique identifier assigned by an agency's Terminal Agency Coordinator to all certified DCIN users that is used for gaining access to DCIN and for identifying certified users.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0102 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14b NCAC 18A .0103 Function of Dcin

Users of DCIN may:

(1) transmit or receive any criminal justice related message to or from any device connected to DCIN;

(2) enter into or retrieve information from North Carolina's:

(a) recovered vehicle file;

(b) sex offender registry; and

(3) enter into or retrieve information from DCIN user certification and class enrollment files;

(4) enter into or retrieve information from NCIC's restricted and unrestricted files;

(5) access NCIC's criminal history data;

(6) obtain, on a need-to-know basis, the criminal record of an individual by inquiring into the state Computerized Criminal History (CCH) file maintained by CIIS, or CCH files maintained by other states and the Federal Bureau of Investigation (FBI) through III;

(7) communicate with devices in other states through Nlets with the capability to exchange automobile registration information, driver's license information, criminal history record information, corrections information, and other law enforcement related information;

(8) obtain information on North Carolina automobile registration, driver's license information and driver's history by accessing DMV maintained files;

(9) obtain registration information on all North Carolina registered boats, and inquire about aircraft registration and aircraft tracking;

(10) obtain information on those individuals under the custody or supervision of DOC; and

(11) access, enter, and modify information contained within the National Instant Criminal Background Check System (NICS).

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0103 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14b NCAC 18A .0201 Eligibility for Access to Dcin

(a) Only agencies that have obtained an ORI and have complied with Rule .0202 of this Section may access DCIN.

(b) Any agency in North Carolina desiring an ORI shall make a written request to DCI. DCI shall request an ORI from NCIC.

(c) If the request is denied by NCIC, DCI shall provide written findings to the requesting agency detailing the reasons for the denial and providing the requesting agency information on the necessary elements to obtain an ORI.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0201 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14b NCAC 18A .0202 Management Control Requirements

Each device with access to DCIN and those personnel who operate devices with DCIN access must be under the direct and immediate management control of a criminal justice agency, criminal justice board or an FBI approved non-criminal justice agency. The degree of management control shall be such that the agency head, board or approved agency has the authority to:

(1) set policies and priorities concerning the use and operation, configuration, or maintenance of devices or computer networks accessing DCIN;

(2) hire, supervise, suspend or dismiss those personnel who will be connected with the operation, configuration, maintenance, or use of devices or computer networks accessing DCIN;

(3) restrict unauthorized personnel from access or use of devices accessing DCIN; and

(4) assure compliance with all rules and regulations of the FBI and SBI in the operation of devices with access to DCIN or use of all information received through DCIN.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0202 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14b NCAC 18A .0203 Non-Terminal Access

(a) A non-terminal criminal justice agency may gain access to DCIN through a criminal justice agency that has direct access to the network. The servicing agency (agency providing access) shall enter into a servicing agreement with the non-terminal agency (agency receiving service) as described in Rule .0303 of this Subchapter.

(b) The agreement shall:

(1) authorize access to specific data;

(2) limit the use of data to purposes for which given;

(3) insure the security and confidentiality of the data consistent with these procedures; and

(4) provide sanctions for violation thereof.

(d) Any servicing agency which fails to enforce penalties that are placed upon the non-terminal agency is in violation of this Rule and subject to the provisions of 14B NCAC 18C .0102(e).

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0203 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14b NCAC 18A .0301 User Agreement

(a) Each agency receiving access to any data provided by FBI CJIS through DCIN shall sign a user agreement certifying that the agency head has read and understands DCIN, NCIC, CJIS, and other applicable rules and regulations, and that the agency head will uphold the agreement and abide by the rules and regulations. This agreement shall be signed by the agency head and by the North Carolina CJIS System Officer (CSO).

(b) When a new agency head is installed at an agency, a new user agreement shall be signed by the new agency head and the CSO.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0301 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14b NCAC 18A .0302 Servicing Agreement

(a) Any agency authorized pursuant to Rule .0201 of this Subchapter with a DCIN device that provides access to a non-terminal agency shall enter into a written servicing agreement with the serviced agency. The agreement shall include the following information:

(1) the necessity for valid and accurate information being submitted for entry into DCIN;

(2) the necessity for documentation to substantiate data entered into DCIN;

(3) the necessity of adopting timely measures for entering, correcting or canceling data in DCIN;

(4) validation requirements pursuant to Rule 18B .0203 of this Chapter;

(5) the importance of confidentiality of information provided via DCIN;

(6) liabilities;

(7) the ability to confirm a hit 24 hours a day;

(8) the necessity of using the ORI of the official record holder in record entries and updates; and

(9) the necessity of using the ORI of the initial user when making inquiries.

(b) The servicing agreement must be signed by the head of the servicing agency and the head of the non-terminal agency, notarized, and a copy must be forwarded to CIIS by the non-terminal agency.

(c) DCI shall be notified of any cancellations or changes made in servicing agreements by the party making the cancellation or changes.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0302 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14b NCAC 18A .0303 CONTROL AGREEMENTs

(a) A non-criminal justice agency designated to perform criminal justice functions for a criminal justice agency is eligible for access to DCIN.

(b) A written management control agreement shall be entered into between a law enforcement agency and a 911 communications center when management control of the 911communications center will be under an entity other than the law enforcement agency. The agreement shall state that requirements of Rule .0202 of this Subchapter are in effect, and shall stipulate the management control of the criminal justice function remains solely with the law enforcement agency.

(c) A written management control agreement shall be entered into between a law enforcement agency and their governmental information technology (IT) division when the information technology role will be under an entity other than the law enforcement agency. The agreement shall state that the requirements pursuant to Rule .0202 of this Subchapter are in effect, and shall stipulate that the management control of the criminal justice function remains solely with the law enforcement agency.

(d) A written agreement shall be entered into between a law enforcement agency and a private contractor when the private contractor configures or supports any device or computer network that stores, processes, or transmits criminal justice information. The written agreement must incorporate the most current version of the CJIS Security Addendum. The CJIS Security Addendum may be found in the current CJIS Security Policy.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0303 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14b NCAC 18A .0304 Disclosure Agreement

(a) A written disclosure agreement shall be entered into between the SBI and any individual or agency seeking access to DCI-maintained criminal justice information for purposes of research.

(b) The disclosure agreement shall state that each participant and employee of every program of research with access to computerized information is aware of the issues of privacy and the limitations regarding the use of accessed information, and that he or she is bound by CIIS rules concerning these issues pursuant to Rule 18B .0407 of this Chapter.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0304 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18A .0401 DCIN users

(a) Prior to receiving certification as a DCIN user, and as a condition for maintaining certification as a DCIN user, each applicant or user shall be a citizen of the United States.

(b) The applicant or certified user shall be at least 18 years of age.

(c) An individual is eligible to attend certification class and become a DCIN user only if employed by and under the management control of an agency as described in Rule .0201 of this Subchapter and only after the individual has had a fingerprint-based criminal records search completed by the employing agency indicating that the individual has not been convicted of a criminal offense described in Paragraph (d) or (e) of this Rule.

(d) A conviction of a felony renders an applicant or certified DCIN user permanently ineligible to hold such certification.

(e) A conviction of a crime or unlawful act defined as a Class B misdemeanor renders an applicant ineligible to become certified as a DCIN user when such conviction is within 10 years of the applicant's date of request for DCIN certification. Existing DCIN users convicted of a crime or unlawful act defined as a Class B Misdemeanor while holding certification are ineligible to maintain such certification for a period of 10 years following such conviction. An applicant or certified DCIN user is permanently ineligible to hold such certification upon conviction of two or more Class B misdemeanors regardless of the date of conviction.

(f) No applicant for certification as a DCIN user is eligible for certification while the applicant is subject to pending or outstanding criminal charges, that, if the applicant were convicted, would disqualify the applicant from holding such certification.

(g) No DCIN user is eligible to access DCIN while the user is subject to pending or outstanding criminal charges, that, if the applicant were convicted, would disqualify the user from access.

(h) An employee assigned as a DCIN user and who currently holds valid certification as a sworn law enforcement officer with the powers of arrest through either the North Carolina Criminal Justice Education and Training Standards Commission or the North Carolina Sheriff's Education and Training Standards Commission is not subject to the criminal history record and background search provisions of this Rule.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0401 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18A .0402 CERTIFICATION AND RECERTIFICATION OF DCIN users

(a) Personnel who are assigned the duty of using a DCIN device shall be certified within 120 days from employment or assignment to user duties. Certification shall be awarded based on achieving a test score of 80 percent or greater in each training module for which the user is seeking certification.

(b) All DCIN users shall be certified by DCI. The initial certification of a user shall be awarded upon attending the "DCIN/NCIC General Inquiries" module class, and achieving a passing score on the accompanying test offered through the DCIN end user interface. A student may also take one or more additional module training classes offered by DCI, which teach the specific functions of DCIN applicable to their job duties. A user may perform only those functions in which they have been trained and certified.

(c) Tests for modules in which a student is seeking initial certification shall be taken within 15 days of the end of the class, and may be open-book. If a student fails the initial certification test they shall have until the 15th day to pass the test, but shall wait at least 24 hours between the failed test and the next attempt. A student shall have a maximum of three attempts to pass the test. If the student fails to achieve a passing score after the third attempt the user shall re-take the module training class.

(d) Recertification requires achieving a test score of 80 percent or higher on the test corresponding to the module for which the user is seeking recertification, and may be accomplished by taking the test through the DCIN end user interface. Recertification is required every two years for each module in which the user is certified and may be obtained any time 30 days prior to or 90 days after expiration.

(e) Tests for modules in which the user is seeking recertification shall be taken within 30 days prior to expiration or within 90 days after expiration, and may be open-book. If the user fails the recertification test the user shall have up to the 90th day after expiration to pass the test, but shall wait at least 24 hours between the failed test and the next attempt. A user shall have a maximum of three attempts to pass the test. If the user fails to achieve a passing score after the third attempt the user shall re-take the training module class. If a user fails to recertify in any module after the 90th day the user must attend the module training class for the module in which the user seeks recertification and achieve a passing score on the test.

(f) Personnel newly hired or assigned to duties of a terminal user shall receive an indoctrination on the basic functions and terminology of DCIN by their own agency prior to attending an initial certification class. Such personnel may operate a DCIN device during the indoctrination if they are directly supervised by a certified user and are within the 120-day training period.

(g) Any user whose Module 1 certification has expired may recertify up to 90 days after the user's expiration. The individual shall not use any device connected to DCIN during the time between expiration and passing the recertification test(s). Any user whose Module 1 certification has expired more than 90 days shall attend and successfully complete the "DCIN/NCIC General Inquiries" class.

(h) When a DCIN certified user leaves the employment of an agency, the TAC shall notify DCI within 24 hours, and disable the user's user identifier. DCI shall move user's user identifier to an inactive status until such time the user is employed by another agency.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0402 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18A .0403 Enrollment

(a) Enrollment is necessary for student attendance at any training for DCIN users. Enrollment shall be requested and approved by the agency TAC and personnel must meet the management control requirements outlined in Section .0200 of this Subchapter.

(b) DCI shall maintain enrollment for all certification classes.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04H .0403 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

Subchapter B

14B NCAC 18B .0101 SECURITY OF DCIN devices

Agencies that have management control of a DCIN device shall institute controls for maintaining the sensitivity and confidentiality of all criminal justice information (CJI) provided through DCIN. These controls include the following:

(1) a DCIN device and any peripheral or network-connected printer shall be within a physically secure location, as defined by the FBI CJIS Security Policy, accessible only to authorized personnel. Any DCIN device not located within a physically secured location shall have advanced authentication measures installed and enabled; and

(2) DCIN training module documents shall be located in a physically secure location accessible only by authorized personnel.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0101 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14b NCAC 18B .0102 Official Use of Dcin

(a) DCIN shall be used for criminal justice and law enforcement purposes only. All traffic generated over the network shall be made in the performance of an employee's or agency's official duties as they relate to the administration of criminal justice.

(b) Transmission of non-criminal justice information through DCIN is prohibited.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0102 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0103 Personnel security

(a) Agencies that have management control of DCIN devices shall institute procedures to ensure those non-DCIN certified individuals with direct access to their DCIN devices or any network that stores, processes, or transmits criminal justice information have been properly screened.

(b) This Rule includes:

(1) individuals employed by a municipality or county government who configure or support devices that:

(A) store criminal justice information;

(B) process criminal justice information; or

(2) individuals employed by private vendors or private contractors who configure or support devices that:

(A) store criminal justice -information;

(B) process criminal justice information; or

(c) To ensure proper background screening an agency shall conduct both state of residence and national fingerprint-based background checks for personnel described in Paragraphs (a) and (b) of this Rule.

(d) Applicant fingerprint cards shall be submitted by an agency to the SBI to conduct the check. Once the check has been completed the SBI shall send notice to the submitting agency as to the findings of the check.

(e) Personnel described in Paragraphs (a) and (b) of this Rule must meet the same requirements as those described in 14B NCAC 18A .0401(c).

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 14B NCAC 04I .0103 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0104 security Awareness Training

(a) Security awareness training is required within six months of initial assignment and every two years thereafter for any personnel who have access to DCIN devices or any network that stores, processes, or transmits criminal justice information.

(b) This Rule also applies to any individual described in Rule .0103 of this Subchapter who is responsible for the configuration or support of devices or computer networks that store, process, or transmit criminal justice information.

(d) Records of security awareness training shall be documented, kept current, and maintained by the criminal justice agency.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0104 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0201 Documentation and Accuracy

(a) Law enforcement and criminal justice agencies may enter stolen property, recovered property, wanted persons, missing persons, protection orders, or convicted sex offenders into NCIC restricted and unrestricted files. Any record entered into NCIC files must be documented. The documentation required is:

(1) a theft report of items of stolen property;

(2) an active warrant for arrest or order for arrest for the entry of wanted persons;

(3) a missing person report and, if a juvenile, a written statement from a parent, spouse, family member, or legal guardian verifying the date of birth and confirming that a person is missing;

(4) a medical examiner's report for an unidentified dead person entry;

(5) a protection order or ex parte order (for "temporary orders") issued by a court of competent jurisdiction for a protection order entry; or

(6) a judgment from a court of competent jurisdiction ordering an individual to register as a sex offender.

(b) All NCIC file entries must be complete and accurately reflect the information contained in the agency's investigative documentation at the point of initial entry or modification. NCIC file entries must be checked by a second party who shall initial and date a copy of the record indicating accuracy has been confirmed.

(c) The following key searchable fields shall be entered for person-based NCIC file entries, if available, and shall accurately reflect the information contained in the entering agency's investigative documentation:

(1) Name (NAM);

(2) Date of Birth (DOB);

(3) Sex (SEX);

(4) Race (RAC);

(5) Social Security Number (SOC), for any person-based NCIC file entry other than sex offenders;

(6) Aliases (AKA);

(7) FBI Number (FBI);

(8) State Identification Number (SID); and

(9) Agency's file number (OCA).

Other data elements may be required for entry into the NCIC. Those additional data elements shall accurately reflect an agency's investigative file.

(d) Searchable fields that are required by the DCIN end user interface shall be entered for property-based NCIC file entries, and shall accurately reflect the information contained in the entering agency's investigative documentation.

(e) An agency must enter any additional information that becomes available later.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0201 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0202 TimEliness

(a) Law enforcement and criminal justice agencies shall enter records within three days when conditions for entry are met except when a federal law, state statute, or documentation exists to support a delayed entry. Any decision to delay entry under this exception shall be documented.

(b) Timeliness can be defined based on the type of record entry being made:

(1) Wanted Person File - entry of a wanted person shall be made immediately after the decision to arrest or to authorize arrest has been made, and the decision to extradite has been made. "Immediately" is defined as within three days.

(2) Missing Person File - entry of a missing person shall be made as soon as possible once the minimum data required for entry (i.e., all mandatory fields) and the appropriate record documentation are available. For missing persons under age 21, a NCIC Missing Person File record shall be entered within two hours of receiving the minimum data required for entry.

(3) Article, Boat, Gun, License Plate, Securities, Vehicle Part, Boat Part, Vehicle, Protection Order, and Sex Offender Registry Files - entry is made as soon as possible once the minimum data required for entry (i.e., all mandatory fields) and the record documentation are available. Information about stolen license plates and vehicles shall be verified through the motor vehicle registration files prior to record entry if possible. However, if motor vehicle registration files are not accessible, the record shall be entered into NCIC and verification shall be completed when the registration files become available.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0202 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0203 Validations

(a) Law enforcement and criminal justice agencies shall validate all record entries, with the exception of articles, made into the NCIC restricted and unrestricted files.

(b) Validation shall be accomplished by reviewing the original entry and current supporting documents. Stolen vehicle, stolen boat, wanted person, missing person, protection order, and sex offender file entries require consultation with any appropriate complainant, victim, prosecutor, court, motor vehicle registry files or other appropriate source or individual in addition to the review of the original file entry and supporting documents.

(d) Any records containing inaccurate data shall be modified and records which are no longer current or cannot be substantiated by a source document shall be removed from the NCIC.

(e) Any agency that does not properly validate its records shall have their records purged for that month by NCIC. An agency shall be notified of the record purge through an NCIC-generated message sent to the agency's main DCIN device. An agency may re-enter the cancelled records once the records have been validated.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0203 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0204 Hit Confirmation

(a) Any agency entering record information into the NCIC restricted and unrestricted files, or which has a servicing agency enter record information for its agency, shall provide hit confirmation 24 hours a day. Hit confirmation of NCIC records means that an agency receiving a positive NCIC response from an inquiry must communicate with the official record holder to confirm the following before taking a person or property into custody:

(1) the person or property inquired upon is the same as the person or property identified in the record;

(2) the warrant, missing person report, theft report, or protection order is still outstanding; or

(3) a decision regarding the extradition of a wanted person has been made; the return of a missing person to the appropriate authorities is still desired; the return of stolen property to its rightful owner is still desired; or the terms, conditions, or service of a protection order still exist.

(b) The official record holder must respond after receiving a hit confirmation request with the desired information or a notice of the amount of time necessary to confirm or reject the record.

(c) An agency that is the official record holder shall have 10 minutes to respond to a hit confirmation request with a priority level of "urgent." If the agency fails to respond after the initial request, the requesting agency shall send a second hit confirmation request to the official record holder. Any subsequent hit confirmation requests shall also be at 10-minute intervals.

(d) An agency shall have one hour to respond to a hit confirmation request with a priority level of "routine." If the agency fails to respond after the initial request, the requesting agency shall send a second hit confirmation request to the official record holder. Any subsequent hit confirmation requests shall also be at one-hour intervals.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0204 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0301 Arrest Fingerprint Card

(a) Fingerprint cards submitted in accordance with G.S. 15A-502 must contain the following information on the arrestee in order to be processed by the SBI or FBI:

(1) ORI number and address of arresting agency;

(2) complete name;

(3) date of birth;

(4) race;

(5) sex;

(6) date of arrest;

(7) criminal charges; and

(8) a set of fingerprint impressions and palm prints if the agency is capable of capturing palm prints.

(b) Any fingerprint cards physically received by the SBI that do not meet these requirements shall be returned to the submitting agency to be corrected and resubmitted. Any fingerprint cards that have been submitted electronically to the SBI that do not meet these standards shall not be accepted. The submitting agency shall receive electronic notification that the prints did not meet minimum standards through the agency's LiveScan device.

(c) The arrest and fingerprint information contained on the arrest fingerprint card shall be added to the North Carolina's CCH files, and electronically forwarded to the FBI's Interstate Identification Index (III) for processing.

(d) Criminal fingerprint cards shall be submitted in the following ways:

(1) electronically through the agency's LiveScan device to North Carolina's Statewide Automated Fingerprint Identification System (SAFIS); or

(2) mail addressed to:

North Carolina State Bureau of Investigation

Criminal Information and Identification Section

3320 Garner Road

Raleigh, North Carolina 27626

Attention: AFIS & Technical Search Unit

History

Authority G.S. 15A-502; 15A-1383
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0301 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0302 Final Disposition Information

(a) Final disposition information shall be submitted electronically to DCI by the Administrative Office of the Courts (AOC).

(b) The final disposition information shall be added to North Carolina's CCH files, and shall be electronically transmitted to the FBI's Interstate Identification Index (III).

(c) Any final disposition rejected by DCI shall be returned to the Clerk of Court in the county of the arresting agency for correction and resubmission.

History

Authority G.S. 15A-1381; 15A-1382; 15A-1383; 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0302 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0303 Incarceration information

(a) Incarceration information shall be electronically submitted to DCI by the North Carolina Department of Public Safety (DPS) on all subjects admitted to prison.

(b) The incarceration information shall be added to the North Carolina CCH files, and shall be electronically transmitted to the FBI's Interstate Identification Index (III).

History

Authority G.S. 15A-502; 15A-1383; 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0303 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0401 DISSEMINATION and Logging OF CHRI and NICS RECORDS

(a) Criminal history record information (CHRI) obtained from or through DCIN, NCIC, N-DEx, or Nlets shall not be disseminated to anyone outside of those agencies eligible under 14B NCAC 18A .0201(a) except as provided by Rules .0403, .0405, .0406, and .0409 of this Section. Any agency assigned a limited access ORI shall not obtain CHRI. Any agency requesting CHRI that has not received an ORI pursuant to 14B NCAC 18A .0201(a) shall be denied access and referred to the North Carolina CSO.

(b) CHRI is available to eligible agency personnel only on a "need-to-know" basis as defined in 12 NCAC 04H .0104.

(c) The use or dissemination of CHRI obtained through DCIN or N-DEx for unauthorized purposes is a violation of this Rule.

(d) CIIS shall maintain an automated log of CCH/CHRI/National Instant Criminal Background Check System (NICS) inquiries for a period of not less than one year from the date of inquiry. The automated log shall contain the following information as supplied by the user on the inquiry screen and shall be made available on-line to the inquiring agency;

(1) date of inquiry;

(2) name of record subject;

(3) state identification number (SID) or FBI number of the record subject;

(4) message key used to obtain information;

(5) purpose code;

(6) user's initials;

(7) (Attention field) name of person and agency requesting information who is the initial user of the record;

(8) (Attention 2 field) name of person and agency requesting information who is outside of the initial user agency. If there is not a second individual receiving the information, information indicating why the information is requested may be placed in this field; and

(9) if applicable, NICS Transaction Number (NTN) for NICS logs only.

(e) Criminal justice agencies making secondary disseminations of CCH, CHRI, N-DEx, or NICS information obtained through DCIN shall maintain a log of the dissemination in a case. This log must identify the name of the recipient and their agency.

(f) Each criminal justice agency obtaining CHRI through a DCIN device shall conduct an audit of their automated CCH log as provided by DCIN once every month for the previous month. The audit shall take place within 15 business days of the end of the month being reviewed. This audit shall include a review for unauthorized inquiries and disseminations, improper use of agency ORI's, agency names, and purpose codes. These logs must be maintained on file for one year from the date of the inquiry, and may be maintained electronically by the criminal justice agency. Any violation of CIIS rules must be reported by an agency representative to CIIS within 20 business days of the end of the month being reviewed. On those months that do not contain 20 business days, any violations of CIIS rules must be reported by an agency representative to CIIS by the first business day of the following month, at the latest. If an agency does not have a device connected to DCIN that can receive CHRI, this audit is not required.

(g) Each criminal justice agency obtaining information from NICS or N-DEx shall conduct the same monthly audit as those for CHRI logs. The audit shall take place within 15 business days of the end of the month being reviewed. This audit shall include a review for unauthorized inquiries or disseminations and improper use of purpose codes. These logs must be maintained on file for one year from the date of inquiry, and may be maintained electronically by the criminal justice agency. Any violation of CIIS rules must be reported by an agency representative to CIIS within 20 business days of the end of the month being reviewed. On those months that do not contain 20 business days, any violations of CIIS rules must be reported by an agency representative to CIIS by the first business day of the following month, at the latest.

(h) DCIN automated CCH logs, automated NICS logs, and any secondary dissemination logs shall be available for audit or inspection by the CSO or his designee as provided in 14B NCAC 18B .0801.

(i) Out of state agencies requesting a statewide criminal record check shall utilize NCIC.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0401 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0402 ACCESSING OF CCH records

Any accessing of or inquiry into CCH records must be made with an applicable purpose code. An "applicable purpose code" means a code that conveys the reason for which an inquiry is made.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0402 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0403 Use of Chri for Criminal Justice Employment

(a) Agencies must submit an applicant fingerprint card on each individual seeking criminal justice employment, and the card must contain the following information in order to be processed by DCI and FBI:

(1) complete name;

(2) date of birth;

(3) race;

(4) sex;

(5) position applied for;

(6) hiring agency; and

(7) a set of legible fingerprint impressions.

Any fingerprint cards that do not meet these requirements shall be returned by DCI to the submitting agency for correction and resubmitted.

(b) For sworn and telecommunicator positions the response and the fingerprint card shall be forwarded to the appropriate training and standards agency. For non-sworn positions, the response shall be returned to the submitting agency. DCI shall not maintain the cards or responses.

(c) Agencies may submit the information in Paragraph (a) of this Rule in an electronic method to CIIS for processing. Any fingerprints and associated information not meeting the requirements in Paragraph (a) of this Rule shall not be accepted. An electronic notification shall be sent by DCI to the submitting agency indicating the submitted information did not meet minimum requirements.

History

Authority G.S. 114-10; 114-10.1; 114-16; 114-19
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0403 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0404 Right to Review

(a) An individual may obtain a copy of his or her own criminal history record by submitting a written request to the North Carolina State Bureau of Investigation Criminal Information and Identification Section, Attention: Applicant Unit - Right to Review, 3320 Garner Road, Raleigh, North Carolina 27626. The written request must be accompanied by a certified check or money order in the amount of fourteen dollars ($14.00) payable to the North Carolina State Bureau of Investigation, and must contain proof of identity to include:

(1) complete name and address;

(2) race;

(3) sex;

(4) date of birth;

(5) social security number; and

(6) a legible set of fingerprint impressions.

(b) The response shall be submitted only to the individual. Copies of the response shall not be provided by DCI to a third party.

(c) The accuracy or completeness of an individual's record may be challenged by submitting the "Right to Review Request Criminal History Written Exception" form available from DCI.

(d) Upon receipt of the "Right to Review Request Criminal History Written Exception", the CIIS shall initiate an internal record audit of the challenger's record to determine its accuracy. If any potential inaccuracies or omissions are discovered, DCI shall coordinate with the arresting agency to review the charge information previously submitted by that agency. Appropriate action shall be taken based on, in part, information provide by the arresting agency. DCI shall inform the challenger in writing of the results of the audit.

(e) If the audit fails to disclose any inaccuracies, or if the challenger wishes to contest the results of the audit, he or she is entitled to an administrative hearing pursuant to G.S. 150B-23.

History

Authority G.S. 114-10; 114-10.1; 114-19.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0404 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0405 CCH use in LICENSING AND NON-CRIMINAL JUSTICE EMPLOYMENT PURPOSES

(a) Criminal justice agencies authorized under 12 NCAC 04H .0201 which issue licenses or approve non-criminal justice employment and want to use computerized criminal history information maintained by DCI for licensing, permit, and non-criminal justice employment purposes shall submit to CIIS a written request listing the types of licenses, permits, and employment for which they desire to use computerized criminal history information. A copy of the local ordinance or a reference to the North Carolina General Statute giving authority to issue a particular permit or license must be included in the written request.

(b) Authorization to use computerized criminal history information for licensing, permit, or employment purposes may be given only after the DCI and the North Carolina Attorney General's Office have evaluated and granted authorization based upon the authority of the North Carolina General Statutes or local ordinance pertaining to the issuance of that particular license or permit for employment.

(c) Once authorization has been given, DCI shall provide the agency an access agreement, which outlines the guidelines for information usage. The access agreement shall also include information on billing mechanisms. DCI shall bill the agency fourteen dollars ($14.00) for a check of North Carolina computerized criminal history files, and thirty-eight dollars ($38.00) for a search of both the North Carolina computerized criminal history files and a search of the FBI's Interstate Identification Index (III) files. DCI shall send an invoice to the requesting agency to collect these fees.

(d) The access agreement shall be signed by the requesting agency's head, and returned to DCI.

(e) The agency's terminal, if applicable, shall receive the capability to use the purpose code "E" in the purpose field of the North Carolina CCH inquiry screens for employment or licensing once the agency head has signed the access agreement and returned it to DCI. Once an agency has received this capability, it shall use the purpose code "E", the proper two character code, and the name of the person receiving the record. A log of all primary and any secondary dissemination must also be kept for one year on all responses received from this type of inquiry.

(f) Criminal justice agencies may also gain access by submission of non-criminal justice applicant fingerprint cards. Approval must be obtained pursuant to the procedure in Paragraph (a) of this Rule. One applicant fingerprint card must be submitted on each individual. The fingerprint card must contain the following information on the applicant in order to be processed by DCI and the FBI:

(1) complete name;

(2) date of birth;

(3) race;

(4) sex;

(5) reason fingerprinted to include the N.C.G.S. or local ordinance number;

(6) position applied for;

(7) the licensing or employing agency; and

(8) a set of legible fingerprint impressions.

DCI shall return the letter of fulfillment to the submitting agency indicating the existence or absence of a criminal record.

(g) Requests from non-criminal justice agencies or individuals to use criminal history information maintained by DCI for licensing and employment purposes shall be treated as a fee for service request pursuant to G.S. 114-19.1 or any other applicable statute. The process for approval for non-criminal justice agencies or individuals shall be the same process as in Paragraph (a) of this Rule.

(h) Upon being approved, the requesting agency shall submit its requests to the North Carolina State Bureau of Investigation, Criminal Information and Identification Section, Special Processing Unit, 3320 Garner Road, Raleigh, North Carolina 27626. Each request shall include a fee in the form of a certified cashier's check, money order, or direct billing of ten dollars ($10.00) for a name-only check, fourteen dollars ($14.00) for a state-only fingerprint based check, or thirty-eight dollars ($38.00) for a state and national fingerprint based check (if applicable).

(i) Criminal history record information accessible pursuant to this Rule shall be North Carolina criminal history record information, and FBI III information if permitted by statute.

History

Authority G.S. 114-10; 114-10.1; 114-19.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0405 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0406 Restrictive Use of Cch for Employment Purposes

(a) Use of computerized criminal history information maintained by the CIIS for licensing permits or non-criminal justice employment purposes shall be authorized only for those criminal justice and non-criminal justice agencies who have complied with Rule .0405 of this Section.

(b) The following requirements and restrictions are applicable to all agencies who have received approval to use computerized criminal history information for licensing, permits, or non-criminal justice employment purposes. Each such agency is responsible for their implementation:

(1) computerized criminal history information obtained shall not be used or disseminated for any other purpose;

(2) computerized criminal history information obtained shall not be released to or reviewed by anyone other than the agencies authorized by CIIS;

(3) the only data in the computerized criminal history files which may be used in an agency's determination of issuing or denying a license, permit or employment are those crimes stipulated in the referenced ordinance or statutory authority as grounds for disqualification. All criminal history arrest information held by CIIS shall be released regardless of disposition status. Each agency is responsible for reviewing each statutory authority and knowing what data may be used and what data shall not be used for grounds in denying or issuing a particular license or permit for employment;

(4) prior to denial of a license, permit, or employment due to data contained in a computerized criminal history record, a fingerprint card of the applicant shall be submitted to CIIS for verification that the record belongs to the applicant;

(5) if the information in the record is used to disqualify an applicant, the official making the determination of suitability for licensing or employment shall provide the applicant the opportunity to correct, complete, or challenge the accuracy of the information contained in the record. The applicant must be afforded a reasonable time to correct, complete or to decline to correct or complete the information. An applicant shall not be presumed to be guilty of any charge/arrest for which there is no final disposition stated on the record or otherwise determined. Applicants wishing to correct, complete or otherwise challenge a record must avail themselves of the procedure set forth in Rule .0404(c) of this Section.

(c) A "no-record" response on a computerized criminal history inquiry does not necessarily mean that the individual does not have a record. If the requesting agency desires a more complete check on an applicant, a fingerprint card of the applicant shall be submitted to DCI.

History

Authority G.S. 114-10; 114-10.1; 114-19.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0406 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0407 Research Use and Access of Cch Records

(a) Researchers who wish to use criminal justice information maintained by CIIS shall first submit to the North Carolina CJIS System Officer (CSO) a completed research design that guarantees protection of security and privacy. Authorization to use computerized criminal history records shall be given after the CSO has approved the research design.

(b) In making a determination to approve the submitted research design, the CSO must ensure that:

(1) an individual's right to privacy will not be violated by the research program;

(2) the program is calculated to prevent injury or embarrassment to any individual;

(3) the results outweigh any disadvantages that are created for the North Carolina criminal justice system if the research information is provided;

(4) the criminal justice community will benefit from the research and use; and

(5) the requestor is responsible for cost.

(c) For purposes of this Rule, a researcher is defined as a non-criminal justice or private agency or a criminal justice agency wishing to access criminal history data for a statistical purpose.

History

Authority G.S. 114-10; 114-10.1; 114-19.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0407 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0408 Limitation Requirements

Research designs must preserve the anonymity of all subjects. The following requirements are applicable to all such programs of research and each criminal justice agency or researcher is responsible for their implementation:

(1) Computerized criminal history records furnished for purposes of any program of research shall not be used to the detriment of the person(s) to whom such information relates.

(2) Criminal history records furnished for purposes of any program of research shall not be used for any other purpose; nor may such information be used for any program of research other than that authorized by the North Carolina CJIS System Officer (CSO).

(3) Each researcher or anyone having access to the computerized criminal history shall, prior to having such access, sign a Disclosure Agreement with the CSO incorporating the requirements of Rule 18A .0304 of this Chapter.

(4) The authorization for access to computerized criminal history records shall assure that the criminal justice agency and CIIS have rights to monitor the program of research to assure compliance with this Rule. Such monitoring rights include the right of CIIS staff to audit and review such monitoring activities and also to pursue their own monitoring activities.

(5) CIIS and the criminal justice agency involved may examine and verify the data generated as a result of the program, and, if a material error or omission is found to have occurred, may order the data not be released for any purpose unless corrected to the satisfaction of the agency and CIIS.

History

Authority G.S. 114-10; 114-10.1; 114-19.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0408 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0409 ACCESS to chri By Attorneys

(a) An attorney must have entered in to a proceeding in accordance with G.S. 15A-141 in order to access CHRI. The attorney may have access to the CHRI of only the defendant he or she is representing. The prosecuting District Attorney must approve the request.

(b) If, during a proceeding, an attorney desires CHRI of an individual involved in the proceeding other than the attorney's client, the attorney shall make a motion before the court indicating the desire for the CHRI.

(c) In order to maintain compliance with state and federal requirements an attorney shall disclose the purpose for any request of CHRI.

(d) CIIS shall provide a form to be utilized by any DCIN user when fulfilling a request for CHRI by an attorney. This form shall help ensure compliance with state and federal rules regarding access to and dissemination of CHRI.

(e) The attorney must fill out all applicable fields of the form and return it to the DCIN user to process the request. The attorney shall provide:

(1) the client's name;

(2) docket number for the matter;

(3) prosecutorial district in which the matter is being tried; and

(4) the next date on which the matter is being heard.

(f) The attorney may submit requests for CHRI only within the prosecutorial district of the District Attorney that is prosecuting the defendant(s). If a change of venue has been granted during a proceeding, this Rule still applies, and the attorney must still seek the CHRI from the prosecutorial district within which the proceeding originated.

(g) Records of requests and dissemination to attorneys must be kept by the disseminating agency for a period of one year.

(h) Requests for North Carolina-only CHRI may be notarized in lieu of approval from the District Attorney.

History

Authority G.S. 114-10; 114-10.1; 15A-141
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0409 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0410 ACCESS to chri in civil proceedings

(a) Access to CHRI is permitted in civil domestic violence and civil stalking proceedings.

(b) Access to and dissemination of CHRI for civil proceedings in this Rule shall be done in accordance with Rules .0401 and .0402 of this Section.

(d) Civil courts may be issued an Originating Agency Identifier (ORI) for the purposes of this Rule. The ORI issuance must be approved by the FBI and North Carolina's CJIS System Officer (CSO).

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0410 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0501 Expungements

Upon the receipt of a valid court ordered expungement, CIIS shall expunge the appropriate CHRI as directed by the court order. An electronic notification regarding the expungement shall be sent to the FBI for processing and all agencies that have inquired on the record within the past 90 days shall be advised of the court order.

History

Authority G.S. 15A-145; 15A-146; 90-96; 90-113.14; 114.10; 114-10.1; 150B-19(5)b.,e.
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0501 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0601 Statewide AUTOMATED FINGERPRINT IDENTIFICATION SYSTEM

(a) Agencies which meet the requirements of 14B NCAC 18A .0201(a) may access the North Carolina Statewide Automated Fingerprint Identification System for criminal justice purposes.

(b) The acronym used for the Statewide Automated Fingerprint Identification System shall be SAFIS.

History

Authority G.S. 15A-502; 114-10; 114-10.1; 114-16
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0601 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0602 Available Data

(a) The following data is available through SAFIS and may be used to make comparisons and obtain CCH data:

(1) fingerprint images; and

(2) state identification number.

(b) When the state identification number is used to obtain CCH data, dissemination requirements outlined in Rule .0401 of this Subchapter must be followed.

History

Authority G.S. 15A-502; 114-10; 114-10.1; 114-16
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0602 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0603 fingerprinting of convicted sex offenders

(a) Fingerprints submitted in accordance with G.S. 14-208.7 must contain the following information on the convicted sex offender in order to be processed by the SBI:

(1) ORI number;

(2) complete name;

(3) date of birth;

(4) race;

(5) sex;

(6) sex offender registration number (SRN); and

(8) a set of fingerprint impressions and palm prints if the agency is capable of capturing palm prints.

Submissions shall be made through the registering agency's LiveScan device.

(b) Fingerprints submitted to CIIS that do not contain all of the items in Paragraph (a) of this Rule shall not be accepted.

History

Authority G.S. 114-10
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0603 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0701 DISSEMINATION of Division of motor vehciles INFORMATION

(a) DMV information obtained from or through DCIN shall not be disseminated to anyone outside those agencies eligible under 14B NCAC 18A .0201(a) unless obtained for the following purposes:

(1) in the decision of issuing permits or licenses if statutory authority stipulates the non-issuance or denial of a permit or license to an individual who is a habitual violator of traffic laws or who has committed certain traffic offenses and those licensing purposes have been authorized by CIIS and the Attorney General's Office;

(2) by governmental agencies to evaluate prospective or current employees for positions involving the operation of publicly owned vehicles; or

(3) by a defendant's attorney of record in accordance with G.S. 15A-141.

(b) Each agency disseminating driver history information to a non-criminal justice agency for any of the purposes listed in Paragraph (a) shall maintain a log of dissemination for one year containing the following information:

(1) date of inquiry for obtaining driver's history;

(2) name of terminal operator;

(3) name of record subject;

(4) driver's license number;

(5) name of individual and agency requesting or receiving information; and

(6) purpose of inquiry.

(c) Driver history information obtained from or through DCIN shall not be released to the individual named in the record. An individual seeking his or her own driver history information shall be instructed to contact DMV.

(d) DMV information obtained for any purpose listed in Paragraph (a) of this Rule shall be used for only that purpose and shall not be redisseminated or released for any other purpose.

(e) Nothing in this Rule shall prevent an attorney from discussing the contents of driver history information with the individual named in the record if the attorney is representing the individual in accordance with G.S. 15A-141.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0701 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18B .0801 Audits

(a) CIIS shall biennially audit criminal justice information entered, modified, cancelled, cleared and disseminated by DCIN users. Agencies subject to audit include all agencies that have direct or indirect access to information obtained through DCIN.

(b) CIIS shall send designated representatives to selected law enforcement and criminal justice agency sites to audit:

(1) criminal history usage and dissemination logs;

(2) NICS usage and dissemination logs;

(3) driver history dissemination logs;

(4) security safeguards and procedures adopted for the filing, storage, dissemination, or destruction of criminal history records;

(5) physical security of DCIN devices in accordance with the current FBI CJIS Security Policy;

(6) documentation establishing the accuracy, validity, and timeliness of the entry of records entered into NCIC wanted person, missing person, property, protection order, and DCIN and NCIC sex offender files;

(7) the technical security of devices and computer networks connected to DCIN in accordance with the current FBI CJIS Security Policy;

(8) user certification, status, and background screening;

(9) user agreements between the agency and North Carolina's CSA;

(10) servicing agreements between agencies with DCIN devices and agencies without DCIN devices (when applicable);

(11) use of private contractors or governmental information technology professionals for information technology support along with the proper training and screening of those personnel; and

(12) control agreements between agencies and entities providing information technology support (when applicable).

(c) The audits shall be conducted to ensure that the agencies are complying with state and federal regulations, as well as federal and state statutes on security and privacy of criminal history record information.

(d) CIIS shall provide notice to the audited agency as to the findings of the audit. If discrepancies or deficiencies are discovered during the audit they shall be noted in the findings along with possible sanctions for any deficiencies or rule violations.

(e) If applicable, CIIS shall also biennially audit agencies' N-DEx access and usage. CIIS shall audit:

(1) network security;

(2) N-DEx transactions performed by agency personnel; and

(3) user certification and status

(f) Audits of N-DEx usage shall occur concurrently with an agency's DCIN audit, and shall ensure compliance with state and federal regulations on security and privacy of criminal justice information contained within N-DEx.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04I .0801 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

Subchapter C

14B NCAC 18C .0101 Definitions

As used in this Subchapter:

(1) "Revocation of certification" means a DCIN user's certification is canceled for a period not to exceed one year. At the end of the revocation period the user must attend the DCIN Module 1 certification class. Notification of the revocation shall be sent by DCI via certified mail to the DCIN user and the user's agency head.

(2) "Suspension of certification" means a DCIN user is prohibited from operating a DCIN device for a period not to exceed 90 days. Notification of the suspension shall be sent by DCI via certified mail to the DCIN user's agency head and to the DCIN user. The agency shall be audited within 90 days of reinstatement of a user's certification.

(3) "Suspension of services" means an agency's direct access to DCIN is suspended for a period not to exceed two weeks after the North Carolina CSO's finding of fault, and the agency head must then appear before the CSO to respond to the cited violation. This suspension may be limited to certain files or may include a complete suspension of services, depending on the administrative procedure violated. The agency is subject to a re-audit after 90 days of reinstatement. Further violations of the same regulation, within two years from the date of the suspension, or failure to appear before the CSO to respond to the cited violation is grounds to cancel the user agreement with the agency.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04J .0101 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18C .0102 Sanctions for Violations by Individuals

When any certified DCIN user is found to have knowingly and willfully violated any provision of these Rules, DCI may take action to correct the violation and to ensure the violation does not re-occur, to include, but not limited to, the following:

(1) issuing an oral warning and a request for compliance;

(2) issuing a written warning and a request for compliance;

(3) suspending the DCIN user's certification; or

(4) revoking the DCIN user's certification.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04J .0102 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18C .0103 Sanctions for Violations by Agencies

When any agency who has entered in to an agreement in accordance with 14B NCAC 18A .0301 is found to have knowingly and willfully violated any provision of these Rules, DCI may take action to correct the violation and to ensure the violation does not re-occur, to include, but not limited to, the following:

(1) issuing an oral warning and a request for compliance;

(2) issuing a written warning and a request for compliance; or

(3) suspending services to the violating agency.

History

Authority G.S. 114-10; 114-10.1
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04J .0103 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18C .0201 Notice of Violation

DCI shall send a written notice via certified mail to the offending agency or employee when DCI has determined that a violation of a DCI rule has occurred. The notice shall inform the party of appeal rights and shall also contain the citation of the rule alleged to have been violated.

History

Authority G.S. 114-10; 114-10.1; 150B-3(b); 150B-23(f)
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04J .0201 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

14B NCAC 18C .0301 Informal Procedure

(a) In accordance with G.S. 150B-22 any agency or DCIN user may request a hearing before the North Carolina CSO within 30 days after receipt of written notification from DCI of an adverse action. A request for a hearing shall be made by certified mail to the North Carolina State Bureau of Investigation Division of Criminal Information, Post Office Box 29500, Raleigh, North Carolina 27626.

(b) Upon receipt of a request for an informal hearing, the CSO shall conduct a hearing and consider the positions of the parties. The CSO shall notify the parties of his or her decision within two weeks following the informal hearing and provide information to the parties of their further appeal rights in accordance with G.S. 150B-23.

History

Authority G.S. 114-10; 114-10.1; 150B-3(b); 150B-22; 150B-23(f).
Eff. August 1, 2014
Transferred and Recodified from 12 NCAC 04J .0301 Eff. November 1, 2015
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. October 4, 2016.

Chapter 19 Statewide Sexual Assault Evidence Collection Kit Tracking System

Subchapter A

14B NCAC 19A .0101 Scope

The rules in this Chapter are applicable to persons or entities in the State that have custody of any sexual assault evidence collection kits, including medical service providers, law enforcement agencies, forensic laboratories, and the Department of Public Safety Law Enforcement Support Services.

History

Authority G.S. 114-65
Eff. April 1, 2021.

14B NCAC 19A .0102 Definitions

As used in this Chapter:

(1) "Covered entity" means an agency, medical facility, or medical professional, person, or entity subject to the System tracking requirements.

(2) "Director" means the Director of the North Carolina State Crime Laboratory.

(3) "Forensic laboratory" means a person, agency, or department that takes custody of a sexual assault evidence collection kit for purposes of conducting forensic testing.

(4) "Forensic medical examination" means an examination provided to a sexual assault victim by medical personnel trained to gather evidence of a sexual assault in a manner suitable for use in a court of law and includes collection and evaluation of physical evidence.

(5) "Kit" or "sexual assault evidence collection kit" means a prepared kit used to conduct a forensic medical examination.

(6) "Law enforcement agency" means any police department, sheriff's office, campus police department, or any other person, agency, or department investigating a reported sexual assault for which a sexual assault evidence collection kit has been utilized by a medical service provider or that is taking possession of or storing an unreported or anonymous sexual assault evidence collection kit.

(7) "Medical service provider" means a medical facility or medical professional in the State who administers a forensic medical examination using a sexual assault evidence collection kit.

(8) "Previously untested kit" means a sexual assault evidence collection kit used in a forensic medical examination that has not undergone forensic testing and was identified and included in the 2017 Statewide inventory.

(9) "Statewide System Administrator" means an employee of the North Carolina State Crime Laboratory who has responsibility for the overall administrative functions of the System, including providing assistance to covered entities, training all covered entities, making corrections in the system, and generating data reports for the Director's annual tracking report to the Joint Legislative Oversight Committee on Justice and Public Safety.

(10) "System" means Sexual Assault Evidence Collection Kit Tracking and Inventory Management System (STIMS).

(11) "System guidelines" means the guidelines published by the Director of the North Carolina State Crime Laboratory for use by covered entities.

History

Authority G.S. 114-65; 143B-1200
Eff. April 1, 2021.

14B NCAC 19A .0103 Statewide System Administrator Designation

(a) The System shall be administered by the Statewide System Administrator.

(b) The Statewide System Administrator shall:

(1) grant System access to each covered entity;

(2) provide training on the System and technical assistance to all local administrators; and

(3) keep a log of all notifications for entities out of compliance with the rules of this Chapter.

History

Authority G.S. 114-65
Eff. April 1, 2021.

14B NCAC 19A .0104 Covered Entity System Access; Local Administrators

(a) Each covered entity shall access the System and require that its users are trained to enter kit information data in the System.

(b) Each covered entity shall designate a local administrator, who shall provide his or her contact information to the Statewide System Administrator in writing, by mail, hand delivery, or email. The address for the State System Administrator is the State Crime Lab, 121 East Tryon Road, Raleigh, NC 27603. If a covered entity changes its local administrator or contact information for its local administrator, the covered entity shall update the System administrative information and provide written notice of the change to the Statewide System Administrator within 10 business days.

(c) The local administrator shall report any issues requiring technical support to the Statewide System Administrator within two business days at NCSTIMS@ncdoj.gov.

History

Authority G.S. 114-65
Eff. April 1, 2021.

Subchapter B

14B NCAC 19B .0101 System Compatibility for Kits

Any State or local government agency responsible for the production of kits to be used in this State shall produce kits that are compatible with the System. A government agency that contracts for kit production by a vendor shall ensure that the vendor is contractually obligated to meet this requirement.

History

Authority G.S. 114-65; 143B-1201
Eff. April 1, 2021.

14B NCAC 19B .0102 Medical Service Providers

(a) Medical service providers shall:

(1) In the System, receive all kits used for the collection of physical evidence during forensic medical examinations from the kit vendor;

(2) make all required data entries in accordance with System guidelines; and

(3) track all kit transfers from the provider to a law enforcement agency or to Law Enforcement Support Services (LESS) in the System.

(b) Prior to using any kit that does not already have a tracking number, the medical service provider shall affix a

tracking label received from the Statewide System Administrator.

(c) The medical service provider shall inform the victim of the North Carolina Department of Justice Sexual Assault Kit Tracking Web Portal found at https://www.sexualassaultkittracking.ncdoj.gov/SexualAssaultKitTracking/ and provide the victim with the kit tracking number to view kit tracking and testing information.

History

Authority G.S. 114-65
Eff. April 1, 2021.

14B NCAC 19B .0103 Law Enforcement Agencies

(a) Each law enforcement agency in the State shall comply with System guidelines to track the:

(1) receipt of kits by the law enforcement agency from medical service providers or Law Enforcement Support Services (LESS);

(2) transfer of kits from the law enforcement agency to forensic laboratories; and

(3) transfer of kits from forensic laboratories back to the law enforcement agency.

Each law enforcement agency shall enter all data in accordance with System guidelines and keep the data updated as the investigation of the incident evolves.

(b) When a law enforcement agency submits a kit to any private vendor laboratory or any public laboratory outside of North Carolina for forensic testing, the law enforcement agency shall coordinate with that forensic laboratory to ensure that entries for the tracking of the kit are made in the System, in accordance with System guidelines.

(c) Each law enforcement agency that receives into its custody a kit that does not already have an assigned tracking number shall affix a tracking label received from the Statewide System Administrator.

(d) Each law enforcement agency shall enter all data from each previously untested kit in its custody into the North Carolina SAKI online data collection tool. Kits entered in the collection tool will be placed into STIMS by the Statewide System Administrator to make them trackable. Each law enforcement agency shall send an e-mail to NCSAKI@ncdoj.gov to gain access to the online data collection tool.

History

Authority G.S. 114-65
Eff. April 1, 2021.

14B NCAC 19B .0104 Law Enforcement Support Services

Law Enforcement Support Services shall:

(1) confirm all kits held or received into its custody have tracking labels;

(2) enter tracking data in accordance with System guidelines; and

(3) track the subsequent transfer of any kit to a law enforcement agency in the System.

History

Authority G.S. 114-65
Eff. April 1, 2021.

14B NCAC 19B .0105 Forensic Laboratories

(a) Any forensic laboratory in this State that takes custody of a kit for purposes of conducting forensic testing shall:

(1) Enter the transfer and receipt of the kit in the tracking System in accordance with System guidelines;

(2) Enter all data on the examination in accordance with System guidelines; and

(3) Enter the transfer of the kit back to the submitting law enforcement agency in the tracking System in accordance with System guidelines.

(b) Any forensic laboratory in this State that receives into its custody a kit that does not already have tracking label shall affix a tracking label to the kit received from the Statewide System Administrator.

(c) North Carolina law enforcement agencies that submit kits to private vendor laboratories or public laboratories outside of this State for purposes of conducting forensic testing shall coordinate with those laboratories to ensure that entries for the tracking of the kit are made in the System in accordance with System guidelines.

History

Authority G.S. 114-65
Eff. April 1, 2021.

14B NCAC 19B .0106 Previously Untested Kits

(a) Each covered entity's local administrator shall contact the Statewide System Administrator to obtain tracking labels designated for previously untested kits.

(b) Covered entities shall comply with System guidelines for submitting data to be used by the Statewide System Administrator to enter previously untested kits in their custody in the tracking System.

History

Authority G.S. 114-65
Eff. April 1, 2021.

Subchapter C

14B NCAC 19C .0101 Deficiency Correction and Sanctions

(a) The Statewide System Administrator shall give written or oral notice to any covered entity out of compliance

with the rules of this Chapter. The notice shall include:

(1) identification of the deficiency; and

(2) notice that the deficiency must be corrected within 10 business days following notification.

(b) If a covered entity fails to correct the deficiency within 10 business days following notification, the Statewide System Administrator shall give written notice by mail, hand delivery, or email to the covered entity and such notice shall include:

(1) identification of the deficiency; and

(2) notice that the failure to resolve the identified deficiency within 10 business days following notification may result in the covered entity being listed in the Director's annual tracking report to the Joint Legislative Oversight Committee on Justice and Public Safety.

(c) The Statewide System Administrator shall keep a log of all notifications for entities out of compliance with the rules of this Chapter.

History

Authority G.S. 114-65
Eff. April 1, 2021.

Earlier captured publisher text

The following text is retained from an earlier capture. Its inclusion does not determine its current legal effect.

Earlier captured 14B NCAC 03 .0404 {#publisher-history-978db9ddb298b269793b-1000000 omnilex-key=us-nc-regs-official--title-14b--14B NCAC 03 .0404--publisher-history-978db9ddb298b269793b}

All search and rescue system resources shall operate in accordance with the following standards of response:

(2) following all direction from NCEM personnel acting pursuant to G.S. 166A-19.12(1) when deploying as a system resource;

History

Authority G.S. 166A-66
Eff. April 1, 2023.

Earlier captured 14B NCAC 03 .0405 {#publisher-history-134633cedf0923cd8e18-1000001 omnilex-key=us-nc-regs-official--title-14b--14B NCAC 03 .0405--publisher-history-134633cedf0923cd8e18}

(a) Contract Response Teams and Specialty Rescue Teams shall maintain the following personnel records and have them available for audit:

(1) responder medical history;

(2) emergency contact information;

(3) current pay and benefit rates, including overtime rates; and

(4) policies for overtime pay if deploying paid persons.

(b) System personnel shall be in an on-duty status as an emergency management worker as defined in G.S. 166A-19.60(e) during all training and responses.

(d) System resources shall maintain all system personnel training, certification, and credentials as outlined in Rule .0409 in this Section.

(e) System resources shall maintain all inventory and maintenance records for deployable equipment.

(f) Resource records shall be available for review by NCEM officials to ensure compliance.

History

Authority G.S. 166A-19.60; 166A-66
Eff. April 1, 2023.

Earlier captured 14B NCAC 03 .0408 {#publisher-history-e7da088e806ab498364d-1000002 omnilex-key=us-nc-regs-official--title-14b--14B NCAC 03 .0408--publisher-history-e7da088e806ab498364d}

(a) Bidding agencies shall:

(3) provide a plan for the bidding entity to maintain the required number of personnel trained per Rule .0409 of this Section; and

(4) ensure all participating members possess the qualifications as outlined in Rule .0409 of this Section.

(b) Bids shall be evaluated on:

(1) geographic location of team base;

(2) ability to maintain required number of trained personnel to ensure response readiness;

(3) ability to maintain and care for any system provided equipment;

(4) availability of local equipment to support response activities;

(5) availability to maintain dedicated administrative staff to ensure management of administrative duties, training, and logistical requirements; and

History

Authority G.S. 166A-66; 166A-67
Eff. April 1, 2023.

Earlier captured 14B NCAC 03 .0409 {#publisher-history-e994d7081cf00c3a47d2-1000003 omnilex-key=us-nc-regs-official--title-14b--14B NCAC 03 .0409--publisher-history-e994d7081cf00c3a47d2}