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This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 NORTH CAROLINA REGISTER VOLUME 25 ● ISSUE 09 ● Pages 1054 - 1159 November 1, 2010 I. EXECUTIVE ORDERS Executive Order No. 65 ...................................................................................... 1054 – 1056 Executive Order No. 66 ...................................................................................... 1057 – 1058 Executive Order No. 67 ...................................................................................... 1059 Executive Order No. 68 ...................................................................................... 1060 – 1062 Executive Order No. 69 ...................................................................................... 1063 – 1065 II. IN ADDITION DENR-Public Notice of Extended Comment Period .......................................... 1066 DENR-Div. of Water Quality Public Notice ...................................................... 1067 III. PROPOSED RULES Cultural Resources, Department of Department ...................................................................................................... 1068 – 1101 Environment and Natural Resources, Department of Wildlife Resources Commission ..................................................................... 1102 – 1103 Insurance, Department of Insurance, Commissioner of............................................................................ 1101 – 1102 Occupational Licensing Boards and Commissions Nursing, Board of ............................................................................................ 1103 – 1104 Substance Abuse Professional Practice Board ................................................ 1104 – 1113 State Ethics Commission State Ethics Commission ................................................................................ 1113 – 1119 IV. APPROVED RULES ........................................................................................ 1120 – 1147 Administrative Hearings, Office of Office of Administrative Hearings Health and Human Services, Department of Medical Care Commission Public Health, Commission for Insurance, Department of Home Inspector Licensure Board Insurance, Commissioner of Justice, Department of Private Protective Services Board Occupational Licensing Boards and Commissions Funeral Service, Board of Pharmacy, Board of V. RULES REVIEW COMMISSION ................................................................. 1148 – 1154 VI. CONTESTED CASE DECISIONS Index to ALJ Decisions ...................................................................................... 1155 – 1159 This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 Contact List for Rulemaking Questions or Concerns For questions or concerns regarding the Administrative Procedure Act or any of its components, consult with the agencies below. The bolded headings are typical issues which the given agency can address, but are not inclusive. Rule Notices, Filings, Register, Deadlines, Copies of Proposed Rules, etc. Office of Administrative Hearings Rules Division 1711 New Hope Church Road (919) 431-3000 Raleigh, North Carolina 27609 (919) 431-3104 FAX contact: Molly Masich, Codifier of Rules molly.masich@oah.nc.gov (919) 431-3071 Dana Vojtko, Publications Coordinator dana.vojtko@oah.nc.gov (919) 431-3075 Julie Edwards, Editorial Assistant julie.edwards@oah.nc.gov (919) 431-3073 Tammara Chalmers, Editorial Assistant tammara.chalmers@oah.nc.gov (919) 431-3083 Rule Review and Legal Issues Rules Review Commission 1711 New Hope Church Road (919) 431-3000 Raleigh, North Carolina 27609 (919) 431-3104 FAX contact: Joe DeLuca Jr., Commission Counsel joe.deluca@oah.nc.gov (919) 431-3081 Bobby Bryan, Commission Counsel bobby.bryan@oah.nc.gov (919) 431-3079 Fiscal Notes & Economic Analysis Office of State Budget and Management 116 West Jones Street (919) 807-4700 Raleigh, North Carolina 27603-8005 (919) 733-0640 FAX Contact: Anca Grozav, Economic Analyst osbmruleanalysis@osbm.nc.gov (919) 807-4740 NC Association of County Commissioners 215 North Dawson Street (919) 715-2893 Raleigh, North Carolina 27603 contact: Jim Blackburn jim.blackburn@ncacc.org Rebecca Troutman rebecca.troutman@ncacc.org NC League of Municipalities (919) 715-4000 215 North Dawson Street Raleigh, North Carolina 27603 contact: Erin L. Wynia ewynia@nclm.org Governor’s Review Edwin M. Speas, Jr. edwin.speas@nc.gov General Counsel to the Governor (919) 733-5811 116 West Jones Street 20301 Mail Service Center Raleigh, North Carolina 27699-0301 Legislative Process Concerning Rule-making Joint Legislative Administrative Procedure Oversight Committee 545 Legislative Office Building 300 North Salisbury Street (919) 733-2578 Raleigh, North Carolina 27611 (919) 715-5460 FAX contact: Karen Cochrane-Brown, Staff Attorney Karen.cochrane-brown@ncleg.net Jeff Hudson, Staff Attorney Jeffrey.hudson@ncleg.net This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 NORTH CAROLINA REGISTER Publication Schedule for January 2010 – December 2010 FILING DEADLINES NOTICE OF TEXT PERMANENT RULE TEMPORARY RULES Volume & issue number Issue date Last day for filing Earliest date for public hearing End of required comment period Deadline to submit to RRC for review at next meeting Earliest Eff. Date of Permanent Rule Delayed Eff. Date of Permanent Rule 31st legislative day of the session beginning: 270th day from publication in the Register 24:13 01/04/10 12/09/09 01/19/10 03/05/10 03/22/10 05/01/10 05/12/10 10/01/10 24:14 01/15/10 12/22/09 01/30/10 03/16/10 03/22/10 05/01/10 05/12/10 10/12/10 24:15 02/01/10 01/08/10 02/16/10 04/05/10 04/20/10 06/01/10 01/26/11 10/29/10 24:16 02/15/10 01/25/10 03/02/10 04/16/10 04/20/10 06/01/10 01/26/11 11/12/10 24:17 03/01/10 02/08/10 03/16/10 04/30/10 05/20/10 07/01/10 01/26/11 11/26109 24:18 03/15/10 02/22/10 03/30/10 05/14/10 05/20/10 07/01/10 01/26/11 12/10/10 24:19 04/01/10 03/11/10 04/16/10 06/01/10 06/21/10 08/01/10 01/26/11 12/27/10 24:20 04/15/10 03/24/10 04/30/10 06/14/10 06/21/10 08/01/10 01/26/11 01/10/11 24:21 05/03/10 04/12/10 05/18/10 07/02/10 07/20/10 09/01/10 01/26/11 01/28/11 24:22 05/17/10 04/26/10 06/01/10 07/16/10 07/20/10 09/01/10 01/26/11 02/11/11 24:23 06/01/10 05/10/10 06/16/10 08/02/10 08/20/10 10/01/10 01/26/11 02/26/11 24:24 06/15/10 05/24/10 06/30/10 08/16/10 08/20/10 10/01/10 01/26/11 03/12/11 25:01 07/01/10 06/10/10 07/16/10 08/30/10 09/20/10 11/01/10 01/26/11 03/28/11 25:02 07/15/10 06/23/10 07/30/10 09/13/10 09/20/10 11/01/10 01/26/11 04/11/11 25:03 08/02/10 07/12/10 08/17/10 10/01/10 10/20/10 12/01/10 01/26/11 04/29/11 25:04 08/16/10 07/26/10 08/31/10 10/15/10 10/20/10 12/01/10 01/26/11 05/13/11 25:05 09/01/10 08/11/10 09/16/10 11/01/10 11/22/10 01/01/11 01/26/11 05/29/11 25:06 09/15/10 08/24/10 09/30/10 11/15/10 11/22/10 01/01/11 01/26/11 06/12/11 25:07 10/01/10 09/10/10 10/16/10 11/30/10 12/20/10 02/01/11 05/2012 06/28/11 25:08 10/15/10 09/24/10 10/30/10 12/14/10 12/20/10 02/01/11 05/2012 07/12/11 25:09 11/01/10 10/11/10 11/16/10 01/03/11 01/20/11 03/01/11 05/2012 07/29/11 25:10 11/15/10 10/22/10 11/30/10 01/14/11 01/20/11 03/01/11 05/2012 08/12/11 25:11 12/01/10 11/05/10 12/16/10 01/31/11 02/21/11 04/01/11 05/2012 08/28/11 25:12 12/15/10 11/22/10 12/30/10 02/14/11 02/21/11 04/01/11 05/2012 09/11/11 This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 EXPLANATION OF THE PUBLICATION SCHEDULE This Publication Schedule is prepared by the Office of Administrative Hearings as a public service and the computation of time periods are not to be deemed binding or controlling. Time is computed according to 26 NCAC 2C .0302 and the Rules of Civil Procedure, Rule 6. GENERAL The North Carolina Register shall be published twice a month and contains the following information submitted for publication by a state agency: (1) temporary rules; (2) notices of rule-making proceedings; (3) text of proposed rules; (4) text of permanent rules approved by the Rules Review Commission; (5) notices of receipt of a petition for municipal incorporation, as required by G.S. 120-165; (6) Executive Orders of the Governor; (7) final decision letters from the U.S. Attorney General concerning changes in laws affecting voting in a jurisdiction subject of Section 5 of the Voting Rights Act of 1965, as required by G.S. 120-30.9H; (8) orders of the Tax Review Board issued under G.S. 105-241.2; and (9) other information the Codifier of Rules determines to be helpful to the public. COMPUTING TIME: In computing time in the schedule, the day of publication of the North Carolina Register is not included. The last day of the period so computed is included, unless it is a Saturday, Sunday, or State holiday, in which event the period runs until the preceding day which is not a Saturday, Sunday, or State holiday. FILING DEADLINES ISSUE DATE: The Register is published on the first and fifteen of each month if the first or fifteenth of the month is not a Saturday, Sunday, or State holiday for employees mandated by the State Personnel Commission. If the first or fifteenth of any month is a Saturday, Sunday, or a holiday for State employees, the North Carolina Register issue for that day will be published on the day of that month after the first or fifteenth that is not a Saturday, Sunday, or holiday for State employees. LAST DAY FOR FILING: The last day for filing for any issue is 15 days before the issue date excluding Saturdays, Sundays, and holidays for State employees. NOTICE OF TEXT EARLIEST DATE FOR PUBLIC HEARING: The hearing date shall be at least 15 days after the date a notice of the hearing is published. END OF REQUIRED COMMENT PERIOD An agency shall accept comments on the text of a proposed rule for at least 60 days after the text is published or until the date of any public hearings held on the proposed rule, whichever is longer. DEADLINE TO SUBMIT TO THE RULES REVIEW COMMISSION: The Commission shall review a rule submitted to it on or before the twentieth of a month by the last day of the next month. FIRST LEGISLATIVE DAY OF THE NEXT REGULAR SESSION OF THE GENERAL ASSEMBLY: This date is the first legislative day of the next regular session of the General Assembly following approval of the rule by the Rules Review Commission. See G.S. 150B- 21.3, Effective date of rules. EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1054 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1055 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1056 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1057 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1058 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1059 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1060 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1061 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1062 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1063 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1064 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1065 IN ADDITION 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1066 DEPARTMENT OF ENVIRONMENTAL AND NATURAL RESOURCES DIVISION OF WASTE MANAGEMENT NOTICE OF EXTENDED COMMENT PERIOD Notice is hereby given that the end of the comment period for the proposed rules 15A NCAC 13B .0101, .0563, .1604, .1626, .1632- .1635, .1637 originally published in the N.C. Register on August 16, 2010 in Volume 25 Issue 4 Page 465 and previously extended until November 1, 2010 will now be extended until January 31, 2011. Procedure by which a person can object to the agency on a proposed rule: Persons may submit written objections to the proposed rule by contacting: Ellen Lorscheider, DENR Division of Waste Management, Solid Waste Section, 1646 Mail Service Center, Raleigh, NC 27699-1646, fax (919)733-4810; or email ellen.lorscheider@ncdenr.gov. Comments may be submitted to: Ellen Lorscheider, Planning and Programs Branch Head, 1646 Mail Service Center, Raleigh, NC 27699-1646, phone (919)508-8400, fax (919)733-4810, email ellen.lorscheider@ncdenr.gov IN ADDITION 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1067 PUBLIC NOTICE DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES DIVISION OF WATER QUALITY The Division of Water Quality received a petition to establish interim maximum allowable concentrations in groundwater for Acetochlor, Acetochlor ESA, Acetochlor OXA, Methyl Isobutyl Ketone, Perchlorate and Perchlorate Salts. These IMACs will aid DENR programs in assessing conditions and setting health protective groundwater levels at regulated sites. In accordance with 15A NCAC 02L .0202 (c), the following interim maximum allowable concentrations are hereby established for Class GA and GSA groundwaters, effective December 1, 2010. Substance Concentration Acetochlor 100 ug/L Acetochlor ESA 1000 ug/L Acetochlor OXA 1000 ug/L Methyl Isobutyl Ketone 100 ug/L Perchlorate and Perchlorate Salts 2 ug/L Action to adopt permanent standards for these substances will be initiated during the 2010-2012 groundwater standard triennial review. For more information or questions, please contact Sandra Moore at Sandra.moore@ncdenr.gov or 919-807-6417 or visit our web site at http://portal.ncdenr.org/web/wq/ps/csu. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1068 Note from the Codifier: The notices published in this Section of the NC Register include the text of proposed rules. The agency must accept comments on the proposed rule(s) for at least 60 days from the publication date, or until the public hearing, or a later date if specified in the notice by the agency. If the agency adopts a rule that differs substantially from a prior published notice, the agency must publish the text of the proposed different rule and accept comment on the proposed different rule for 60 days. Statutory reference: G.S. 150B-21.2. TITLE 07 – DEPARTMENT OF CULTURAL RESOURCES Notice is hereby given in accordance with G.S. 150B-21.2 that the Department of Cultural Resources intends to adopt the rules cited as 07 NCAC 02G .0101-.0102, 02H .0101-.0106, .0201- .0203, .0301-.0307, 02I .0101, .0201-.0202, .0301-.0308, 02J .0101-.0103 and repeal the rules cited as 07 NCAC 02A .0101- .0102, .0201, 02B .0101-.0102, .0201, .0203, 02C .0101-.0105, .0201-.0202, .0204-.0205, .0301-.0302, .0501-.0504, 02D .0101- .0115, .0301-.0307, 02E .0101, .0201-.0208, .0301-.0302, .0304, .0401-.0403, 02F .0101-.0103. Proposed Effective Date: April 1, 2011 Public Hearing: Date: January 24, 2011 Time: 1:00 p.m. Location: Archives and History/State Library Building, 109 E. Jones Street, Raleigh, NC 3rd floor Conference Room Reason for Proposed Action: The proposed action is necessary in order for the Department of Cultural Resources to update the Administrative Code provisions relevant to the State Library of North Carolina, last revised in 1989. In the interim the institutions changed its name from the North Carolina State Library to the State Library of North Carolina and expanded and modernized its services. Technical corrections are part of those changes but, more importantly, the State Library gained new statutory authority for the organization and administration of regional libraries. Procedure by which a person can object to the agency on a proposed rule: Objections may be submitted in writing to Mary Boone during the comment period. Additional objections may be made verbally and in writing at the public hearing. Comments may be submitted to: Mary Boone, Department of Cultural Resources, 4640 Mail Service Center, Raleigh, NC 27699-4610, phone (919)807-7410, fax (919)733-8748, email mary.boone@ncdcr.gov Comment period ends: February 1, 2011 Procedure for Subjecting a Proposed Rule to Legislative Review: If an objection is not resolved prior to the adoption of the rule, a person may also submit written objections to the Rules Review Commission after the adoption of the Rule. If the Rules Review Commission receives written and signed objections after the adoption of the Rule in accordance with G.S. 150B-21.3(b2) from 10 or more persons clearly requesting review by the legislature and the Rules Review Commission approves the rule, the rule will become effective as provided in G.S. 150B-21.3(b1). The Commission will receive written objections until 5:00 p.m. on the day following the day the Commission approves the rule. The Commission will receive those objections by mail, delivery service, hand delivery, or facsimile transmission. If you have any further questions concerning the submission of objections to the Commission, please call a Commission staff attorney at 919-431-3000. Fiscal Impact: A copy of the fiscal note can be obtained from the agency. State 07 NCAC 02G .0101-.0102, 02H .0101-.0106, .0201-.0203, .0301-.0307, 02I .0101, .0201-.0202, .0301-.0308, 02J .0101-.0103 Local Substantial Economic Impact (>$3,000,000) None 07 NCAC 02A .0101-.0102, .0201, 02B .0101- .0102, .0201, .0203, 02C .0101-.0105, .0201-.0202, .0204-.0205, .0301-.0302, .0501-.0504, 02D .0101- .0115, .0301-.0307, 02E .0101, .0201-.0208, .0301- .0302, .0304, .0401-.0403, 02F .0101-.0103 Fiscal Note posted at http://www.osbm.state.nc.us/files/pdf_files/DCR10212010.pdf CHAPTER 02 - DIVISION OF STATE LIBRARY SUBCHAPTER 02A - DIVISIONAL RULES SECTION .0100 - RULES OF ORGANIZATION 07 NCAC 02A .0101 DIVISION OF STATE LIBRARY (a) Location. The Special Services Section of the state library is located at 1811 North Boulevard, Raleigh, North Carolina 27635. Other sections and the administrative offices are located at 109 East Jones Street, Raleigh, North Carolina 27611. (b) Purpose. The Division of State Library provides resources, services and programs to function as an information distribution system and a resource center for state government and the people of North Carolina and thereby promote knowledge, education, commerce and business in the state. The state library is responsible for assisting in the development and provision of library and information services in general. Authority G.S. 125-1; 125-2; 143B-10. 07 NCAC 02A .0102 LIBRARY SERVICES AND CONSTRUCTION ACT ADVISORY COUNCIL (a) Responsibilities, functions and membership of the Library Services and Construction Act Advisory Council are as provided for by federal law and regulations. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1069 (b) Members shall be appointed for a term of two years by the Secretary of the Department of Cultural Resources, following the federal guidelines concerning membership, from a list of suggested names submitted by the state librarian and the coordinator of federal programs in the state library. (c) A council chairman shall be appointed by the Secretary of the Department of Cultural Resources to serve for a two-year term of office. (d) Meetings of the council shall be called by the chairman or the state librarian, as required to fulfill necessary functions and responsibilities. Authority G.S. 125-8; 143B-10; 20 U.S. Code 16; 34 C.F.R. 770.4. SECTION .0200 - DELEGATED AUTHORITY 07 NCAC 02A .0201 PURCHASE AND CONTRACT (a) Insofar as the state library exercises some discretionary authority in the selection and purchase of library materials and services, such as books, periodicals, films, maps, microforms, microfilming, binding and electronic networking, it is the policy of the Division to submit annually its anticipated volume of purchases of generally available materials or services for bids to reputable vendors. The bidding and selection processes shall follow the policies and procedures of the Division of Purchase and Contract of the Department of Administration. Vendors shall be selected on the basis of service, compliance with standard procedures and quality and size of discount or other cost-reducing factors. The state library shall then exercise its authority to purchase specific library materials and services from the vendors selected. (b) It shall also be the policy of the state library to participate in specific national, regionwide and statewide cooperative networking, established for the sharing of materials and services, and to deal with sole-source vendors for certain materials and services where necessary, especially electronic cataloging and interlibrary loan services. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02B - TECHNICAL SERVICES SECTION .0100 - STATE PUBLICATIONS CLEARINGHOUSE 07 NCAC 02B .0101 SERVICES The state publications clearinghouse acquires and catalogs publications from state agencies, arranges for the production of microfiche copies and distributes paper and microfiche copies of the publications to depository libraries throughout the state. The publications themselves are also referred to as "documents". Authority G.S. 125-2; 125-11; 143B-10. 07 NCAC 02B .0102 DOCUMENTS CHECKLIST The clearinghouse is responsible for publishing a periodic checklist of state publications and for making each issue of that checklist available to libraries in the state upon request. Authority G.S. 125-2; 125-11; 143B-10. SECTION .0200 - LIBRARY SERVICES TO STATE AGENCIES 07 NCAC 02B .0201 REQUESTS FOR SERVICES Any state agency may apply for library assistance by written request to the state librarian. The state librarian will approve such a request based on available staff and facilities. Authority G.S. 125-2; 143B-10. 07 NCAC 02B .0203 SERVICES The staff of the technical services section will perform classification, cataloging and processing for selected agency libraries on a priority basis. The staff will provide consultation, educational services and supervision of filing for participating agencies. A librarian in the section will consult with other state agencies requesting service on problems and projects requiring professional library knowledge as time permits and as approved by the state librarian. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02C - INFORMATION SERVICES SECTION .0100 - CIRCULATION AND REFERENCE 07 NCAC 02C .0101 READING ROOM The reading room of the Division of State Library is open from 8:00 a.m. to 5:30 p.m., Monday through Friday, except state holidays. The reading room collections consist of the reference collection, the index collection, periodicals, newspapers and the other library material in the reading room. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0102 CIRCULATION OF LIBRARY MATERIALS (a) Materials from the circulating collections of the state library may be borrowed for use outside the reading room by state employees. Non-state employees may borrow materials from the library through interlibrary loan at their local libraries, or they may use the material within the state library. (b) Certain materials are designated non-circulating and cannot be used outside the library. The non-circulating collection consists of the main reference collection, documents reference collection, rare book collection, genealogy collection, North Carolina vertical file material, newspapers not on microfilm, periodicals and desk copies. The circulating collections consist of the main book collection, main documents collection, newspapers on microfilm, North Carolina census on microfilm, genealogy core collection and the Works Progress Administration cemetery index. (c) The state librarian may give authorization for materials to be loaned from the library's collections to reprint publishers or microform publishers in order that these publishers may duplicate the materials and make them available for sale. In such cases, it is the responsibility of the publishers to ensure that PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1070 copyright restrictions are being observed and that the state library is not responsible for any copyright violations. (d) If any borrower loses or damages library material charged in the borrower's name, the borrower will be responsible for the cost of replacing the material. Library borrowing privileges may be withheld until payment is made. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0103 PHOTOCOPYING Photocopying services are available to the public and state employees at a cost determined by the cost of equipment, supplies and staff time required for copying. The library staff will not photocopy material in violation of copyright restrictions. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0104 REFERENCE SERVICES The state library staff will provide instruction to patrons concerning the use of the library's facilities. The primary duties of the staff are to provide information and reference services for state employees and to select and maintain materials for the library's collection. Reference and information services will be provided for non-state employees as time permits. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0105 BIBLIOGRAPHIES The information services section staff compiles and distributes bibliographies on selected subjects at the request of state agencies and employees as time, materials, and staff permit. Completed bibliographies are available on request at the circulation desk in the State Library reading room. Authority G.S. 125-2; 143B-10. SECTION .0200 - SELECTION AND ACQUISITION OF LIBRARY MATERIALS 07 NCAC 02C .0201 SELECTION POLICY Material to be added to the state library collection will be recommended by the library staff. The ultimate responsibility for selection is assumed by the state librarian. Materials acquired by the state library comply with the state library collection development guidelines, copies of which are available from library staff in the information services section. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0202 RECOMMENDATIONS Any citizen of the state may recommend an item for purchase by the library. The recommendation must be submitted to the Chief of the Information Services Section of the state library. Recommendations will be considered on the basis of criteria listed in the state library collection development guidelines, along with all other recommendations. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0204 GIFTS Gifts are accepted with the understanding that the state library reserves the privilege of deciding whether the donated material should be added to the collection. If a gift is not added, the state library will exercise the right to offer it to another library or otherwise dispose of the item. No restrictions on the state library's use of the gift material may be made by the donor and, once donated, the item may not be reclaimed. Gift items will be added to the state library's collection using the same criteria as are used in the purchase of material. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0205 COMPLAINTS CONCERNING A TITLE IN THE COLLECTION When a complaint is received concerning an item owned by the Division of State Library, the following procedure will be adhered to: (1) A request for re-evaluation form will be completed by the individual and filed with the state librarian; (2) An ad hoc committee of state library staff members will be appointed by the state librarian to review the item that is the subject of the complaint; (3) After a thorough review, the committee will recommend a course of action, determined by a majority vote, to the state librarian; (4) The state librarian and the Secretary of the Department of Cultural Resources will make the final decision as to withdrawal or retention of the item. Authority G.S. 125-2; 143B-10. SECTION .0300 - GENEALOGICAL SERVICES 07 NCAC 02C .0301 THE COLLECTION The collection of the Genealogical Services Branch includes published materials basic to genealogical research in the colonial and federal periods of the original 13 states. Complete files of major genealogical periodicals are held. Microfilmed holdings include the McCubbins collection of materials on Rowan County, North Carolina, with card file index, and complete census schedules of population for the states east of the Mississippi River. The effective research range of the collection is increased by the resources of the general collection and by the extensive holdings of federal and North Carolina state documents. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0302 SERVICES TO INDIVIDUALS (a) Patrons who visit the Genealogical Services Branch will be assisted in familiarizing themselves with the content, arrangement and special features of the genealogical collection and in the use of finding aids and special North Carolina titles. (b) Persons seeking information by mail should write concisely and ask specific questions. Letters should include such PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1071 information as the family name with acceptable variant spellings, personal names when known, specific or probable places and dates of residence, probable religious affiliation and presumed nation of origin. An inquiry about a book or article should give an exact and complete citation when possible. Patrons should state whether or not they are prepared to pay for photocopied materials and should enclose a legal-sized, self-addressed envelope with each inquiry. Authority G.S. 125-2; 143B-10. SECTION .0500 - INTERLIBRARY SERVICES 07 NCAC 02C .0501 INTERLIBRARY LOANS Interlibrary loan procedures and rules are established in the Interlibrary Loan Code for North Carolina Libraries, approved by the Executive Board of the North Carolina Library Association. This code is adopted by reference under G.S. 150B-14(c). Copies of this code are available for inspection in the state library and may be obtained by writing to the State Library, Raleigh, North Carolina 27611. Authority G.S. 125-2; 125-12; 143B-10. 07 NCAC 02C .0502 IN-WATS SERVICES IN-WATS is a full-time, toll-free reference, interlibrary loan and information telephone service for North Carolina libraries. IN-WATS reference services are available for all types of library patrons and requests, with the exception of heraldry and genealogical research, which cannot be undertaken by IN-WATS librarians. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0503 ELIGIBILITY FOR IN-WATS (a) Eligible to participate in the IN-WATS program are all public libraries, private libraries, institutional, college, and university libraries, technical institute libraries, community college libraries, industrial libraries and local and state government libraries in North Carolina. Participating libraries must: (1) have a telephone and a specified person or persons whom the IN-WATS staff can contact during regular office hours; and (2) agree to the Interlibrary Loan Code for North Carolina Libraries. (b) Librarians from eligible libraries may obtain the IN-WATS telephone number and initiate IN-WATS services by writing the Chief of Information Services Section of the State Library. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0504 IN-WATS PROCEDURE MANUAL Procedures for submitting requests to IN-WATS are outlined in the North Carolina State Library Interlibrary Services Manual available free to North Carolina libraries. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02D - SPECIAL SERVICES SECTION .0100 - LIBRARY FOR THE BLIND AND PHYSICALLY HANDICAPPED 07 NCAC 02D .0101 ELIGIBILITY (a) General. Eligibility for the services of the library for the blind and physically handicapped is determined by the federal guidelines in 36 C.F.R. 701.10 and is applied to all applicants. (b) Eligibility Criteria. The following persons are eligible for loan service: (1) persons whose visual acuity is 20/200 or less in the better eye with correcting glasses, or whose widest diameter of visual field subtends an angular distance not greater than 20 degrees; (2) persons whose visual disability, with correction and regardless of optical measurement, is certified as preventing the reading of standard printed material; (3) persons certified as unable to read or unable to use standard printed material as a result of physical limitations; or (4) persons certified as having a reading disability resulting from organic dysfunction and of sufficient severity to prevent their reading printed material in a normal manner. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0102 APPLICATION (a) Application forms are furnished by the library for the blind and physically handicapped. The forms ask for such information as name, address, date of birth, education, type of disability, items an applicant wishes to borrow, and machinery that will be necessary. (b) Each applicant must be certified as eligible and meeting requirements by competent authority. In cases of blindness, visual disability or physical limitations, "competent authority" is defined to include doctors of medicine, doctors of osteopathy, ophthalmologists, optometrists, registered nurses, physical therapists and professional staff of hospitals, institutions and public or welfare agencies, such as social workers, case workers, counselors, rehabilitation teachers and school superintendents. In the absence of any of these, certification of eligibility may be made by professional librarians or any person whose competence under specific circumstances is acceptable to the Library of Congress. In the case of reading disability from organic dysfunction, "competent authority" is defined as doctors of medicine who may consult with colleagues in associated disciplines. (c) For an application, write the North Carolina Library for the Blind and Physically Handicapped, 1811 North Boulevard, Raleigh, N.C. 27635. Authority G.S. 125-2; 143B-10. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1072 07 NCAC 02D .0103 NEW READERS (a) The library will begin service to each new library patron within three days after an application has been approved, subject to the availability of equipment and materials. (b) Material sent to each new library patron includes an introductory letter, a magazine list, a reader's interest form and at least one book. Users of recorded or braille materials also receive a recent edition of Talking Book Topics, or Braille Book Review, and the last Library of Congress annual catalog. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0104 SELECTION (a) Each library patron is informed of materials and equipment available for loan and may make specific requests or indicate a general area of interest. (b) If all material requested has been sent to the library patron and the library has not received any new request, the reader will be informed of this by letter. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0105 CIRCULATION OF MATERIALS There is no limit on the number of books a library patron may borrow at any given time, provided the books are returned within the specified 45-day borrowing period. Overdue notices are sent when books are not returned within the borrowing period. There is not a specified borrowing period for a magazine, but a new issue will not be sent until the previous one has been returned. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0106 SUSPENSION OF SERVICES The following practices by any library patron may result in the suspension of library services: repeated failure to return materials within the borrowing period; failure to use the library services for a 12-month period; willful and negligent damage to equipment or materials; unauthorized use of materials or equipment, such as loan to an ineligible person or modification of equipment; or repeated abusive verbal attacks or behavior toward library staff that is offensive or threatening. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0107 BRAILLIST (a) Any braillist who is certified by the Library of Congress may volunteer his services to the library. Volunteers receive no pay for their productions and must provide their own brailling machine. (b) Any interested person should contact the Library for the Blind and Physically Handicapped. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0108 TAPING VOLUNTEERS (a) Volunteers who read books or other materials aloud onto tapes receive no pay from the library for their productions. (b) Taping volunteers go through a training and testing period under the supervision of library staff. (c) Interested person should contact the Library for the Blind and Physically Handicapped. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0109 COPYRIGHT No volunteer-produced title for inclusion in the general collection of the library will be reproduced in any medium without copyright approval, if such approval is necessary. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0110 REQUEST/LIBRARY PATRONS/REPRODUCE MATERIALS: SPECIAL FORMATS The library, when possible, will reproduce in braille or cassette materials requested by library patrons for their personal use. The library, however, reserves the right to refuse or delay these requests for the following reasons: (1) lack of volunteer time available; (2) length or difficulty of the material to be reproduced; (3) any other reason deemed sufficient by the head of the Library for the Blind and Physically Handicapped. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0111 SMALL COLLECTIONS (a) The library will furnish circulating collections to libraries, hospitals, rest homes, and other institutions serving eligible visually and physically handicapped persons. These collections can include recorded, brailled and large print materials. The number of books furnished by the library will depend on the needs of the institution taking into account the number of people served, the rate of circulation and the availability of stock at the library. (b) Books in these collections may be borrowed for up to 120 days from the date sent. They may be exchanged for other titles at any time during the loan period. (c) The library will consider it just cause to remove a deposit collection from an institution for the following reasons: (1) failure to exchange or return books within the 120-day borrowing period; (2) unauthorized use of materials or equipment; (3) consistent return of materials or equipment in mutilated or damaged condition; or (4) any other reason deemed sufficient by the head of the Library for the Blind and Physically Handicapped. (d) Institutions also may borrow sound reproducing equipment and attachments from the library when there is sufficient stock to meet these requests. These machines may be kept by the institutions as long as the institutions continue to borrow reading materials from the library. Authority G.S. 125-2; 143B-10. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1073 07 NCAC 02D .0112 CATALOGS Catalogs produced by the Library of Congress and by the North Carolina Library for the Blind and Physically Handicapped are available to library patrons, those involved in library services to the blind and physically handicapped, and to other interested parties. Priority in filling requests for catalogs will be assigned in the order stated in the previous sentence if availability is limited. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0113 SCOPE OF THE COLLECTION (a) The Library for the Blind and Physically Handicapped performs the functions of a public library. Its collection consists of recreational and general informational materials. The library does not supply textbooks or specialized scholarly and esoteric materials. (b) Library patrons requesting textbooks or specialized scholarly and esoteric materials will be referred to the appropriate agency or, when possible, the library will attempt to procure these materials on interlibrary loan. Library patrons may request materials on interlibrary loan by telephoning or writing the library. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0114 MATERIALS SELECTION POLICY (a) Titles selected and produced by the Library of Congress for network distribution will be included in the collection of the North Carolina's Library for the Blind and Physically Handicapped. The responsibility for the selection of these titles rests with the Library of Congress. (b) In addition to materials received from the Library of Congress, the North Carolina library will add books and magazines in disc, cassette tape, braille and large-print formats through purchase, donation and volunteer production. The staff of the Library for the Blind and Physically Handicapped will make recommendations for the addition of these materials to the collection. The ultimate responsibility for selection is assumed by the state librarian. Materials which are acquired should meet high standards of quality in content, expression and form. Factors to be considered in evaluation of an item include: (1) availability of the item from an alternate source; (2) whether an item is about or set in North Carolina or written by a North Carolinian; (3) reader interest and demand; (4) suitability of format for production and inclusion in the collection. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0115 RECOMMENDATIONS Any citizen of the state may recommend an item for purchase by the library. The recommendation must be submitted to the Chief of the Special Services Section of the State Library. Recommendations will be considered on the basis of criteria listed in the state library's collection development guidelines, copies of which are available from the Special Services Section Chief. Authority G.S. 125-2; 143B-10. SECTION .0300 - AUDIOVISUAL SERVICES 07 NCAC 02D .0301 LOAN OF MATERIALS (a) The Audiovisual Services Branch of the Special Services Section maintains a diverse collection of films, videocassettes and slides which are available for loan on a tightly planned schedule to state government agencies and to local public libraries. (b) Participating libraries and agencies must make audiovisual materials available without charge to all borrowers, except for the cost of return postage via the United States Postal Service "library rate." (c) Participating libraries and agencies must give audiovisual materials borrowers access to a copy of policies and regulations concerning material use as stipulated by the state library's film service agreement. (d) For film use, participating libraries and agencies must make certain that the borrower has access to a 16mm sound projector in good repair, that the film channel and gate are cleaned before each showing and that a trained projectionist will operate the projector. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0302 REQUESTS AND SCHEDULING (a) All booking requests must be received at the Audiovisual Services Branch of the Special Services Section of the State Library not less than three weeks before the requested date of use. (b) Each borrower may request a maximum of three film titles for each date of use. (c) Materials may be requested for the specific date they are to be used. If they can be used on dates other than those specified as the first choice, those dates should also be specified on the request form. The maximum booking period is one week. (d) The Audiovisual Services Branch must be notified of cancellations as soon as possible and no later than six days before the materials are to be mailed from the branch. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0303 RETURN OF MATERIALS (a) Materials must be sent back to the Audiovisual Services Branch the day after their use, unless this day falls on a Saturday, a Sunday, or a holiday. In this case, the materials must be mailed or otherwise delivered the following Monday or the day after the holiday. (b) At the time materials are picked up, participating libraries and agencies must notify each borrower of the specific date and time the materials are to be returned to the library or agency. Authority G.S. 125-2; 143B-10. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1074 07 NCAC 02D .0304 LATE OR DAMAGED FILM (a) Late materials must be mailed to the Audiovisual Services Branch via "special delivery" and the branch must be notified by telephone when materials are being returned late. The state library must be reimbursed for postage charged by the United States Postal Service when late materials must be sent via "special delivery" to the next borrower. (b) A fine specified in the state library's film service agreement is due for each day a film is overdue. The borrowing library or agency must send payment no later than one month after receiving an overdue notice and enclose the notice with the payment. (c) Borrowers must be instructed not to repair damaged film by any method, and to return film which has been damaged immediately to the library or agency. Damaged film must be returned unrepaired and without removing damaged footage to the film services branch. (d) Participating libraries and agencies must reimburse the state library for the cost or value of replacement footage or replacement film, as determined by the Audiovisual Services Branch, when materials are lost or damaged by borrowers. These libraries and agencies must send reimbursement to the state library no later than one month after receiving a statement of the amount due. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0305 FILM SERVICE AGREEMENT Participating libraries and agencies must complete and sign a state library film service agreement, which lists rules regarding the use of films. The agreement must identify the following: (1) when the library or agency is open; (2) system libraries or divisions included in the agreement, and their relationship to the Audiovisual Services Branch; (3) staff in charge of film service; and (4) a preferred method of transferring film. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0306 MATERIALS SELECTION POLICY Material to be added to the audiovisual services collection will be recommended by the library staff. The ultimate responsibility for selection is assumed by the state librarian. Materials which are acquired should meet high standards of quality in content and presentation. Factors to be considered in acquiring materials are listed in the state library's collection development guidelines, copies of which are available from the Special Services Section Chief. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0307 RECOMMENDATIONS Any citizen of the state may recommend audiovisual materials for purchase by the library. The recommendation must be submitted to the Special Services Section Chief of the State Library. Recommendations will be considered on the basis of the factors listed in the state library's collection development guidelines, copies of which are available from the Special Services Section Chief. Authority G.S. 125-2; 134B-10. SUBCHAPTER 02E - LIBRARY DEVELOPMENT SERVICES SECTION .0100 - CONSULTING AND DEVELOPMENTAL SERVICES 07 NCAC 02E .0101 CONSULTANTS The Library Development Services Section of the State Library offers consulting services upon request by librarians and local officials. Professional staff members are available to: (1) advise on details of library establishment and management, and selection of materials, programs and services; (2) help plan new facilities; (3) provide workshops and in-service training for employees and trustees; (4) promote cooperative efforts among neighboring libraries; (5) assist in establishing regional library systems between cooperating libraries; (6) coordinate statewide programs and activities for children, young adults and adults; (7) compile and distribute newsletters, reports and other publications relevant to libraries. Authority G.S. 125-2; 143B-10. SECTION .0200 - ORGANIZATION OF REGIONAL LIBRARIES 07 NCAC 02E .0201 REGIONAL LIBRARIES (a) Regional libraries are public library systems serving more than one county. They are organized to provide more adequate service than could be provided by separately operated libraries. Under a single administrative system, the member libraries will have the services of professional librarians who specialize in services to various age groups and in special types of service. A multicounty system can provide improved in-service training opportunities for nonprofessional staff members. By increasing the number of people served, the per capita cost of quality service is lower than for small populations. (b) The Department of Cultural Resources requires that a regional library be composed of three or more counties or of two counties with a total of at least 100,000 population. The department recommends that there be at least 50,000 population in each library system. (c) All new regional libraries which wish to participate in state aid to public libraries grants must have the agreement establishing the regional library, a plan of service and a preliminary budget approved by the Secretary of the Department of Cultural Resources. Notice of intention to form a regional library on July 1 should be given to the Division of State Library by January of that year. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1075 Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0202 BOARD OF TRUSTEES (a) The board of trustees is the governing body of a regional library. It is composed of not more than 15 members. Each county must have representation on the board in proportions determined equitable by all participating counties. Regional board members are appointed from members of local boards where they exist. (b) Terms of officers and members are to be limited and staggered to assure continuity as well as change. No individual member will be appointed to more than two consecutive terms, and no single term shall be longer than six years. (c) Any trustee missing three consecutive board meetings is considered to have resigned and will be replaced. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0203 POWER OF BOARD The agreement establishing a regional library should include the following powers delegated to the board of trustees by the county governments: (1) to adopt such bylaws and rules for its own guidance and policies for the government of the library as may be necessary and in conformity with the law; (2) to appoint the regional director and delegate executive powers to him; (3) to adopt an annual budget for the regional library in line with the needs of each unit and of the library as a whole, taking into consideration the grants set forth in the rules for the allocation of state aid to public libraries, and to present the local budget for approval to each participating local governmental unit; (4) to make recommendations to the governing bodies of the participating units concerning the construction and improvement of physical facilities of the libraries in the region; (5) to report regularly to the participating local governmental units and report annually to the Division of State Library. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0204 DIRECTOR (a) The director of a regional library is appointed by the board of trustees and is the administrative head of the regional library. The director is required to have a valid North Carolina Public Librarian Certificate and to have had successful experience as a public librarian or administrator, confirmed by written reference from former employers. (b) The director is responsible for the supervision of all employees of the regional library and may, with the approval of the board of trustees, select new employees and dismiss unsatisfactory employees in line with the personnel policies of the regional library. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0205 TERMINATION A county may withdraw from a regional library after six months' notice prior to the end of the fiscal year. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0206 FINANCE (a) All finances of a regional library must be handled under the same provisions as units of local government (G.S. 159, Article 3). It usually will be more acceptable to the cooperating units of local government to have finances handled by either the regional library's finance officer, the local governments' finance officers or both. Where a large local government has the staff and computer facilities to take on an extra account, it may be more economical to have this local government handle the regional library's finances. Either way, the library account must be handled so that a separate audit can be made. (b) Budgets presented to units of local government should show items to be paid for from local funds. The total amount may be shown as a single item in local governments' accounts since the budget for the regional library will show the breakdown of revenue and expenditures. (c) All funds are paid into a central account either monthly or quarterly as agreed to in the agreement establishing the regional library. Funds must be kept in state or federally regulated banks in the manner prescribed by G.S. 159, Article 3. Local money will be used only for local services except when region-wide services costs have budget approval by the local government. State funds must be used only for region-wide services. (d) The director is responsible for all expenditures, which must be made in accordance with the budget and amendments to the budget adopted by the regional library board. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0207 PROPERTY (a) All real property used by a regional library will be owned by the units of local government which purchased or otherwise obtained it. If more than one unit of local government contributes to its acquisition, the terms of the acquisition agreement will include the manner of disposition and the equitable division of receipts therefrom. (b) Books, vehicles, equipment and other personal property purchased with state funds shall be owned by the regional library. If one county withdraws, but the regional library is not dissolved, the withdrawing county loses any rights to personal property owned by the regional library. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0208 OTHER PROVISIONS / AGREEMENT ESTABLISHING / REGIONAL LIBRARY An agreement establishing a regional library should provide for its amendment, either to change provisions or to add new counties. Provision for the termination of the agreement or the withdrawal of a unit of local government also should be included. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1076 Authority G.S. 125-2; 143B-10. SECTION .0300 – ALLOCATION OF STATE AID TO PUBLIC LIBRARY SYSTEMS 07 NCAC 02E .0301 QUALIFICATIONS FOR GRANT ELIGIBILITY Libraries requesting funding from the Aid to Public Libraries Fund shall submit annually to the State Library of North Carolina an application for State Aid and supporting documentation including financial and statistical reports and shall meet the following eligibility requirements: (1) Be established consistent with the provisions of Article 14, Chapter 153A of the North Carolina General Statutes. (2) Provide library services in compliance with applicable State and Federal law to all residents of the political subdivision(s) supporting the library. Public library services shall be provided from at least one designated facility with a catalogued collection that is open to the public a minimum of 40 hours per week. (3) Employ a full-time library director having or eligible for North Carolina public librarian certification. Full-time means working a minimum of 35 hours per week. (4) Secure operational funds from local government sources at least equal to the average amount budgeted and available for expenditure for the previous three years. A grant to a local library system from the Aid to Public Libraries Fund shall not be terminated but shall be reduced proportionately by the Department if the amount budgeted and available for expenditure by local government is below the average of the previous three fiscal years. State funds shall not replace local funds budgeted and available for expenditure for public library operations. (5) Secure aggregate operational funds from local sources at least equaling state aid. (6) Expend funds as authorized in the budget adopted by the Board of Trustees of a Regional Library, a County, or a Municipality. Any library having an unencumbered operational balance of more than 17 percent of the previous year's operating receipts shall have the difference deducted from its state allocation. (7) Pay salaries for professional positions funded from the Aid to Public Libraries Fund at least at the minimum rate of a salary grade of 69 as established by the Office of State Personnel. (8) Provide to the State Library of North Carolina an annual audit of the political subdivision(s) funding the library consistent with generally accepted accounting principles. (9) Submit annually to the State Library of North Carolina a copy of the bylaws of the library system's Board(s) of Trustees. (10) Submit annually a current long-range plan of service to the State Library of North Carolina. A long-range plan of service is a plan of at least five years. Upon request, submit an assessment of a community's library needs to the State Library of North Carolina. (11) Submit a copy of the agreement establishing the library system, if composed of more than one local governmental unit. (12) Meet the following stipulations when establishing a new library or re-establishing eligibility for the Aid to Public Libraries Fund: (a) meet all qualifications for the state aid to public libraries program on July 1 of the year prior to the fiscal year that the library plans to receive state aid, (b) continue to meet all qualifications for the state aid to public libraries program from July 1 to June 30 of that year, which shall be known as the demonstration year, (c) file a full application for state aid by the June 30 deadline at the close of the demonstration year in order to receive state aid in the next fiscal year. Authority G.S. 125-7; 143B-10. 07 NCAC 02E .0302 STATE AID GRANTS All grants are contingent upon appropriations budgeted by the General Assembly. Eligible county, regional and municipal libraries will receive the grants subject to the approval of the Secretary of the Department of Cultural Resources. Authority G.S. 125-7; 143B-10. 07 NCAC 02E .0304 LIMITATIONS ON AID Special grants may be used only for the purpose for which granted. Basic and per capita equalization grants may be used for materials, salaries, equipment, and operating costs. Authority G.S. 125-7; 143B-10. SECTION .0400 - STATE INSTITUTIONS ELIGIBLE FOR FUNDS 07 NCAC 02E .0401 STATE INSTITUTION DEFINED For the purpose of receiving state or federal grants for establishment or improvement of library services to residents of state institutions, an institution will be considered a state institution if 51 percent or more of its funding comes from monies appropriated by the General Assembly. Authority G.S. 125-2; 143B-10. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1077 07 NCAC 02E .0402 FUNDS FOR INSTITUTIONS (a) Institutions are eligible for funding from state appropriations or from the federal Library Services and Construction Act grants. State or federal funds may be used for the purchase of books, magazines, audiovisual materials or other types of library materials. (b) An institution applying for a grant for state or federal funds must do so in writing, specifying which types of materials it wishes to purchase and the approximate cost. All expenditures of these funds must have prior approval of the state library. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0403 ELIGIBILITY Institutions which meet the following criteria will be eligible for state or federal funding: (1) those with adequate space for library facilities and services; (2) those with adequate staff to supervise library services. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02F - NORTH CAROLINA PUBLIC LIBRARIAN CERTIFICATION COMMISSION 07 NCAC 02F .0101 PURPOSE OF THE COMMISSION (a) The North Carolina Public Librarian Certification Commission protects the public interest by setting minimum standards for certification for public librarians to accomplish the following purposes: (1) Guarantee the best possible public library service for all North Carolinians; (2) Protect and maintain public library resources; (3) Assure professional management and administration of library programs; and (4) Provide certified professionals to meet the Department of Cultural Resources' personnel requirements for state and other aid administered by the Division of State Library. (b) The Commission reviews applications and certifies those librarians who meet the certification requirements enumerated in Rule .0002 of this Subchapter. Authority G.S. 143B-67. 07 NCAC 02F .0102 FULL CERTIFICATION (a) The North Carolina Public Librarian Certification Commission issues public librarian certificates to applicants who have received graduate degrees in library and information science from American Library Association-accredited programs or from regionally accredited programs of higher education in North Carolina. (b) Coursework must include the following core courses: cataloging, reference collection management, technology, and management. (c) Courses specifically designed for school, media center, academic, or special librarianship, must also reflect general principles of librarianship in order to fulfill the requirements for public librarian certification. Authority G.S. 143B-67. 07 NCAC 02F .0103 APPLICATION PROCEDURE FOR PUBLIC LIBRARIAN CERTIFICATION A completed application form for public librarian certification should be sent to the Library Development Section of the Division of State Library at the address in Subchapter 2A Rule .0101 and must be accompanied by an official transcript which contains the date of conferral of the degree. Authority G.S. 143B-67. SUBCHAPTER 02G - STATE LIBRARY OF NORTH CAROLINA SECTION .0100 – DIVISIONAL RULES 07 NCAC 02G .0101 SCOPE OF RULES The rules in this Subchapter apply to the State Library of North Carolina, a division of the North Carolina Department of Cultural Resources, which serves as the principal library of State government. Authority G.S. 125-1; 125-2; 143B-10. 07 NCAC 02G .0102 ELIGIBILITY FOR STATE LIBRARY SERVICES A public library must be legally established as specified in 07 NCAC 02I .0202 to be eligible for State and Federally funded programs administered by the State Library of North Carolina. Authority G.S. 125-2; 125-7; 125-8; 143B-1009. SUBCHAPTER 02H - LIBRARY SERVICES SECTION .0100 – GOVERNMENT AND HERITAGE LIBRARY 07 NCAC 02H .0101 SCOPE OF RULES The rules in this Subchapter apply to the Government and Heritage Library, a section of the State Library of North Carolina. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0102 LIBRARY COLLECTIONS (a) The State Librarian shall determine the scope and focus of the Library's collections. Library staff and users may recommend materials for Library collections. Materials acquired or added to collections in any format must comply with the Library collection management procedures. (b) The Library shall collect and maintain resource collections in all relevant formats as budgets permit, including current and historical print and digital books, periodicals, newspapers, maps, state and federal documents, family histories, indexes, and bibliographies; historical newspapers, census reports, and PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1078 primary source materials on microfilm; audiovisual materials in analog and digital formats and media; and online databases. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0103 ACCESS AND CIRCULATION (a) Access and use of the Library's resource collections varies according to user profile, resource format, and circulation status of materials, as determined by the State Librarian. (b) The Library shall provide State employees and the general public online access to digital resources in its collections using search and retrieval technologies that are accessible and usable by all. (c) Certain printed materials in the Library's collections are designated non-circulating and shall not be used outside the Library. Non-circulating items include general reference materials, permanent depository copies of State documents, rare books, vertical file materials, periodicals, print newspapers, and the genealogy reference collection. (d) State employees may borrow materials from the Library's circulating print, microform, and audiovisual collections for use outside the library. Non-State employees may borrow print, microform, and audiovisual materials from the Library through interlibrary loan at their local libraries, or they can use the material within the State Library. (e) If any borrower loses or damages Library material charged in the borrower's name, the borrower is responsible for the cost of replacing the material. Library borrowing privileges shall be withheld until payment is made. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0104 REPRODUCTION SERVICES The Library shall provide for the reproduction of library content in compliance with U.S. copyright law. State employees and members of the general public may photocopy or request digital reproduction of Library content at a cost fixed by the Library based on cost of equipment, supplies, and staff time. Photocopying equipment shall be available for use by library users. Library staff shall provide digital reproduction services. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0105 INFORMATION, REFERENCE AND RESEARCH SERVICES (a) State Library staff shall provide reference and research services for State employees to facilitate access to information and resources that address the business needs of State government. (b) State Library staff shall provide information, reference services, and access to Library resources for the general public seeking information by or about North Carolina or conducting research related to North Carolina government, people, places, history, culture, statistical data, or genealogy. (c) State Library staff shall provide instruction to state employees and the general public concerning the use of the Library's facilities and information tools and resources. Library staff shall develop and conduct informational and instructional programs related to information resources and library research. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0106 SERVICES FOR STATE AGENCIES (a) State Library staff shall consult with State agencies requesting assistance with projects, programs, or situations requiring professional library knowledge and expertise. Library staff may consult on issues related to cataloging, classification, metadata, access, digitization, digital information management, and preservation of print and digital resources, based on staff availability and consideration of higher priority work, and as approved by the State Librarian. (b) Cataloging staff shall perform classification, cataloging, and processing of library materials and resources for state government agencies on a priority basis. Before services are provided, the Library and the recipient State agency shall sign a memorandum of understanding that specifies the responsibilities and relationship between the two agencies and any costs required for library systems access and technologies. Authority G.S. 125-2; 143B-10. SECTION .0200 – STATE DEPOSITORY LIBRARY SYSTEM 07 NCAC 02H .0201 SCOPE OF RULES The rules in this Section, apply to the State Depository Library System and the North Carolina State Publications Clearinghouse, as administered by the State Library of North Carolina. Authority G.S. 125-2; 125-9; 143B-10. 07 NCAC 02H .0202 PRINTED DOCUMENT FORMATS DEFINED As used in this Section, the term "format" is used to describe the medium used to publish and distribute State publication content, including tangible media such as paper, film, tape and electronic media such as digital files, websites, and data streams. Authority G.S. 125-2; 125-11; 143B-10. 07 NCAC 02H .0203 DEPOSITORY REQUIREMENTS FOR STATE AGENCIES (a) State agencies in the executive, legislative, and judicial branches of State government and State-funded boards, commissions, and institutions shall submit all State publications that meet the depository qualifications defined in the G.S. 125- 11.6(2) and 125-11.6(4) and the State Library's Handbook for State Agencies to the North Carolina State Publications Clearinghouse for the permanent depository collection, distribution to depository libraries, and public access. (b) State agencies in the executive, legislative, and judicial branches of State government and State-funded boards, commissions, and institutions shall submit 10 copies of qualified publications as defined in G.S. 125-11.6(2) and 125-11.6(4) in tangible formats to the North Carolina State Publications Clearinghouse and one copy of publications published or PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1079 distributed in electronic formats to the North Carolina State Publications Clearinghouse. Authority G.S. 125-2; 143B-10. SECTION .0300 – LIBRARY FOR THE BLIND AND PHYSICALLY HANDICAPPED 07 NCAC 02H .0301 SCOPE OF RULES The rules in Section, apply to the Library for the Blind and Physically Handicapped, a section of the State Library of North Carolina. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0302 ELIGIBILITY (a) Eligibility for the services of the Library for the Blind and Physically Handicapped is determined by the Federal guidelines in 36 C.F.R. 701.10 and is applied to all applicants. (b) The following persons are eligible for loan service: (1) persons whose visual acuity is 20/200 or less in the better eye with correcting glasses, or whose widest diameter of visual field subtends an angular distance not greater than 20 degrees; (2) persons whose visual disability, with correction and regardless of optical measurement, is certified as preventing the reading of standard printed material; (3) persons certified in accordance with 36 C.F.R. 701.10 as unable to read or unable to use standard printed material as a result of physical limitations; or (4) persons certified in accordance with 36 C.F.R. 701.10 as having a reading disability resulting from organic dysfunction and of sufficient severity to prevent their reading printed material in a normal manner. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0303 APPLICATION All users must complete an official application form and be certified as eligible and meeting requirements established by the Library of Congress. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0304 LIBRARY COLLECTIONS (a) The Library shall perform the functions of a public library. Its collection consists of recreational and general informational materials selected and produced by the Library of Congress for network distribution and additional materials selected by the Library. (b) The Library reproduces titles in Braille and audio formats in compliance with U.S. copyright law. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0305 CIRCULATION (a) The Library shall provide materials and playback equipment according to the Library of Congress lending policies and the Library's circulation procedures. (b) The Library shall furnish deposit collections to libraries, hospitals, rest homes, and other institutions serving eligible visually and physically handicapped persons according to the library circulation policy. (c) The following practices by any Library patron shall result in the suspension of Library services: (1) repeated failure to return materials within the borrowing period; (2) willful and negligent damage to equipment or materials; (3) unauthorized use of materials or equipment, such as loan to an ineligible person or modification of equipment; or (4) repeated abusive verbal attacks or behavior toward library staff that is offensive or threatening. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0306 REPRODUCTION SERVICES The Library shall reproduce in Braille or audio recording materials requested by Library patrons for their personal use as approved by the Regional Librarian and based on staff availability and consideration of higher priority work. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0307 VOLUNTEERS (a) Any interested person may request to volunteer his services to the Library. Volunteers shall receive no pay for their services and must go through a training and testing period under the supervision of Library staff. (b) Any braillist who is certified by the Library of Congress may request to volunteer his services to the Library. Volunteers must provide their own brailling machine. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02I - LIBRARY DEVELOPMENT SECTION .0100 - ORGANIZATIONAL RULES 07 NCAC 02I .0101 SCOPE OF RULES The rules in this Subchapter apply to the Library Development Section of the State Library of North Carolina. Authority G.S. 125-2; 125-7; 125-8; 143B-10. SECTION .0200 - STATE AID TO PUBLIC LIBRARIES 07 NCAC 02I .0201 QUALIFICATIONS FOR GRANT ELIGIBILITY Libraries requesting funding from the Aid to Public Libraries Fund shall submit annually to the State Library of North Carolina an application for State Aid and supporting PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1080 documentation including financial and statistical reports and shall meet the following eligibility requirements: (1) Be established consistent with the provisions of Article 14, Chapter 153A of the North Carolina General Statutes; (2) Provide library services in compliance with applicable State and Federal law to all residents of the political subdivision(s) supporting the library. Public library services shall be provided from at least one designated facility with a cataloged collection that is open to the public a minimum of 40 hours per week; (3) Employ a full-time library director having or eligible for North Carolina public librarian certification. Full-time means working a minimum of 35 hours per week; (4) Secure operational funds from local government sources at least equal to the average amount budgeted and available for expenditure for the previous three years. A grant to a local library system from the Aid to Public Libraries Fund shall not be terminated but shall be reduced proportionately by the Department if the amount budgeted and available for expenditure by local government is below the average of the previous three fiscal years. State funds shall not replace local funds budgeted and available for expenditure for public library operations; (5) Secure aggregate operational funds from local sources which are at least equal to state aid; (6) Expend funds as authorized in the budget adopted by the Board of Trustees of a Regional Library, a County, or a Municipality. Any library having an unencumbered operational balance of more than 17 percent of the previous year's operating receipts shall have the difference deducted from its state allocation; (7) Pay salaries for professional positions funded from the Aid to Public Libraries Fund at least at the minimum rate of a salary grade of 69 as established by the Office of State Personnel; (8) Provide to the State Library of North Carolina an annual audit of the political subdivision(s) funding the library consistent with generally accepted accounting principles; (9) Submit annually to the State Library of North Carolina a copy of the bylaws of the library system's Board(s) of Trustees; (10) Submit annually a current long-range plan of service to the State Library of North Carolina. A long-range plan of service is a plan of at least five years. Upon request, the library shall submit an assessment of a community's library needs to the State Library of North Carolina; (11) Submit a copy of the agreement establishing the library system, if composed of more than one local governmental unit; and (12) Meet the following stipulations when establishing a new library or re-establishing eligibility for the Aid to Public Libraries Fund: (a) meet all requirements of this Section on July 1 of the year prior to the fiscal year that the library plans to receive state aid; (b) continue to meet all requirements of this Section from July 1 to June 30 of that year, which shall be known as the demonstration year; and (c) file a full application for state aid by the June 30 deadline at the close of the demonstration year in order to receive state aid in the next fiscal year. Authority G.S. 125-7; 143B-10. 07 NCAC 02I .0202 STATE AID GRANTS All grants are contingent upon appropriations budgeted by the General Assembly. Eligible county, regional, and municipal library systems shall receive grants subject to the approval of the Secretary of the Department of Cultural Resources. Block and per capita income equalization grants may be used for materials, salaries, equipment, and operating costs. Authority G.S. 125-7; 143B-10. SECTION .0300 - ORGANIZATION OF REGIONAL LIBRARIES 07 NCAC 02I .0301 REGIONAL LIBRARIES As used in this Section, a regional library is a public library system that: (1) serves two or more contiguous counties; (2) is established by a regional agreement under a single administrative system; (3) is governed by a regional library board of trustees; (4) operates under the direction of a certified library director; and (5) has finances administered by a person or firm reporting to the library director and the regional library board of trustees. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0302 REGIONAL AGREEMENT An agreement establishing a regional library shall contain: (1) the structure of the regional library board of trustees; (2) the powers and duties of the regional board; (3) the financial structure of the regional library; (4) the terms of property ownership and any conditions of joint ownership including property rights in the event of withdrawal from or dissolution of the regional library; (5) provisions for amendment; PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1081 (6) provisions for withdrawal by a member county or dissolution of the regional library; and (7) provisions for termination of the regional agreement. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0303 REGIONAL LIBRARY BOARD OF TRUSTEES (a) The regional library board of trustees shall be the governing body of a regional library. It shall be composed of not more than 15 members as stipulated in the regional agreement. Each participating local governmental unit shall have representation on the board in proportions determined to be equitable by all participating local governmental units as stipulated in the regional agreement. Members of the regional library board shall be appointed as specified in the regional agreement. (b) Terms of officers and members shall be limited and staggered to assure continuity as well as change. No individual member shall be appointed to more than two consecutive terms, and no single term shall be longer than six years. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0304 POWERS AND DUTIES OF THE REGIONAL LIBRARY BOARD The agreement establishing a regional library shall include the following powers delegated to the regional library board of trustees by the participating local governmental units: (1) to adopt such bylaws and rules for its own governance as may be necessary and in conformity with the law; (2) to adopt policies for the regional library system's administration and operation; (3) to appoint the regional library director and delegate to that person executive powers; (4) to adopt an annual budget for the regional library; (5) to appoint a regional library finance officer to ensure expenditure of funds consistent with the budget adopted by the regional library board; (6) to assure compliance with all applicable State and Federal law and eligibility requirements for the receipt of State and Federal funds; (7) to make recommendations to the governing bodies of the participating local governmental units concerning the construction and improvement of physical facilities of the libraries in the region; (8) to report to the participating local governmental units; and (9) to provide to the State Library of North Carolina an annual audit of the regional library system consistent with generally accepted accounting principles. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0305 DIRECTOR The director of a regional library shall be appointed by the regional library system board of trustees and is responsible for the administration of the regional library consistent with the policies adopted by the board. The director shall have a valid North Carolina Public Librarian Certificate. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0306 FINANCE (a) All finances of a regional library shall be administered under the same provisions as units of local government (G.S. Chapter 159, The Local Government Finance Act) and shall be subject to an independent audit. (b) State funds shall be administered by the regional library and shall be expended throughout the region as described in 07 NCAC 02I .0202. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0307 ESTABLISHMENT OF A REGIONAL LIBRARY A regional library meeting the definition in 07 NCAC 02I .0301 may be established according to the following schedule: (1) On or before July 1 of the fiscal year prior to the establishment of the regional library, a representative of the participating local governmental units shall submit to the State Library of North Carolina a written notification of intent to form a regional library and establish eligibility for grants to public libraries. (2) On or before January 31 of the fiscal year prior to the establishment of the regional library, the representative shall submit to the State Library of North Carolina a copy of the agreement establishing the regional library consistent with 07 NCAC 02I .0302. (3) On or before June 1 of the fiscal year prior to the establishment of the regional library, the representative shall submit to the State Library of North Carolina a long-range plan of service and a proposed budget and shall provide evidence of eligibility to receive grants to public libraries according to 07 NCAC 02I .0201. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0308 WITHDRAWAL FROM OR DISSOLUTION OF A REGIONAL LIBRARY (a) A county proposing to withdraw from a regional library shall give written notice on or before July 1 to the regional library board, the other participating local governmental units, and the State Library of North Carolina. The withdrawal shall be effective on the following June 30. (b) The withdrawing county shall establish eligibility for grants to public libraries according to 07 NCAC 02I .0201 on or before the effective date of withdrawal. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1082 (c) Capital expenditures by the withdrawing county that are necessitated by the withdrawal may not replace support for operating costs in establishing eligibility to receive grants to public libraries according to 07 NCAC 02I .0201. (d) If withdrawal of a county results in the dissolution of the regional library, the remaining county must also establish eligibility to receive grants to public libraries according to 07 NCAC 02I .0201 by the effective date of withdrawal. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02J - NORTH CAROLINA PUBLIC LIBRARIAN CERTIFICATION COMMISSION SECTION .0100 - COMMISSION RULES 07 NCAC 02J .0101 PURPOSE OF THE COMMISSION (a) The North Carolina Public Librarian Certification Commission sets minimum standards for certification for public librarians to accomplish the following purposes: (1) Guarantee the best possible public library service for all North Carolinians; (2) Protect and maintain public library resources; (3) Assure professional management and administration of library programs; and (4) Provide certified professionals to meet the Department of Cultural Resources' personnel requirements for State and other aid administered by the State Library of North Carolina. (b) The Commission shall review applications and certify those librarians who meet the certification requirements enumerated in Rule .0102 of this Subchapter. Authority G.S. 143B-67. 07 NCAC 02J .0102 FULL CERTIFICATION (a) The North Carolina Public Librarian Certification Commission shall issue public librarian certificates to applicants who have received graduate degrees in library and information science from programs accredited by the American Library Association or from regionally-accredited programs of higher education in North Carolina. (b) Coursework must include the following core courses: (1) cataloging, (2) reference, (3) collection development, and (4) library management. (c) Courses specifically designed for school, media center, academic, or special librarianship, must reflect general principles of librarianship. Authority G.S. 143B-67. 07 NCAC 02J .0103 APPLICATION PROCEDURE FOR PUBLIC LIBRARIAN CERTIFICATION Applicants shall send a completed application form for public librarian certification, accompanied by an official transcript which contains the date of conferral of the degree, to the Library Development Section of the State Library of North Carolina. Authority G.S. 143B-67. * * * * * * * * * * * * * * * * * * * * * Notice is hereby given in accordance with G.S. 150B-21.2 that the Department of Cultural Resources intends to adopt the rules cited as 07 NCAC 13 .0101, .0201-.0202, .0301-.0313, .0401- .0402 and repeal the rules cited as 07 NCAC 04R .0203-.0204, .0702-.0718, .0801-.0808, .1002-.1013. Proposed Effective Date: April 1, 2011 Public Hearing: Date: January 24, 2011 Time: 11:00 a.m. Location: Archives and History Building, 109 E. Jones Street, Raleigh, 3rd floor conference room Reason for Proposed Action: The proposed action is necessary in order for the Department of Cultural Resources to update the Administrative Code provisions relevant to the Office of State Archaeology, last revised in 1989. Since that time the OSA, formerly part of the Historic Preservation Office, has become a free-standing unit within the Department. Technical corrections are part of those changes but, more importantly, the Office gained new statutory authority for the permitting of, and background checks upon, applicants for archaeological permits on state lands and in state waters. Procedure by which a person can object to the agency on a proposed rule: Objections may be submitted in writing to Jeffrey J. Crow, 4610 Mail Service Center, Raleigh, NC 27699- 4610, phone (919)807-7280, fax (919)733-8807, email jeff.crow@ncdcr.gov during the comment period. Additional objections may be made verbally and in writing at the public hearing. Comments may be submitted to: Jeffrey J. Crow, 4610 Mail Service Center, Raleigh, NC 27699-4610, phone (919)807- 7280, fax (919)733-8807, email jeff.crow@ncdcr.gov. Comment period ends: February 1, 2011 Procedure for Subjecting a Proposed Rule to Legislative Review: If an objection is not resolved prior to the adoption of the rule, a person may also submit written objections to the Rules Review Commission after the adoption of the Rule. If the Rules Review Commission receives written and signed objections after the adoption of the Rule in accordance with G.S. 150B-21.3(b2) from 10 or more persons clearly requesting review by the legislature and the Rules Review Commission approves the rule, the rule will become effective as provided in G.S. 150B-21.3(b1). The Commission will receive written objections until 5:00 p.m. on the day following the day the Commission approves the rule. The Commission will receive those objections by mail, delivery service, hand delivery, or PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1083 facsimile transmission. If you have any further questions concerning the submission of objections to the Commission, please call a Commission staff attorney at 919-431-3000. Fiscal Impact: State 07 NCAC 13 .0101, .0201-.0202, .0301-.0313, .0401-.0402 Local Substantial Economic Impact (>$3,000,000) None 07 NCAC 04R .0203-.0204, .0702-.0718, .0801- .0808, .1002-.1013. CHAPTER 04 - DIVISION OF ARCHIVES AND HISTORY SUBCHAPTER 04R - ARCHAEOLOGY AND HISTORIC PRESERVATION SECTION SECTION .0200 - ENVIRONMENTAL REVIEW 07 NCAC 04R .0203 ARCHAEOLOGICAL REVIEW (a) Projects are reviewed for archaeological concerns whenever ground disturbing activity is involved. Examples of ground disturbance include, but are not limited to, construction of dikes, clearing and grubbing of forests, subsurface alterations around standing structures, borrow pits, trenching for water and sewer lines, utility line construction or improvements requiring excavation; construction, widening or improvements of highways; and airport expansions, bridge replacements, housing developments, boat basins and channels, and placement of fill or spoil dirt. (b) Evaluation of potential effects on archaeological resources is made by staff archaeologists, taking into consideration known site locations, historical maps and documents, results of previous surveys in the area or similar areas, past and present land uses, the area's topography and hydrology, predictive models of archaeological site locations, and type and extent of proposed land modification activities. (c) After staff evaluation, recommendations are made by the SHPO within the state or federally mandated deadline for review comments: (1) Clearance. If it is determined that the project area is unlikely to contain significant archaeological remains, the written response is no comment. (2) Archaeological Survey Recommended. If it is determined that the project area is likely to contain significant archaeological sites and there is no record of systematic archaeological surveys in the project area, an archaeological survey is recommended prior to any ground disturbing activity to determine the presence and significance of archaeological sites that may be damaged or destroyed by the proposed action. (3) Testing Recommended. If a known site is within the project boundaries, archaeological testing is recommended to determine its significance. (4) Survey and Testing Recommended. If a project area contains known sites but has not been completely surveyed, testing of the sites and a survey of the remaining project area are recommended. (5) Avoidance. If archaeological sites listed in or determined eligible for inclusion in the National Register of Historic Places are located in the project area, avoidance by adjustment of the project plans is recommended. New project locations are subject to the review process. (d) All archaeological reports submitted to the SHPO in compliance with federal and state historic preservation legislation are reviewed by the Archaeology Branch using standards established by the Department of Cultural Resources outlined in "Guidelines for the Preparation of Reports of Archaeological Surveys and Evaluations". The guidelines: (1) ensure compliance with pertinent legislation; (2) ensure fulfillment of contract sponsor needs with regard to archaeology; and (3) permit the effective and speedy review of compliance surveys and evaluation reports. Reports submitted for review which do not satisfy the requirements defined in the guidelines are considered incomplete and returned for revision and resubmission. Copies of the guidelines are available from the Archaeology and Historic Preservation Section. (e) When an archaeological survey report indicates that a site within a project's area of environmental impact is eligible for inclusion in the National Register of Historic Places, the procedures outlined at 36 CFR 800.5-.6 (regulations of the Advisory Council on Historic Preservation) are followed. Authority G.S. 113-229(e); 113A-4(2); 113A-107(d); 121-4(13); 121-12(a); 136-42.1. 07 NCAC 04R .0204 UNDERWATER ARCHAEOLOGICAL REVIEW (a) Water related construction activities are defined as major or minor according to the extent of bottom disturbance. Major bottom disturbing activities include, but are not limited to, new or maintenance dredging, extensive bulkheading, jetty or mooring construction, subaqueous power and water line installation, bridge construction, and the dredging of temporary channels. Minor bottom disturbing activities include, but are not limited to, construction of private piers, bulkheads, and docks, and minor dredging. (b) Prospective construction projects affecting submerged lands are reviewed by the Underwater Archaeology Unit taking into consideration the project area's potential for submerged cultural resources and whether major or minor bottom disturbance is planned. (c) After staff review, recommendations are made by the SHPO in terms of the bottom disturbance involved and the project area's potential for submerged cultural resources. (1) If major bottom disturbance is to take place in a project area with high or moderate potential, project specific documentary research PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1084 followed by appropriate archaeological investigation is recommended prior to project construction. (2) If major bottom disturbance is to take place in an area with low potential, no documentary or archaeological investigation is required. It is recommended that the SHPO be notified should submerged cultural resources be encountered during construction. (3) If minor bottom disturbance is to take place, documentary and archaeological investigation is only recommended in areas with a high potential for any known submerged cultural resources. (d) Maps and research files enable the Underwater Archaeology Unit to determine the potential for submerged cultural resources within a project area. Criteria used to establish high, moderate, and low potential areas are as follows: (1) "High potential area" means: (A) A known archaeological site or charted wreck of historic age is present; or (B) Historical research indicates the project lies in an area with an active maritime history, documented vessel losses or known hazards to navigation. Harbors, major shipping lanes, inlets and shoals are examples of high potential areas. (2) "Moderate potential area" means: (A) No known archaeological sites or charted wrecks are present and documentary research indicates that only marginal maritime activities have taken place; or (B) Bottom lands have been partially disturbed, lessening the likelihood that significant cultural resources exist. (3) "Low potential area" means: (A) No known archaeological site or charted wrecks are present and documentary research indicates that little or no maritime activities have taken place historically; or (B) Bottom lands have been previously disturbed to the extent that no intact significant cultural resources are likely to exist. (e) Reports of documentary research or archaeological investigations are reviewed under the requirements as established by the Department of Cultural Resources defined in "Guidelines for the Preparation of Reports of Archaeological Surveys and Evaluations," available from the Archaeology and Historic Preservation Section. Reports submitted for review which do not satisfy the requirements are considered incomplete and returned for revision and resubmission. Authority G.S. 121-22 through 121-28; 143B-62(2)g; 16 U.S.C. 470; 36 C.F.R. 800. 07 NCAC 04R .0702 DEFINITIONS The definitions of G.S. 70-12 apply in this Section. In addition the following terms are defined: (1) "Emergency archaeological investigation" means any surface collection, subsurface test, excavation, or other activity that results in the disturbance or removal of archaeological resources undertaken because of: (a) the accidental discovery of archaeological resources during construction or other ground disturbing activities; or (b) immediate danger of damage or destruction to archaeological resources due to vandalism, erosion, or other causes. (2) "Interim progress report" means a brief summary of archaeological work accomplished during the reporting period. (3) "Land controlling agency" means the state agency with management responsibilities for state land. (4) "Permit" means authorization under law to conduct archaeological investigation on state lands. (5) "Preliminary field report" means a brief summary of the results of the fieldwork undertaken during the permit period, including, but not limited to: (a) a map showing the area of the permit location; (b) a brief summary of the purpose, methods, and results; and (c) recommendations concerning future work at the site or sites. (6) "Report" means a formal written account of the goals, methods, and results of archaeological investigations conducted under the terms of a permit. (a) A draft report is subject to review and comment by the Secretary of the Department of Administration or his designee, the Secretary of the Department of Cultural Resources or his designee, and the head of the land controlling agency or his designee. (b) A final report is complete and incorporates the comments resulting from review of the draft. (7) "Risk of harm" means any disclosure of the nature or location of any archaeological resource that results, or may result, in the loss or destruction of archaeological context, or archaeological information. Authority G.S. 70-12; 70-14. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1085 07 NCAC 04R .0703 ARCHAEOLOGICAL INVESTIGATIONS ON STATE LANDS (a) Permits are required for persons wishing to conduct archeological investigations on state lands. Permits are issued by the Secretary of the Department of Administration or his designee. The mailing address is: Department of Administration Administration Building 116 West Jones Street Raleigh, N. C. 27611 (b) Two types of permits shall be issued: (1) General Permits shall be issued to those land controlling agencies that employ qualified archaeologists on a full time permanent basis to conduct archaeological investigations on state lands directly under the agency's control. (2) All other permits shall be Specific Permits. Authority G.S. 70-13; 70-15(a). 07 NCAC 04R .0704 EMERGENCY ARCHAEOLOGICAL INVESTIGATIONS (a) A Specific Permit is not required for emergency archaeological investigations on state lands if the person conducting the investigation meets the minimum qualifications stated in Rule .0706 of this Section and the land controlling agency has notified the Secretary of the Department of Administration or his designee and the Secretary of the Department of Cultural Resources or his designee. Reporting requirements for emergency archaeological investigations are the same as those specified in Rule .0712 of this Section unless the investigations are conducted under a General Permit. General Permit reporting requirements are specified in Rule .0713 of this Section. (b) A permittee may conduct emergency archaeological investigations beyond the terms of an existing Specific Permit. However, terms of the Specific Permit shall remain in effect, including those terms pertaining to reporting schedules. (c) A General Permit allows emergency archaeological investigations to be conducted by the principal investigator in whose name it was issued, and only on those state lands directly under the control of the land controlling agency by whom the principal investigator is employed. Terms of the General Permit will remain in effect, including terms pertaining to reporting schedules. Authority G.S. 70-14. 07 NCAC 04R .0705 APPLICATION FOR ARCHAEOLOGICAL PERMITS (a) Persons wishing to apply for a permit to conduct archaeological investigations on state lands shall obtain application forms from the office of the Secretary of the Department of Administration and submit completed permit applications to the same office. After receiving an application, that office will forward copies to the State Property Office, Department of Administration; the Secretary of the Department of Cultural Resources or his designee; and the appropriate land controlling agency. (b) Applications for Specific Permits must be submitted to the Secretary of the Department of Administration or his designee at least 30 days prior to the proposed starting date of the archaeological investigations. Each Specific Permit application shall include: (1) a written description of the location of the proposed investigations, including the county and township; (2) a 1: 24,000 or larger scale map clearly depicting the location of the proposed investigations; (3) a description of the exact nature, objectives and scope of the proposed investigations, including the methods to be employed and the requirements for vegetation clearing; (4) the schedule for the investigations, including hours of the day and days of the week, as well as beginning and completion dates. The schedule shall include 60 days for review and comment of the draft report by the Secretary of the Department of Cultural Resources or his designee and the land controlling agency and a maximum of 30 days for response, revisions and submittal of the final report by the applicant; (5) the name, address, telephone number, institutional affiliation, if any, and qualifications of the principal investigator; (6) the name, address, telephone number, and qualifications of the field director, if different from the principal investigator; (7) the approximate number of people proposed to carry out the investigations; (8) evidence of the applicant's capability to initiate, conduct and complete the proposed investigations; (9) written criteria for evaluation of requests for access to records and artifacts at the facility where the records and artifacts are to be curated; (10) the location proposed for curation of all artifacts, records, data, photographs, and other documents or information resulting from the investigations; (11) written concurrence from the land controlling agency regarding the applicant's proposed curatorial arrangements; (12) facilities and plans for stabilization and preservation of perishable or unstable artifacts; (13) the person or position in the institution or agency with responsibility for curation of artifacts, records, and other documentation or information who will determine access to this material; (14) a description of the type and timing of all access needs on state property, vehicular or otherwise, required to conduct the investigations; PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1086 (15) a description of how the project will be coordinated with the site specific land manager, including the applicant's documentation that initial contact has been made and the name of the specific person contacted; (16) a description of the provisions to be made to secure the permit area to assure the safety of incidental non-project personnel who may visit the permit area during and after project hours; (17) an indication of the length of time each excavation unit will be open and a description of a schedule for reclaiming all areas disturbed by any aspect of the archaeological investigations; and (18) the applicant's plans, if any, for dissemination of the results of the investigations in addition to the reporting requirements noted in Rule .0712 of this Section. If additional information is required from the applicant by the land controlling agency during review of the Specific Permit application, the land controlling agency will contact the applicant directly. The information obtained will be added to the application or permit file. (c) A land controlling agency may be issued a General Permit to conduct archaeological investigations and emergency archeological investigations on land directly controlled by that agency. Each General Permit application for a land controlling agency shall include: (1) a written description of the lands controlled by the agency, including the county and township; (2) a general description of the nature and objectives of potential investigations; (3) the name, address, telephone number, and qualifications of the principal investigator; (4) evidence that the requirements of Rule .0706 of this Section are met; (5) written criteria for evaluation of requests for access to records and artifacts at the facility where the records and artifacts are to be curated; (6) the location proposed for curation of all artifacts, records, data, photographs, and other documents or information resulting from the investigations; (7) facilities and plans for stabilization and preservation of perishable or unstable artifacts; (8) the person or position in the institution or agency with responsibility for curation of artifacts, records, and other documentation or information who will determine access to this material; and (9) The principal investigator's plans, if any, for dissemination of the results of the investigation in addition to the reporting requirements in Rule .0713 of this Section. Authority G.S. 70-13(a),(b); 70-14. 07 NCAC 04R .0706 QUALIFICATIONS FOR PERMITS Applicants for Specific or General Permits to conduct archaeological investigations must be qualified, as evidenced by training, education and experience, possess demonstrable competence in theoretical and methodological design, and in collecting, handling, analyzing, evaluating, and reporting archaeological data, relative to the type and scope of the investigations proposed, and meet the following minimum qualifications: (1) Have a postgraduate degree, or equivalent training and experience, in archaeology, anthropology, history or another related field with a specialization in archaeology; and (2) Have a minimum of one year's experience in conducting basic archaeological field research. Authority G.S. 70-13(b); 70-14. 07 NCAC 04R .0707 ISSUANCE OF PERMITS (a) The Secretary of the Department of Administration or his designee, after consultation with the Secretary of the Department of Cultural Resources or his designee and the land controlling agency, has decision-making authority concerning the issuance of a Specific Permit. The Specific Permit will be issued or denied within 30 days after submission of the completed application. (b) Specific Permits will not be issued to persons who have conducted emergency archaeological investigations until receipt and acceptance of a final report pursuant to Rules .0712 and .0714 of this Section. (c) General Permits will be issued to a land controlling agency within 30 days following submission of the completed application provided the terms and requirements of these rules pertaining to General Permits are fulfilled. Authority G.S. 70-13(b); 70-14. 07 NCAC 04R .0708 TIME LIMITS OF PERMITS (a) The Secretary of the Department of Administration or his designee will issue General Permits for five years from the date of issuance. Specific Permits shall be for an appropriate period not to exceed three years. (b) A permittee may apply for permit renewal by following procedures under Rule .0705 of this Section. (c) The Secretary of the Department of Administration or his designee, after consultation with the Secretary of the Department of Cultural Resources or his designee, and the head of the land controlling agency or his designee, may extend Specific Permits for up to six months, renew Specific Permits for up to three additional years, or renew General Permits for a period of five years, after review of extension requests or renewal applications and evaluation of past performance of the applicant. (d) The Secretary of the Department of Administration or his designee may extend a Specific Permit only once, but may renew a Specific Permit any number of times. (e) The Secretary of the Department of Administration or his designee, in consultation with the Secretary of the Department of Cultural Resources or his designee and the land controlling PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1087 agency, shall review, at least annually, the permittee's performance under any permit issued for a period greater than one year: (1) For Specific Permits, the review is made through interim reports submitted by the permittee or through inspections at the locations of the investigations. (2) For General Permits, the review is made through annual reports prepared by the land controlling agency's principal investigator. Authority G.S. 70-14. 07 NCAC 04R .0709 TERMS AND CONDITIONS OF PERMITS (a) In all permits, the Secretary of the Department of Administration or his designee shall specify: (1) the exact nature and extent of the investigations allowed under the permit, including the time, duration, scope, location, and purpose of the investigations; (2) the name of the individual responsible for conducting the investigations and, if different, the name of the individual responsible for carrying out the terms and conditions of the permit; (3) the name of the land controlling agency, university, museum or other scientific or educational institution in which any collected materials and data will be deposited; and (4) the reporting requirements and schedule according to Rules .0712 or .0713 of this Section. (b) The Secretary of the Department of Administration or his designee may specify terms and conditions necessary to ensure public safety and to protect other resources, both natural and cultural, to safeguard other legitimate land uses, and to limit activities incidental to investigations authorized under a permit. (c) State officials from the Department of Administration, Department of Cultural Resources, the land controlling agency and any other agencies involved in consultation or approval of a permit may make inspections at the permit location as necessary to ensure that the terms and conditions of the permit are being fulfilled. (d) After receipt of an approved permit, the permittee must notify the Secretary of the Department of Administration or his designee in writing within 15 days of his acceptance of the terms and conditions of the permit. (e) The permittee will be responsible for securing the project area and will hold the Department of Administration, the Department of Cultural Resources and the land controlling agency harmless for any and all claims arising out of the project. (f) The Department of Administration, the Department of Cultural Resources, and the land controlling agency will be held harmless for any trespass of or damage to adjacent private property caused by the permittee under the permit. (g) The permittee shall sign a waiver of all claims against the Department of Administration, the Department of Cultural Resources, and the land controlling agency. (h) The permittee will be held responsible for any damage to state property resulting from the permitted investigations. (i) The permittee shall submit evidence of liability insurance upon acceptance of the terms and conditions of a permit. (j) Archaeological investigations conducted under the auspices of a permit shall comply with all applicable state, federal, or local regulations and the rules and regulations of the land controlling agency. All such investigations shall conform with the management plans and operation practices of the land controlling agency. (k) All physical access to state-owned lands during permitted investigations shall be controlled by and coordinated with the land controlling agency and the site specific land manager. (l) All project lands will be restored to their pre-project condition by the permittee by the conclusion of the field investigations. (m) The land controlling agency shall report simultaneously in writing to the Secretary of the Department of Administration and the Secretary of the Department of Cultural Resources any change in the status of either the principal investigator or the field director for which a General Permit was issued within ten days of that change. Authority G.S. 70-13(c); 70-14. 07 NCAC 04R .0710 PERMIT DENIAL: SUSPENSION AND REVOCATION (a) A permit shall be denied if the Department of Administration, in consultation with the Department of Cultural Resources and the land controlling agency, finds that: (1) the proposed investigations would represent a significant adverse effect to a unique or fragile natural resource; (2) the proposed investigations would interfere with the operation and management of an area; (3) the proposed investigations would pose a threat to the safety of visitors to an area; (4) the criteria set forth in G.S. 70-13(b)(1) through G.S 70-13(b)(7) have not been met by the applicant; (5) the applicant, pursuant to a previous permit, has not met the purposes of the law as set forth in G.S. 70-11(b) or G.S. 70-18; or (6) the applicant has not completed the terms and conditions of a previous permit. (b) A permit may be suspended or revoked if the Department of Administration, in consultation with the Department of Cultural Resources and the land controlling agency, finds that: (1) the terms and conditions of the permit have been or are being violated; or (2) the confidentiality of information relating to the nature and location of the archaeological resources is not maintained in accordance with the provisions of G.S. 70-18. Authority G.S. 70-13(b),(e); 70-14. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1088 07 NCAC 04R .0711 APPEALS RELATING TO PERMITS Any person may appeal permit issuance, denial, suspension or revocation through appeals procedures established in Article 3 of G.S. 150B. Authority G.S. 70-14; 150B-23 through 150B-37. 07 NCAC 04R .0712 REPORTING REQUIREMENTS FOR SPECIFIC PERMITS (a) Reports are required for all archaeological investigations conducted under Specific Permits. All reports are to be submitted simultaneously to the Secretary of the Department of Administration, the Secretary of the Department of Cultural Resources and the head of the land controlling agency. (b) The permittee must submit a preliminary field report within 60 days after completion of the on-site archaeological investigation. Preliminary field reports resulting from emergency archaeological investigations shall specify a date for submission of the draft report. (c) The permittee must submit draft reports according to the schedule established in the permit or, in the case of emergency archaeological investigations, by the date specified in the preliminary field report. Draft reports submitted for emergency archaeological investigations shall include, but not be limited to, information on storage and curation of artifacts, records and other data in accordance with the specifications in Rule .0705(b)(9)-(13) of this Section. (d) The permittee must submit final reports no later than 90 days after submission of the draft report. (e) If the specified submission date for a draft report resulting from emergency archaeological investigations extends beyond one year from the date of submission of the preliminary field report, interim progress reports shall be submitted at least annually. (f) Upon request, the permittee or the principal investigator, in the case of emergency archaeological investigations, shall provide in the final report information concerning: (1) the permanent physical location of artifacts, records, and all other documentation; (2) an itemized list of all recovered archaeological resources by type, variety, material or other appropriate description, and a list of accession numbers or other permanent identifiers applied to the recovered resources; and (3) an itemized list of records, photographs and other documents, and a list of accession numbers or other permanent identifiers applied to the records and data. Authority G.S. 70-13(c); 70-14. 07 NCAC 04R .0713 REPORTING REQUIREMENTS FOR GENERAL PERMITS (a) Reports of archaeological investigations conducted under the terms of a General Permit shall be submitted simultaneously to the Secretary of the Department of Administration and the Secretary of the Department of Cultural Resources. (b) The principal investigator will submit a summary of the results of all archaeological investigations as part of the annual report required under the terms of Rule .0708(e)(2) of this Section. (c) Final reports concerning archaeological investigations and emergency archaeological investigations shall be submitted by the end of the calendar year that immediately follows the year in which the archaeological investigations were conducted. (d) The principal investigator, in consultation with the Secretary of the Department of Administration or his designee and the Secretary of the Department of Cultural Resources or his designee, may delay the submission of a final report until an agreed upon date. (e) The principal investigator shall: (1) provide information concerning the permanent physical location of artifacts, records, and all other documentation for all archaeological investigations; (2) maintain an itemized list of all recovered archaeological resources by type, variety, material or other appropriate description, and a list of accession numbers or other permanent identifiers applied to the recovered resources; and (3) maintain an itemized list of records, photographs and other documents, and a list of accession numbers or other permanent identifiers applied to the records and data. (f) As a condition of renewing a General Permit, the Secretary of the Department of Cultural Resources or his designee may require an inspection of the record and resource repository or management system. Authority G.S. 70-13(c); 70-14. 07 NCAC 04R .0714 REPORT REVIEW FOR SPECIFIC PERMITS (a) The Secretary of the Department of Cultural Resources or his designee and the land controlling agency shall review all draft and final reports for Specific Permits to ensure that the investigations serve the public interest and the reports meet professional standards. The Secretary of the Department of Cultural Resources or his designee may request revisions of the draft or final reports. Terms and conditions of a Specific Permit are considered satisfied only after revisions have been completed and the report accepted. (b) The Secretary of the Department of Cultural Resources or his designee and the land controlling agency have 60 days after receipt to review and comment on draft reports and return written comments to the Secretary of the Department of Administration or his designee and the permittee. (c) The permittee has 30 days to revise the draft report before submission of the final report. Authority G.S. 70-13(c); 70-14. 07 NCAC 04R .0715 REPORT REVIEW FOR GENERAL PERMITS (a) The Secretary of the Department of Cultural Resources or his designee shall review the final reports for General Permits to PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1089 ensure that the reports meet professional standards. The Secretary of the Department of Cultural Resources or his designee may request revisions of the final report to ensure professional standards are maintained. (b) The Secretary of the Department of Cultural Resources or his designee has 30 days after receipt to review and comment on reports and return written comments to the Secretary of the Department of Administration or his designee, the land controlling agency and the principal investigator. (c) The principal investigator has 30 days to revise the final report. Authority G.S. 70-13(c); 70-14. 07 NCAC 04R .0716 CUSTODY OF RESOURCES UNDER THE TERMS OF A SPECIFIC PERMIT (a) The archaeological resources and associated records and data which are collected, excavated or removed from state lands under the terms of a Specific Permit shall remain the property of the State of North Carolina. The location of all records, artifacts, or other materials cannot be changed from that approved in the permit without prior approval of the Secretary of the Department of Cultural Resources or his designee and the land controlling agency. This restriction does not apply to temporary removal and relocation of artifacts or records for the purposes of scientific, historical, or educational research, nor for purposes of public display or education, so long as the artifacts or records remain under the direct control of and within the physical boundaries of the museum, university, or scientific or educational institution approved in the permittee's application. (b) All records and artifacts must be accessible for scientific, historical, or educational research, if access does not compromise the confidentiality of the nature and location of any archaeological resources or pose a risk of harm to the resources or site. Access shall be determined by that person identified in Rule .0705(b)(13) of this Section. (c) Transfers or loans of records and artifacts between universities, museums, and scientific or educational institutions must be approved by the Secretary of the Department of Cultural Resources or his designee and the land controlling agency and must be preceded by demonstration that the receiving institution conforms to the conditions in this Rule. In addition, the Secretary must have been provided the information outlined in Rule .0712(f) of this Section. Authority G.S. 70-14. 07 NCAC 04R .0717 CUSTODY/ARCHAEOLOGICAL RESOURCES UNDER/TERMS: GENERAL PERMIT (a) Under the terms of a General Permit, the location of all records, artifacts or other materials cannot be changed from that approved in the permit without prior approval of the Secretary of the Department of Cultural Resources or his designee. This restriction does not apply to temporary removal and relocation of artifacts and records for the purposes of scientific, historical, or educational research, nor for purposes of public display or education, so long as the artifacts or records remain under the direct control of the principal investigator or the land controlling agency. (b) All records and artifacts must be accessible for scientific, historical, or educational research, if access does not compromise the confidentiality of the nature and location of any archaeological resources or pose a risk of harm to the resources or site. Access shall be determined by that person identified in Rule .0705(c)(8) of this Section. (c) Transfers or loans of records and artifacts between land controlling agencies, universities, museums, and scientific or educational institutions must be approved by the Secretary of the Department of Cultural Resources or his designee and must be preceded by demonstration that the receiving institution conforms to the conditions in this Rule. In addition, the Secretary must have been provided the information outlined in Rule .0713(e) of this Section. This condition does not apply to the movement of artifacts within a land controlling agency, as long the artifacts remain under the direct control of the principal investigator and the land controlling agency. Authority G.S. 70-14. 07 NCAC 04R .0718 CONFIDENTIALITY Information concerning archaeological resources that is maintained by the Department of Cultural Resources has restricted distribution. Access to records, artifacts, or other materials may be denied if it is determined that access constitutes a risk of harm. Authority G.S. 70-14; 70-18. SECTION .0800 – ARCHAEOLOGY SERVICES 07 NCAC 04R .0801 OPERATING HOURS The Office of State Archaeology, or OSA offices, as well as any regional offices and facilities, are open between 8:00 a.m. and 5:00 p.m., Monday through Friday, except on state holidays. These hours may be extended to accommodate public education programs. Visitors under the age of 12 must be accompanied by an adult unless prior arrangements have been made. Pets are not allowed in the facilities. Visitors are not allowed in the offices after hours unless accompanied by, or arrangements have been made with, a member of the staff. Access to areas may be restricted for reasons of safety and security. Authority G.S. 121-5(b); 121-8(b),(f). 07 NCAC 04R .0802 LOAN OF ARTIFACTS (a) Artifacts possessed by the Division of Archives and History shall not be loaned for uses other than museum purposes, research purposes, or non-museum public display by local, state, or federal agencies or institutions where the use is intended for public education. (b) Loaned artifacts, specimens, documents, and records shall remain in the condition in which they were delivered. The borrower shall insure the articles against loss or damage. The artifacts must be protectively packaged. The artifacts remain the property of the Division of Archives and History and can be withdrawn with 15 days notice upon presentation of a written communication by the lender or its duly authorized representative. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1090 (c) Written authorization must be issued by the Office of State Archaeology to permit photography or duplication of any artifact of any kind. An acknowledgment credit shall identify each artifact image with the Office of State Archaeology, North Carolina Division of Archives and History. (d) All requests for loans of artifacts shall be submitted in writing to the State Archaeologist at least 30 days in advance of the requested loan period. (e) A written contract between the borrower and the Division of Archives and History containing the period and conditions of the loan shall be signed prior to the lending of any artifact. Authority G.S. 121-2(8); 121
Object Description
Description
Title | North Carolina register |
Date | 2010-11-01 |
Description | Vol. 25, Issue 9 (November 1, 2010) |
Digital Characteristics-A | 3 MB; 110 p. |
Digital Format | application/pdf |
Full Text | This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 NORTH CAROLINA REGISTER VOLUME 25 ● ISSUE 09 ● Pages 1054 - 1159 November 1, 2010 I. EXECUTIVE ORDERS Executive Order No. 65 ...................................................................................... 1054 – 1056 Executive Order No. 66 ...................................................................................... 1057 – 1058 Executive Order No. 67 ...................................................................................... 1059 Executive Order No. 68 ...................................................................................... 1060 – 1062 Executive Order No. 69 ...................................................................................... 1063 – 1065 II. IN ADDITION DENR-Public Notice of Extended Comment Period .......................................... 1066 DENR-Div. of Water Quality Public Notice ...................................................... 1067 III. PROPOSED RULES Cultural Resources, Department of Department ...................................................................................................... 1068 – 1101 Environment and Natural Resources, Department of Wildlife Resources Commission ..................................................................... 1102 – 1103 Insurance, Department of Insurance, Commissioner of............................................................................ 1101 – 1102 Occupational Licensing Boards and Commissions Nursing, Board of ............................................................................................ 1103 – 1104 Substance Abuse Professional Practice Board ................................................ 1104 – 1113 State Ethics Commission State Ethics Commission ................................................................................ 1113 – 1119 IV. APPROVED RULES ........................................................................................ 1120 – 1147 Administrative Hearings, Office of Office of Administrative Hearings Health and Human Services, Department of Medical Care Commission Public Health, Commission for Insurance, Department of Home Inspector Licensure Board Insurance, Commissioner of Justice, Department of Private Protective Services Board Occupational Licensing Boards and Commissions Funeral Service, Board of Pharmacy, Board of V. RULES REVIEW COMMISSION ................................................................. 1148 – 1154 VI. CONTESTED CASE DECISIONS Index to ALJ Decisions ...................................................................................... 1155 – 1159 This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 Contact List for Rulemaking Questions or Concerns For questions or concerns regarding the Administrative Procedure Act or any of its components, consult with the agencies below. The bolded headings are typical issues which the given agency can address, but are not inclusive. Rule Notices, Filings, Register, Deadlines, Copies of Proposed Rules, etc. Office of Administrative Hearings Rules Division 1711 New Hope Church Road (919) 431-3000 Raleigh, North Carolina 27609 (919) 431-3104 FAX contact: Molly Masich, Codifier of Rules molly.masich@oah.nc.gov (919) 431-3071 Dana Vojtko, Publications Coordinator dana.vojtko@oah.nc.gov (919) 431-3075 Julie Edwards, Editorial Assistant julie.edwards@oah.nc.gov (919) 431-3073 Tammara Chalmers, Editorial Assistant tammara.chalmers@oah.nc.gov (919) 431-3083 Rule Review and Legal Issues Rules Review Commission 1711 New Hope Church Road (919) 431-3000 Raleigh, North Carolina 27609 (919) 431-3104 FAX contact: Joe DeLuca Jr., Commission Counsel joe.deluca@oah.nc.gov (919) 431-3081 Bobby Bryan, Commission Counsel bobby.bryan@oah.nc.gov (919) 431-3079 Fiscal Notes & Economic Analysis Office of State Budget and Management 116 West Jones Street (919) 807-4700 Raleigh, North Carolina 27603-8005 (919) 733-0640 FAX Contact: Anca Grozav, Economic Analyst osbmruleanalysis@osbm.nc.gov (919) 807-4740 NC Association of County Commissioners 215 North Dawson Street (919) 715-2893 Raleigh, North Carolina 27603 contact: Jim Blackburn jim.blackburn@ncacc.org Rebecca Troutman rebecca.troutman@ncacc.org NC League of Municipalities (919) 715-4000 215 North Dawson Street Raleigh, North Carolina 27603 contact: Erin L. Wynia ewynia@nclm.org Governor’s Review Edwin M. Speas, Jr. edwin.speas@nc.gov General Counsel to the Governor (919) 733-5811 116 West Jones Street 20301 Mail Service Center Raleigh, North Carolina 27699-0301 Legislative Process Concerning Rule-making Joint Legislative Administrative Procedure Oversight Committee 545 Legislative Office Building 300 North Salisbury Street (919) 733-2578 Raleigh, North Carolina 27611 (919) 715-5460 FAX contact: Karen Cochrane-Brown, Staff Attorney Karen.cochrane-brown@ncleg.net Jeff Hudson, Staff Attorney Jeffrey.hudson@ncleg.net This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 NORTH CAROLINA REGISTER Publication Schedule for January 2010 – December 2010 FILING DEADLINES NOTICE OF TEXT PERMANENT RULE TEMPORARY RULES Volume & issue number Issue date Last day for filing Earliest date for public hearing End of required comment period Deadline to submit to RRC for review at next meeting Earliest Eff. Date of Permanent Rule Delayed Eff. Date of Permanent Rule 31st legislative day of the session beginning: 270th day from publication in the Register 24:13 01/04/10 12/09/09 01/19/10 03/05/10 03/22/10 05/01/10 05/12/10 10/01/10 24:14 01/15/10 12/22/09 01/30/10 03/16/10 03/22/10 05/01/10 05/12/10 10/12/10 24:15 02/01/10 01/08/10 02/16/10 04/05/10 04/20/10 06/01/10 01/26/11 10/29/10 24:16 02/15/10 01/25/10 03/02/10 04/16/10 04/20/10 06/01/10 01/26/11 11/12/10 24:17 03/01/10 02/08/10 03/16/10 04/30/10 05/20/10 07/01/10 01/26/11 11/26109 24:18 03/15/10 02/22/10 03/30/10 05/14/10 05/20/10 07/01/10 01/26/11 12/10/10 24:19 04/01/10 03/11/10 04/16/10 06/01/10 06/21/10 08/01/10 01/26/11 12/27/10 24:20 04/15/10 03/24/10 04/30/10 06/14/10 06/21/10 08/01/10 01/26/11 01/10/11 24:21 05/03/10 04/12/10 05/18/10 07/02/10 07/20/10 09/01/10 01/26/11 01/28/11 24:22 05/17/10 04/26/10 06/01/10 07/16/10 07/20/10 09/01/10 01/26/11 02/11/11 24:23 06/01/10 05/10/10 06/16/10 08/02/10 08/20/10 10/01/10 01/26/11 02/26/11 24:24 06/15/10 05/24/10 06/30/10 08/16/10 08/20/10 10/01/10 01/26/11 03/12/11 25:01 07/01/10 06/10/10 07/16/10 08/30/10 09/20/10 11/01/10 01/26/11 03/28/11 25:02 07/15/10 06/23/10 07/30/10 09/13/10 09/20/10 11/01/10 01/26/11 04/11/11 25:03 08/02/10 07/12/10 08/17/10 10/01/10 10/20/10 12/01/10 01/26/11 04/29/11 25:04 08/16/10 07/26/10 08/31/10 10/15/10 10/20/10 12/01/10 01/26/11 05/13/11 25:05 09/01/10 08/11/10 09/16/10 11/01/10 11/22/10 01/01/11 01/26/11 05/29/11 25:06 09/15/10 08/24/10 09/30/10 11/15/10 11/22/10 01/01/11 01/26/11 06/12/11 25:07 10/01/10 09/10/10 10/16/10 11/30/10 12/20/10 02/01/11 05/2012 06/28/11 25:08 10/15/10 09/24/10 10/30/10 12/14/10 12/20/10 02/01/11 05/2012 07/12/11 25:09 11/01/10 10/11/10 11/16/10 01/03/11 01/20/11 03/01/11 05/2012 07/29/11 25:10 11/15/10 10/22/10 11/30/10 01/14/11 01/20/11 03/01/11 05/2012 08/12/11 25:11 12/01/10 11/05/10 12/16/10 01/31/11 02/21/11 04/01/11 05/2012 08/28/11 25:12 12/15/10 11/22/10 12/30/10 02/14/11 02/21/11 04/01/11 05/2012 09/11/11 This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 EXPLANATION OF THE PUBLICATION SCHEDULE This Publication Schedule is prepared by the Office of Administrative Hearings as a public service and the computation of time periods are not to be deemed binding or controlling. Time is computed according to 26 NCAC 2C .0302 and the Rules of Civil Procedure, Rule 6. GENERAL The North Carolina Register shall be published twice a month and contains the following information submitted for publication by a state agency: (1) temporary rules; (2) notices of rule-making proceedings; (3) text of proposed rules; (4) text of permanent rules approved by the Rules Review Commission; (5) notices of receipt of a petition for municipal incorporation, as required by G.S. 120-165; (6) Executive Orders of the Governor; (7) final decision letters from the U.S. Attorney General concerning changes in laws affecting voting in a jurisdiction subject of Section 5 of the Voting Rights Act of 1965, as required by G.S. 120-30.9H; (8) orders of the Tax Review Board issued under G.S. 105-241.2; and (9) other information the Codifier of Rules determines to be helpful to the public. COMPUTING TIME: In computing time in the schedule, the day of publication of the North Carolina Register is not included. The last day of the period so computed is included, unless it is a Saturday, Sunday, or State holiday, in which event the period runs until the preceding day which is not a Saturday, Sunday, or State holiday. FILING DEADLINES ISSUE DATE: The Register is published on the first and fifteen of each month if the first or fifteenth of the month is not a Saturday, Sunday, or State holiday for employees mandated by the State Personnel Commission. If the first or fifteenth of any month is a Saturday, Sunday, or a holiday for State employees, the North Carolina Register issue for that day will be published on the day of that month after the first or fifteenth that is not a Saturday, Sunday, or holiday for State employees. LAST DAY FOR FILING: The last day for filing for any issue is 15 days before the issue date excluding Saturdays, Sundays, and holidays for State employees. NOTICE OF TEXT EARLIEST DATE FOR PUBLIC HEARING: The hearing date shall be at least 15 days after the date a notice of the hearing is published. END OF REQUIRED COMMENT PERIOD An agency shall accept comments on the text of a proposed rule for at least 60 days after the text is published or until the date of any public hearings held on the proposed rule, whichever is longer. DEADLINE TO SUBMIT TO THE RULES REVIEW COMMISSION: The Commission shall review a rule submitted to it on or before the twentieth of a month by the last day of the next month. FIRST LEGISLATIVE DAY OF THE NEXT REGULAR SESSION OF THE GENERAL ASSEMBLY: This date is the first legislative day of the next regular session of the General Assembly following approval of the rule by the Rules Review Commission. See G.S. 150B- 21.3, Effective date of rules. EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1054 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1055 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1056 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1057 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1058 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1059 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1060 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1061 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1062 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1063 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1064 EXECUTIVE ORDERS 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1065 IN ADDITION 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1066 DEPARTMENT OF ENVIRONMENTAL AND NATURAL RESOURCES DIVISION OF WASTE MANAGEMENT NOTICE OF EXTENDED COMMENT PERIOD Notice is hereby given that the end of the comment period for the proposed rules 15A NCAC 13B .0101, .0563, .1604, .1626, .1632- .1635, .1637 originally published in the N.C. Register on August 16, 2010 in Volume 25 Issue 4 Page 465 and previously extended until November 1, 2010 will now be extended until January 31, 2011. Procedure by which a person can object to the agency on a proposed rule: Persons may submit written objections to the proposed rule by contacting: Ellen Lorscheider, DENR Division of Waste Management, Solid Waste Section, 1646 Mail Service Center, Raleigh, NC 27699-1646, fax (919)733-4810; or email ellen.lorscheider@ncdenr.gov. Comments may be submitted to: Ellen Lorscheider, Planning and Programs Branch Head, 1646 Mail Service Center, Raleigh, NC 27699-1646, phone (919)508-8400, fax (919)733-4810, email ellen.lorscheider@ncdenr.gov IN ADDITION 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1067 PUBLIC NOTICE DEPARTMENT OF ENVIRONMENT AND NATURAL RESOURCES DIVISION OF WATER QUALITY The Division of Water Quality received a petition to establish interim maximum allowable concentrations in groundwater for Acetochlor, Acetochlor ESA, Acetochlor OXA, Methyl Isobutyl Ketone, Perchlorate and Perchlorate Salts. These IMACs will aid DENR programs in assessing conditions and setting health protective groundwater levels at regulated sites. In accordance with 15A NCAC 02L .0202 (c), the following interim maximum allowable concentrations are hereby established for Class GA and GSA groundwaters, effective December 1, 2010. Substance Concentration Acetochlor 100 ug/L Acetochlor ESA 1000 ug/L Acetochlor OXA 1000 ug/L Methyl Isobutyl Ketone 100 ug/L Perchlorate and Perchlorate Salts 2 ug/L Action to adopt permanent standards for these substances will be initiated during the 2010-2012 groundwater standard triennial review. For more information or questions, please contact Sandra Moore at Sandra.moore@ncdenr.gov or 919-807-6417 or visit our web site at http://portal.ncdenr.org/web/wq/ps/csu. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1068 Note from the Codifier: The notices published in this Section of the NC Register include the text of proposed rules. The agency must accept comments on the proposed rule(s) for at least 60 days from the publication date, or until the public hearing, or a later date if specified in the notice by the agency. If the agency adopts a rule that differs substantially from a prior published notice, the agency must publish the text of the proposed different rule and accept comment on the proposed different rule for 60 days. Statutory reference: G.S. 150B-21.2. TITLE 07 – DEPARTMENT OF CULTURAL RESOURCES Notice is hereby given in accordance with G.S. 150B-21.2 that the Department of Cultural Resources intends to adopt the rules cited as 07 NCAC 02G .0101-.0102, 02H .0101-.0106, .0201- .0203, .0301-.0307, 02I .0101, .0201-.0202, .0301-.0308, 02J .0101-.0103 and repeal the rules cited as 07 NCAC 02A .0101- .0102, .0201, 02B .0101-.0102, .0201, .0203, 02C .0101-.0105, .0201-.0202, .0204-.0205, .0301-.0302, .0501-.0504, 02D .0101- .0115, .0301-.0307, 02E .0101, .0201-.0208, .0301-.0302, .0304, .0401-.0403, 02F .0101-.0103. Proposed Effective Date: April 1, 2011 Public Hearing: Date: January 24, 2011 Time: 1:00 p.m. Location: Archives and History/State Library Building, 109 E. Jones Street, Raleigh, NC 3rd floor Conference Room Reason for Proposed Action: The proposed action is necessary in order for the Department of Cultural Resources to update the Administrative Code provisions relevant to the State Library of North Carolina, last revised in 1989. In the interim the institutions changed its name from the North Carolina State Library to the State Library of North Carolina and expanded and modernized its services. Technical corrections are part of those changes but, more importantly, the State Library gained new statutory authority for the organization and administration of regional libraries. Procedure by which a person can object to the agency on a proposed rule: Objections may be submitted in writing to Mary Boone during the comment period. Additional objections may be made verbally and in writing at the public hearing. Comments may be submitted to: Mary Boone, Department of Cultural Resources, 4640 Mail Service Center, Raleigh, NC 27699-4610, phone (919)807-7410, fax (919)733-8748, email mary.boone@ncdcr.gov Comment period ends: February 1, 2011 Procedure for Subjecting a Proposed Rule to Legislative Review: If an objection is not resolved prior to the adoption of the rule, a person may also submit written objections to the Rules Review Commission after the adoption of the Rule. If the Rules Review Commission receives written and signed objections after the adoption of the Rule in accordance with G.S. 150B-21.3(b2) from 10 or more persons clearly requesting review by the legislature and the Rules Review Commission approves the rule, the rule will become effective as provided in G.S. 150B-21.3(b1). The Commission will receive written objections until 5:00 p.m. on the day following the day the Commission approves the rule. The Commission will receive those objections by mail, delivery service, hand delivery, or facsimile transmission. If you have any further questions concerning the submission of objections to the Commission, please call a Commission staff attorney at 919-431-3000. Fiscal Impact: A copy of the fiscal note can be obtained from the agency. State 07 NCAC 02G .0101-.0102, 02H .0101-.0106, .0201-.0203, .0301-.0307, 02I .0101, .0201-.0202, .0301-.0308, 02J .0101-.0103 Local Substantial Economic Impact (>$3,000,000) None 07 NCAC 02A .0101-.0102, .0201, 02B .0101- .0102, .0201, .0203, 02C .0101-.0105, .0201-.0202, .0204-.0205, .0301-.0302, .0501-.0504, 02D .0101- .0115, .0301-.0307, 02E .0101, .0201-.0208, .0301- .0302, .0304, .0401-.0403, 02F .0101-.0103 Fiscal Note posted at http://www.osbm.state.nc.us/files/pdf_files/DCR10212010.pdf CHAPTER 02 - DIVISION OF STATE LIBRARY SUBCHAPTER 02A - DIVISIONAL RULES SECTION .0100 - RULES OF ORGANIZATION 07 NCAC 02A .0101 DIVISION OF STATE LIBRARY (a) Location. The Special Services Section of the state library is located at 1811 North Boulevard, Raleigh, North Carolina 27635. Other sections and the administrative offices are located at 109 East Jones Street, Raleigh, North Carolina 27611. (b) Purpose. The Division of State Library provides resources, services and programs to function as an information distribution system and a resource center for state government and the people of North Carolina and thereby promote knowledge, education, commerce and business in the state. The state library is responsible for assisting in the development and provision of library and information services in general. Authority G.S. 125-1; 125-2; 143B-10. 07 NCAC 02A .0102 LIBRARY SERVICES AND CONSTRUCTION ACT ADVISORY COUNCIL (a) Responsibilities, functions and membership of the Library Services and Construction Act Advisory Council are as provided for by federal law and regulations. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1069 (b) Members shall be appointed for a term of two years by the Secretary of the Department of Cultural Resources, following the federal guidelines concerning membership, from a list of suggested names submitted by the state librarian and the coordinator of federal programs in the state library. (c) A council chairman shall be appointed by the Secretary of the Department of Cultural Resources to serve for a two-year term of office. (d) Meetings of the council shall be called by the chairman or the state librarian, as required to fulfill necessary functions and responsibilities. Authority G.S. 125-8; 143B-10; 20 U.S. Code 16; 34 C.F.R. 770.4. SECTION .0200 - DELEGATED AUTHORITY 07 NCAC 02A .0201 PURCHASE AND CONTRACT (a) Insofar as the state library exercises some discretionary authority in the selection and purchase of library materials and services, such as books, periodicals, films, maps, microforms, microfilming, binding and electronic networking, it is the policy of the Division to submit annually its anticipated volume of purchases of generally available materials or services for bids to reputable vendors. The bidding and selection processes shall follow the policies and procedures of the Division of Purchase and Contract of the Department of Administration. Vendors shall be selected on the basis of service, compliance with standard procedures and quality and size of discount or other cost-reducing factors. The state library shall then exercise its authority to purchase specific library materials and services from the vendors selected. (b) It shall also be the policy of the state library to participate in specific national, regionwide and statewide cooperative networking, established for the sharing of materials and services, and to deal with sole-source vendors for certain materials and services where necessary, especially electronic cataloging and interlibrary loan services. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02B - TECHNICAL SERVICES SECTION .0100 - STATE PUBLICATIONS CLEARINGHOUSE 07 NCAC 02B .0101 SERVICES The state publications clearinghouse acquires and catalogs publications from state agencies, arranges for the production of microfiche copies and distributes paper and microfiche copies of the publications to depository libraries throughout the state. The publications themselves are also referred to as "documents". Authority G.S. 125-2; 125-11; 143B-10. 07 NCAC 02B .0102 DOCUMENTS CHECKLIST The clearinghouse is responsible for publishing a periodic checklist of state publications and for making each issue of that checklist available to libraries in the state upon request. Authority G.S. 125-2; 125-11; 143B-10. SECTION .0200 - LIBRARY SERVICES TO STATE AGENCIES 07 NCAC 02B .0201 REQUESTS FOR SERVICES Any state agency may apply for library assistance by written request to the state librarian. The state librarian will approve such a request based on available staff and facilities. Authority G.S. 125-2; 143B-10. 07 NCAC 02B .0203 SERVICES The staff of the technical services section will perform classification, cataloging and processing for selected agency libraries on a priority basis. The staff will provide consultation, educational services and supervision of filing for participating agencies. A librarian in the section will consult with other state agencies requesting service on problems and projects requiring professional library knowledge as time permits and as approved by the state librarian. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02C - INFORMATION SERVICES SECTION .0100 - CIRCULATION AND REFERENCE 07 NCAC 02C .0101 READING ROOM The reading room of the Division of State Library is open from 8:00 a.m. to 5:30 p.m., Monday through Friday, except state holidays. The reading room collections consist of the reference collection, the index collection, periodicals, newspapers and the other library material in the reading room. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0102 CIRCULATION OF LIBRARY MATERIALS (a) Materials from the circulating collections of the state library may be borrowed for use outside the reading room by state employees. Non-state employees may borrow materials from the library through interlibrary loan at their local libraries, or they may use the material within the state library. (b) Certain materials are designated non-circulating and cannot be used outside the library. The non-circulating collection consists of the main reference collection, documents reference collection, rare book collection, genealogy collection, North Carolina vertical file material, newspapers not on microfilm, periodicals and desk copies. The circulating collections consist of the main book collection, main documents collection, newspapers on microfilm, North Carolina census on microfilm, genealogy core collection and the Works Progress Administration cemetery index. (c) The state librarian may give authorization for materials to be loaned from the library's collections to reprint publishers or microform publishers in order that these publishers may duplicate the materials and make them available for sale. In such cases, it is the responsibility of the publishers to ensure that PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1070 copyright restrictions are being observed and that the state library is not responsible for any copyright violations. (d) If any borrower loses or damages library material charged in the borrower's name, the borrower will be responsible for the cost of replacing the material. Library borrowing privileges may be withheld until payment is made. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0103 PHOTOCOPYING Photocopying services are available to the public and state employees at a cost determined by the cost of equipment, supplies and staff time required for copying. The library staff will not photocopy material in violation of copyright restrictions. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0104 REFERENCE SERVICES The state library staff will provide instruction to patrons concerning the use of the library's facilities. The primary duties of the staff are to provide information and reference services for state employees and to select and maintain materials for the library's collection. Reference and information services will be provided for non-state employees as time permits. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0105 BIBLIOGRAPHIES The information services section staff compiles and distributes bibliographies on selected subjects at the request of state agencies and employees as time, materials, and staff permit. Completed bibliographies are available on request at the circulation desk in the State Library reading room. Authority G.S. 125-2; 143B-10. SECTION .0200 - SELECTION AND ACQUISITION OF LIBRARY MATERIALS 07 NCAC 02C .0201 SELECTION POLICY Material to be added to the state library collection will be recommended by the library staff. The ultimate responsibility for selection is assumed by the state librarian. Materials acquired by the state library comply with the state library collection development guidelines, copies of which are available from library staff in the information services section. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0202 RECOMMENDATIONS Any citizen of the state may recommend an item for purchase by the library. The recommendation must be submitted to the Chief of the Information Services Section of the state library. Recommendations will be considered on the basis of criteria listed in the state library collection development guidelines, along with all other recommendations. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0204 GIFTS Gifts are accepted with the understanding that the state library reserves the privilege of deciding whether the donated material should be added to the collection. If a gift is not added, the state library will exercise the right to offer it to another library or otherwise dispose of the item. No restrictions on the state library's use of the gift material may be made by the donor and, once donated, the item may not be reclaimed. Gift items will be added to the state library's collection using the same criteria as are used in the purchase of material. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0205 COMPLAINTS CONCERNING A TITLE IN THE COLLECTION When a complaint is received concerning an item owned by the Division of State Library, the following procedure will be adhered to: (1) A request for re-evaluation form will be completed by the individual and filed with the state librarian; (2) An ad hoc committee of state library staff members will be appointed by the state librarian to review the item that is the subject of the complaint; (3) After a thorough review, the committee will recommend a course of action, determined by a majority vote, to the state librarian; (4) The state librarian and the Secretary of the Department of Cultural Resources will make the final decision as to withdrawal or retention of the item. Authority G.S. 125-2; 143B-10. SECTION .0300 - GENEALOGICAL SERVICES 07 NCAC 02C .0301 THE COLLECTION The collection of the Genealogical Services Branch includes published materials basic to genealogical research in the colonial and federal periods of the original 13 states. Complete files of major genealogical periodicals are held. Microfilmed holdings include the McCubbins collection of materials on Rowan County, North Carolina, with card file index, and complete census schedules of population for the states east of the Mississippi River. The effective research range of the collection is increased by the resources of the general collection and by the extensive holdings of federal and North Carolina state documents. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0302 SERVICES TO INDIVIDUALS (a) Patrons who visit the Genealogical Services Branch will be assisted in familiarizing themselves with the content, arrangement and special features of the genealogical collection and in the use of finding aids and special North Carolina titles. (b) Persons seeking information by mail should write concisely and ask specific questions. Letters should include such PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1071 information as the family name with acceptable variant spellings, personal names when known, specific or probable places and dates of residence, probable religious affiliation and presumed nation of origin. An inquiry about a book or article should give an exact and complete citation when possible. Patrons should state whether or not they are prepared to pay for photocopied materials and should enclose a legal-sized, self-addressed envelope with each inquiry. Authority G.S. 125-2; 143B-10. SECTION .0500 - INTERLIBRARY SERVICES 07 NCAC 02C .0501 INTERLIBRARY LOANS Interlibrary loan procedures and rules are established in the Interlibrary Loan Code for North Carolina Libraries, approved by the Executive Board of the North Carolina Library Association. This code is adopted by reference under G.S. 150B-14(c). Copies of this code are available for inspection in the state library and may be obtained by writing to the State Library, Raleigh, North Carolina 27611. Authority G.S. 125-2; 125-12; 143B-10. 07 NCAC 02C .0502 IN-WATS SERVICES IN-WATS is a full-time, toll-free reference, interlibrary loan and information telephone service for North Carolina libraries. IN-WATS reference services are available for all types of library patrons and requests, with the exception of heraldry and genealogical research, which cannot be undertaken by IN-WATS librarians. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0503 ELIGIBILITY FOR IN-WATS (a) Eligible to participate in the IN-WATS program are all public libraries, private libraries, institutional, college, and university libraries, technical institute libraries, community college libraries, industrial libraries and local and state government libraries in North Carolina. Participating libraries must: (1) have a telephone and a specified person or persons whom the IN-WATS staff can contact during regular office hours; and (2) agree to the Interlibrary Loan Code for North Carolina Libraries. (b) Librarians from eligible libraries may obtain the IN-WATS telephone number and initiate IN-WATS services by writing the Chief of Information Services Section of the State Library. Authority G.S. 125-2; 143B-10. 07 NCAC 02C .0504 IN-WATS PROCEDURE MANUAL Procedures for submitting requests to IN-WATS are outlined in the North Carolina State Library Interlibrary Services Manual available free to North Carolina libraries. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02D - SPECIAL SERVICES SECTION .0100 - LIBRARY FOR THE BLIND AND PHYSICALLY HANDICAPPED 07 NCAC 02D .0101 ELIGIBILITY (a) General. Eligibility for the services of the library for the blind and physically handicapped is determined by the federal guidelines in 36 C.F.R. 701.10 and is applied to all applicants. (b) Eligibility Criteria. The following persons are eligible for loan service: (1) persons whose visual acuity is 20/200 or less in the better eye with correcting glasses, or whose widest diameter of visual field subtends an angular distance not greater than 20 degrees; (2) persons whose visual disability, with correction and regardless of optical measurement, is certified as preventing the reading of standard printed material; (3) persons certified as unable to read or unable to use standard printed material as a result of physical limitations; or (4) persons certified as having a reading disability resulting from organic dysfunction and of sufficient severity to prevent their reading printed material in a normal manner. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0102 APPLICATION (a) Application forms are furnished by the library for the blind and physically handicapped. The forms ask for such information as name, address, date of birth, education, type of disability, items an applicant wishes to borrow, and machinery that will be necessary. (b) Each applicant must be certified as eligible and meeting requirements by competent authority. In cases of blindness, visual disability or physical limitations, "competent authority" is defined to include doctors of medicine, doctors of osteopathy, ophthalmologists, optometrists, registered nurses, physical therapists and professional staff of hospitals, institutions and public or welfare agencies, such as social workers, case workers, counselors, rehabilitation teachers and school superintendents. In the absence of any of these, certification of eligibility may be made by professional librarians or any person whose competence under specific circumstances is acceptable to the Library of Congress. In the case of reading disability from organic dysfunction, "competent authority" is defined as doctors of medicine who may consult with colleagues in associated disciplines. (c) For an application, write the North Carolina Library for the Blind and Physically Handicapped, 1811 North Boulevard, Raleigh, N.C. 27635. Authority G.S. 125-2; 143B-10. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1072 07 NCAC 02D .0103 NEW READERS (a) The library will begin service to each new library patron within three days after an application has been approved, subject to the availability of equipment and materials. (b) Material sent to each new library patron includes an introductory letter, a magazine list, a reader's interest form and at least one book. Users of recorded or braille materials also receive a recent edition of Talking Book Topics, or Braille Book Review, and the last Library of Congress annual catalog. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0104 SELECTION (a) Each library patron is informed of materials and equipment available for loan and may make specific requests or indicate a general area of interest. (b) If all material requested has been sent to the library patron and the library has not received any new request, the reader will be informed of this by letter. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0105 CIRCULATION OF MATERIALS There is no limit on the number of books a library patron may borrow at any given time, provided the books are returned within the specified 45-day borrowing period. Overdue notices are sent when books are not returned within the borrowing period. There is not a specified borrowing period for a magazine, but a new issue will not be sent until the previous one has been returned. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0106 SUSPENSION OF SERVICES The following practices by any library patron may result in the suspension of library services: repeated failure to return materials within the borrowing period; failure to use the library services for a 12-month period; willful and negligent damage to equipment or materials; unauthorized use of materials or equipment, such as loan to an ineligible person or modification of equipment; or repeated abusive verbal attacks or behavior toward library staff that is offensive or threatening. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0107 BRAILLIST (a) Any braillist who is certified by the Library of Congress may volunteer his services to the library. Volunteers receive no pay for their productions and must provide their own brailling machine. (b) Any interested person should contact the Library for the Blind and Physically Handicapped. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0108 TAPING VOLUNTEERS (a) Volunteers who read books or other materials aloud onto tapes receive no pay from the library for their productions. (b) Taping volunteers go through a training and testing period under the supervision of library staff. (c) Interested person should contact the Library for the Blind and Physically Handicapped. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0109 COPYRIGHT No volunteer-produced title for inclusion in the general collection of the library will be reproduced in any medium without copyright approval, if such approval is necessary. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0110 REQUEST/LIBRARY PATRONS/REPRODUCE MATERIALS: SPECIAL FORMATS The library, when possible, will reproduce in braille or cassette materials requested by library patrons for their personal use. The library, however, reserves the right to refuse or delay these requests for the following reasons: (1) lack of volunteer time available; (2) length or difficulty of the material to be reproduced; (3) any other reason deemed sufficient by the head of the Library for the Blind and Physically Handicapped. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0111 SMALL COLLECTIONS (a) The library will furnish circulating collections to libraries, hospitals, rest homes, and other institutions serving eligible visually and physically handicapped persons. These collections can include recorded, brailled and large print materials. The number of books furnished by the library will depend on the needs of the institution taking into account the number of people served, the rate of circulation and the availability of stock at the library. (b) Books in these collections may be borrowed for up to 120 days from the date sent. They may be exchanged for other titles at any time during the loan period. (c) The library will consider it just cause to remove a deposit collection from an institution for the following reasons: (1) failure to exchange or return books within the 120-day borrowing period; (2) unauthorized use of materials or equipment; (3) consistent return of materials or equipment in mutilated or damaged condition; or (4) any other reason deemed sufficient by the head of the Library for the Blind and Physically Handicapped. (d) Institutions also may borrow sound reproducing equipment and attachments from the library when there is sufficient stock to meet these requests. These machines may be kept by the institutions as long as the institutions continue to borrow reading materials from the library. Authority G.S. 125-2; 143B-10. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1073 07 NCAC 02D .0112 CATALOGS Catalogs produced by the Library of Congress and by the North Carolina Library for the Blind and Physically Handicapped are available to library patrons, those involved in library services to the blind and physically handicapped, and to other interested parties. Priority in filling requests for catalogs will be assigned in the order stated in the previous sentence if availability is limited. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0113 SCOPE OF THE COLLECTION (a) The Library for the Blind and Physically Handicapped performs the functions of a public library. Its collection consists of recreational and general informational materials. The library does not supply textbooks or specialized scholarly and esoteric materials. (b) Library patrons requesting textbooks or specialized scholarly and esoteric materials will be referred to the appropriate agency or, when possible, the library will attempt to procure these materials on interlibrary loan. Library patrons may request materials on interlibrary loan by telephoning or writing the library. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0114 MATERIALS SELECTION POLICY (a) Titles selected and produced by the Library of Congress for network distribution will be included in the collection of the North Carolina's Library for the Blind and Physically Handicapped. The responsibility for the selection of these titles rests with the Library of Congress. (b) In addition to materials received from the Library of Congress, the North Carolina library will add books and magazines in disc, cassette tape, braille and large-print formats through purchase, donation and volunteer production. The staff of the Library for the Blind and Physically Handicapped will make recommendations for the addition of these materials to the collection. The ultimate responsibility for selection is assumed by the state librarian. Materials which are acquired should meet high standards of quality in content, expression and form. Factors to be considered in evaluation of an item include: (1) availability of the item from an alternate source; (2) whether an item is about or set in North Carolina or written by a North Carolinian; (3) reader interest and demand; (4) suitability of format for production and inclusion in the collection. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0115 RECOMMENDATIONS Any citizen of the state may recommend an item for purchase by the library. The recommendation must be submitted to the Chief of the Special Services Section of the State Library. Recommendations will be considered on the basis of criteria listed in the state library's collection development guidelines, copies of which are available from the Special Services Section Chief. Authority G.S. 125-2; 143B-10. SECTION .0300 - AUDIOVISUAL SERVICES 07 NCAC 02D .0301 LOAN OF MATERIALS (a) The Audiovisual Services Branch of the Special Services Section maintains a diverse collection of films, videocassettes and slides which are available for loan on a tightly planned schedule to state government agencies and to local public libraries. (b) Participating libraries and agencies must make audiovisual materials available without charge to all borrowers, except for the cost of return postage via the United States Postal Service "library rate." (c) Participating libraries and agencies must give audiovisual materials borrowers access to a copy of policies and regulations concerning material use as stipulated by the state library's film service agreement. (d) For film use, participating libraries and agencies must make certain that the borrower has access to a 16mm sound projector in good repair, that the film channel and gate are cleaned before each showing and that a trained projectionist will operate the projector. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0302 REQUESTS AND SCHEDULING (a) All booking requests must be received at the Audiovisual Services Branch of the Special Services Section of the State Library not less than three weeks before the requested date of use. (b) Each borrower may request a maximum of three film titles for each date of use. (c) Materials may be requested for the specific date they are to be used. If they can be used on dates other than those specified as the first choice, those dates should also be specified on the request form. The maximum booking period is one week. (d) The Audiovisual Services Branch must be notified of cancellations as soon as possible and no later than six days before the materials are to be mailed from the branch. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0303 RETURN OF MATERIALS (a) Materials must be sent back to the Audiovisual Services Branch the day after their use, unless this day falls on a Saturday, a Sunday, or a holiday. In this case, the materials must be mailed or otherwise delivered the following Monday or the day after the holiday. (b) At the time materials are picked up, participating libraries and agencies must notify each borrower of the specific date and time the materials are to be returned to the library or agency. Authority G.S. 125-2; 143B-10. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1074 07 NCAC 02D .0304 LATE OR DAMAGED FILM (a) Late materials must be mailed to the Audiovisual Services Branch via "special delivery" and the branch must be notified by telephone when materials are being returned late. The state library must be reimbursed for postage charged by the United States Postal Service when late materials must be sent via "special delivery" to the next borrower. (b) A fine specified in the state library's film service agreement is due for each day a film is overdue. The borrowing library or agency must send payment no later than one month after receiving an overdue notice and enclose the notice with the payment. (c) Borrowers must be instructed not to repair damaged film by any method, and to return film which has been damaged immediately to the library or agency. Damaged film must be returned unrepaired and without removing damaged footage to the film services branch. (d) Participating libraries and agencies must reimburse the state library for the cost or value of replacement footage or replacement film, as determined by the Audiovisual Services Branch, when materials are lost or damaged by borrowers. These libraries and agencies must send reimbursement to the state library no later than one month after receiving a statement of the amount due. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0305 FILM SERVICE AGREEMENT Participating libraries and agencies must complete and sign a state library film service agreement, which lists rules regarding the use of films. The agreement must identify the following: (1) when the library or agency is open; (2) system libraries or divisions included in the agreement, and their relationship to the Audiovisual Services Branch; (3) staff in charge of film service; and (4) a preferred method of transferring film. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0306 MATERIALS SELECTION POLICY Material to be added to the audiovisual services collection will be recommended by the library staff. The ultimate responsibility for selection is assumed by the state librarian. Materials which are acquired should meet high standards of quality in content and presentation. Factors to be considered in acquiring materials are listed in the state library's collection development guidelines, copies of which are available from the Special Services Section Chief. Authority G.S. 125-2; 143B-10. 07 NCAC 02D .0307 RECOMMENDATIONS Any citizen of the state may recommend audiovisual materials for purchase by the library. The recommendation must be submitted to the Special Services Section Chief of the State Library. Recommendations will be considered on the basis of the factors listed in the state library's collection development guidelines, copies of which are available from the Special Services Section Chief. Authority G.S. 125-2; 134B-10. SUBCHAPTER 02E - LIBRARY DEVELOPMENT SERVICES SECTION .0100 - CONSULTING AND DEVELOPMENTAL SERVICES 07 NCAC 02E .0101 CONSULTANTS The Library Development Services Section of the State Library offers consulting services upon request by librarians and local officials. Professional staff members are available to: (1) advise on details of library establishment and management, and selection of materials, programs and services; (2) help plan new facilities; (3) provide workshops and in-service training for employees and trustees; (4) promote cooperative efforts among neighboring libraries; (5) assist in establishing regional library systems between cooperating libraries; (6) coordinate statewide programs and activities for children, young adults and adults; (7) compile and distribute newsletters, reports and other publications relevant to libraries. Authority G.S. 125-2; 143B-10. SECTION .0200 - ORGANIZATION OF REGIONAL LIBRARIES 07 NCAC 02E .0201 REGIONAL LIBRARIES (a) Regional libraries are public library systems serving more than one county. They are organized to provide more adequate service than could be provided by separately operated libraries. Under a single administrative system, the member libraries will have the services of professional librarians who specialize in services to various age groups and in special types of service. A multicounty system can provide improved in-service training opportunities for nonprofessional staff members. By increasing the number of people served, the per capita cost of quality service is lower than for small populations. (b) The Department of Cultural Resources requires that a regional library be composed of three or more counties or of two counties with a total of at least 100,000 population. The department recommends that there be at least 50,000 population in each library system. (c) All new regional libraries which wish to participate in state aid to public libraries grants must have the agreement establishing the regional library, a plan of service and a preliminary budget approved by the Secretary of the Department of Cultural Resources. Notice of intention to form a regional library on July 1 should be given to the Division of State Library by January of that year. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1075 Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0202 BOARD OF TRUSTEES (a) The board of trustees is the governing body of a regional library. It is composed of not more than 15 members. Each county must have representation on the board in proportions determined equitable by all participating counties. Regional board members are appointed from members of local boards where they exist. (b) Terms of officers and members are to be limited and staggered to assure continuity as well as change. No individual member will be appointed to more than two consecutive terms, and no single term shall be longer than six years. (c) Any trustee missing three consecutive board meetings is considered to have resigned and will be replaced. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0203 POWER OF BOARD The agreement establishing a regional library should include the following powers delegated to the board of trustees by the county governments: (1) to adopt such bylaws and rules for its own guidance and policies for the government of the library as may be necessary and in conformity with the law; (2) to appoint the regional director and delegate executive powers to him; (3) to adopt an annual budget for the regional library in line with the needs of each unit and of the library as a whole, taking into consideration the grants set forth in the rules for the allocation of state aid to public libraries, and to present the local budget for approval to each participating local governmental unit; (4) to make recommendations to the governing bodies of the participating units concerning the construction and improvement of physical facilities of the libraries in the region; (5) to report regularly to the participating local governmental units and report annually to the Division of State Library. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0204 DIRECTOR (a) The director of a regional library is appointed by the board of trustees and is the administrative head of the regional library. The director is required to have a valid North Carolina Public Librarian Certificate and to have had successful experience as a public librarian or administrator, confirmed by written reference from former employers. (b) The director is responsible for the supervision of all employees of the regional library and may, with the approval of the board of trustees, select new employees and dismiss unsatisfactory employees in line with the personnel policies of the regional library. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0205 TERMINATION A county may withdraw from a regional library after six months' notice prior to the end of the fiscal year. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0206 FINANCE (a) All finances of a regional library must be handled under the same provisions as units of local government (G.S. 159, Article 3). It usually will be more acceptable to the cooperating units of local government to have finances handled by either the regional library's finance officer, the local governments' finance officers or both. Where a large local government has the staff and computer facilities to take on an extra account, it may be more economical to have this local government handle the regional library's finances. Either way, the library account must be handled so that a separate audit can be made. (b) Budgets presented to units of local government should show items to be paid for from local funds. The total amount may be shown as a single item in local governments' accounts since the budget for the regional library will show the breakdown of revenue and expenditures. (c) All funds are paid into a central account either monthly or quarterly as agreed to in the agreement establishing the regional library. Funds must be kept in state or federally regulated banks in the manner prescribed by G.S. 159, Article 3. Local money will be used only for local services except when region-wide services costs have budget approval by the local government. State funds must be used only for region-wide services. (d) The director is responsible for all expenditures, which must be made in accordance with the budget and amendments to the budget adopted by the regional library board. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0207 PROPERTY (a) All real property used by a regional library will be owned by the units of local government which purchased or otherwise obtained it. If more than one unit of local government contributes to its acquisition, the terms of the acquisition agreement will include the manner of disposition and the equitable division of receipts therefrom. (b) Books, vehicles, equipment and other personal property purchased with state funds shall be owned by the regional library. If one county withdraws, but the regional library is not dissolved, the withdrawing county loses any rights to personal property owned by the regional library. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0208 OTHER PROVISIONS / AGREEMENT ESTABLISHING / REGIONAL LIBRARY An agreement establishing a regional library should provide for its amendment, either to change provisions or to add new counties. Provision for the termination of the agreement or the withdrawal of a unit of local government also should be included. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1076 Authority G.S. 125-2; 143B-10. SECTION .0300 – ALLOCATION OF STATE AID TO PUBLIC LIBRARY SYSTEMS 07 NCAC 02E .0301 QUALIFICATIONS FOR GRANT ELIGIBILITY Libraries requesting funding from the Aid to Public Libraries Fund shall submit annually to the State Library of North Carolina an application for State Aid and supporting documentation including financial and statistical reports and shall meet the following eligibility requirements: (1) Be established consistent with the provisions of Article 14, Chapter 153A of the North Carolina General Statutes. (2) Provide library services in compliance with applicable State and Federal law to all residents of the political subdivision(s) supporting the library. Public library services shall be provided from at least one designated facility with a catalogued collection that is open to the public a minimum of 40 hours per week. (3) Employ a full-time library director having or eligible for North Carolina public librarian certification. Full-time means working a minimum of 35 hours per week. (4) Secure operational funds from local government sources at least equal to the average amount budgeted and available for expenditure for the previous three years. A grant to a local library system from the Aid to Public Libraries Fund shall not be terminated but shall be reduced proportionately by the Department if the amount budgeted and available for expenditure by local government is below the average of the previous three fiscal years. State funds shall not replace local funds budgeted and available for expenditure for public library operations. (5) Secure aggregate operational funds from local sources at least equaling state aid. (6) Expend funds as authorized in the budget adopted by the Board of Trustees of a Regional Library, a County, or a Municipality. Any library having an unencumbered operational balance of more than 17 percent of the previous year's operating receipts shall have the difference deducted from its state allocation. (7) Pay salaries for professional positions funded from the Aid to Public Libraries Fund at least at the minimum rate of a salary grade of 69 as established by the Office of State Personnel. (8) Provide to the State Library of North Carolina an annual audit of the political subdivision(s) funding the library consistent with generally accepted accounting principles. (9) Submit annually to the State Library of North Carolina a copy of the bylaws of the library system's Board(s) of Trustees. (10) Submit annually a current long-range plan of service to the State Library of North Carolina. A long-range plan of service is a plan of at least five years. Upon request, submit an assessment of a community's library needs to the State Library of North Carolina. (11) Submit a copy of the agreement establishing the library system, if composed of more than one local governmental unit. (12) Meet the following stipulations when establishing a new library or re-establishing eligibility for the Aid to Public Libraries Fund: (a) meet all qualifications for the state aid to public libraries program on July 1 of the year prior to the fiscal year that the library plans to receive state aid, (b) continue to meet all qualifications for the state aid to public libraries program from July 1 to June 30 of that year, which shall be known as the demonstration year, (c) file a full application for state aid by the June 30 deadline at the close of the demonstration year in order to receive state aid in the next fiscal year. Authority G.S. 125-7; 143B-10. 07 NCAC 02E .0302 STATE AID GRANTS All grants are contingent upon appropriations budgeted by the General Assembly. Eligible county, regional and municipal libraries will receive the grants subject to the approval of the Secretary of the Department of Cultural Resources. Authority G.S. 125-7; 143B-10. 07 NCAC 02E .0304 LIMITATIONS ON AID Special grants may be used only for the purpose for which granted. Basic and per capita equalization grants may be used for materials, salaries, equipment, and operating costs. Authority G.S. 125-7; 143B-10. SECTION .0400 - STATE INSTITUTIONS ELIGIBLE FOR FUNDS 07 NCAC 02E .0401 STATE INSTITUTION DEFINED For the purpose of receiving state or federal grants for establishment or improvement of library services to residents of state institutions, an institution will be considered a state institution if 51 percent or more of its funding comes from monies appropriated by the General Assembly. Authority G.S. 125-2; 143B-10. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1077 07 NCAC 02E .0402 FUNDS FOR INSTITUTIONS (a) Institutions are eligible for funding from state appropriations or from the federal Library Services and Construction Act grants. State or federal funds may be used for the purchase of books, magazines, audiovisual materials or other types of library materials. (b) An institution applying for a grant for state or federal funds must do so in writing, specifying which types of materials it wishes to purchase and the approximate cost. All expenditures of these funds must have prior approval of the state library. Authority G.S. 125-2; 143B-10. 07 NCAC 02E .0403 ELIGIBILITY Institutions which meet the following criteria will be eligible for state or federal funding: (1) those with adequate space for library facilities and services; (2) those with adequate staff to supervise library services. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02F - NORTH CAROLINA PUBLIC LIBRARIAN CERTIFICATION COMMISSION 07 NCAC 02F .0101 PURPOSE OF THE COMMISSION (a) The North Carolina Public Librarian Certification Commission protects the public interest by setting minimum standards for certification for public librarians to accomplish the following purposes: (1) Guarantee the best possible public library service for all North Carolinians; (2) Protect and maintain public library resources; (3) Assure professional management and administration of library programs; and (4) Provide certified professionals to meet the Department of Cultural Resources' personnel requirements for state and other aid administered by the Division of State Library. (b) The Commission reviews applications and certifies those librarians who meet the certification requirements enumerated in Rule .0002 of this Subchapter. Authority G.S. 143B-67. 07 NCAC 02F .0102 FULL CERTIFICATION (a) The North Carolina Public Librarian Certification Commission issues public librarian certificates to applicants who have received graduate degrees in library and information science from American Library Association-accredited programs or from regionally accredited programs of higher education in North Carolina. (b) Coursework must include the following core courses: cataloging, reference collection management, technology, and management. (c) Courses specifically designed for school, media center, academic, or special librarianship, must also reflect general principles of librarianship in order to fulfill the requirements for public librarian certification. Authority G.S. 143B-67. 07 NCAC 02F .0103 APPLICATION PROCEDURE FOR PUBLIC LIBRARIAN CERTIFICATION A completed application form for public librarian certification should be sent to the Library Development Section of the Division of State Library at the address in Subchapter 2A Rule .0101 and must be accompanied by an official transcript which contains the date of conferral of the degree. Authority G.S. 143B-67. SUBCHAPTER 02G - STATE LIBRARY OF NORTH CAROLINA SECTION .0100 – DIVISIONAL RULES 07 NCAC 02G .0101 SCOPE OF RULES The rules in this Subchapter apply to the State Library of North Carolina, a division of the North Carolina Department of Cultural Resources, which serves as the principal library of State government. Authority G.S. 125-1; 125-2; 143B-10. 07 NCAC 02G .0102 ELIGIBILITY FOR STATE LIBRARY SERVICES A public library must be legally established as specified in 07 NCAC 02I .0202 to be eligible for State and Federally funded programs administered by the State Library of North Carolina. Authority G.S. 125-2; 125-7; 125-8; 143B-1009. SUBCHAPTER 02H - LIBRARY SERVICES SECTION .0100 – GOVERNMENT AND HERITAGE LIBRARY 07 NCAC 02H .0101 SCOPE OF RULES The rules in this Subchapter apply to the Government and Heritage Library, a section of the State Library of North Carolina. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0102 LIBRARY COLLECTIONS (a) The State Librarian shall determine the scope and focus of the Library's collections. Library staff and users may recommend materials for Library collections. Materials acquired or added to collections in any format must comply with the Library collection management procedures. (b) The Library shall collect and maintain resource collections in all relevant formats as budgets permit, including current and historical print and digital books, periodicals, newspapers, maps, state and federal documents, family histories, indexes, and bibliographies; historical newspapers, census reports, and PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1078 primary source materials on microfilm; audiovisual materials in analog and digital formats and media; and online databases. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0103 ACCESS AND CIRCULATION (a) Access and use of the Library's resource collections varies according to user profile, resource format, and circulation status of materials, as determined by the State Librarian. (b) The Library shall provide State employees and the general public online access to digital resources in its collections using search and retrieval technologies that are accessible and usable by all. (c) Certain printed materials in the Library's collections are designated non-circulating and shall not be used outside the Library. Non-circulating items include general reference materials, permanent depository copies of State documents, rare books, vertical file materials, periodicals, print newspapers, and the genealogy reference collection. (d) State employees may borrow materials from the Library's circulating print, microform, and audiovisual collections for use outside the library. Non-State employees may borrow print, microform, and audiovisual materials from the Library through interlibrary loan at their local libraries, or they can use the material within the State Library. (e) If any borrower loses or damages Library material charged in the borrower's name, the borrower is responsible for the cost of replacing the material. Library borrowing privileges shall be withheld until payment is made. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0104 REPRODUCTION SERVICES The Library shall provide for the reproduction of library content in compliance with U.S. copyright law. State employees and members of the general public may photocopy or request digital reproduction of Library content at a cost fixed by the Library based on cost of equipment, supplies, and staff time. Photocopying equipment shall be available for use by library users. Library staff shall provide digital reproduction services. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0105 INFORMATION, REFERENCE AND RESEARCH SERVICES (a) State Library staff shall provide reference and research services for State employees to facilitate access to information and resources that address the business needs of State government. (b) State Library staff shall provide information, reference services, and access to Library resources for the general public seeking information by or about North Carolina or conducting research related to North Carolina government, people, places, history, culture, statistical data, or genealogy. (c) State Library staff shall provide instruction to state employees and the general public concerning the use of the Library's facilities and information tools and resources. Library staff shall develop and conduct informational and instructional programs related to information resources and library research. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0106 SERVICES FOR STATE AGENCIES (a) State Library staff shall consult with State agencies requesting assistance with projects, programs, or situations requiring professional library knowledge and expertise. Library staff may consult on issues related to cataloging, classification, metadata, access, digitization, digital information management, and preservation of print and digital resources, based on staff availability and consideration of higher priority work, and as approved by the State Librarian. (b) Cataloging staff shall perform classification, cataloging, and processing of library materials and resources for state government agencies on a priority basis. Before services are provided, the Library and the recipient State agency shall sign a memorandum of understanding that specifies the responsibilities and relationship between the two agencies and any costs required for library systems access and technologies. Authority G.S. 125-2; 143B-10. SECTION .0200 – STATE DEPOSITORY LIBRARY SYSTEM 07 NCAC 02H .0201 SCOPE OF RULES The rules in this Section, apply to the State Depository Library System and the North Carolina State Publications Clearinghouse, as administered by the State Library of North Carolina. Authority G.S. 125-2; 125-9; 143B-10. 07 NCAC 02H .0202 PRINTED DOCUMENT FORMATS DEFINED As used in this Section, the term "format" is used to describe the medium used to publish and distribute State publication content, including tangible media such as paper, film, tape and electronic media such as digital files, websites, and data streams. Authority G.S. 125-2; 125-11; 143B-10. 07 NCAC 02H .0203 DEPOSITORY REQUIREMENTS FOR STATE AGENCIES (a) State agencies in the executive, legislative, and judicial branches of State government and State-funded boards, commissions, and institutions shall submit all State publications that meet the depository qualifications defined in the G.S. 125- 11.6(2) and 125-11.6(4) and the State Library's Handbook for State Agencies to the North Carolina State Publications Clearinghouse for the permanent depository collection, distribution to depository libraries, and public access. (b) State agencies in the executive, legislative, and judicial branches of State government and State-funded boards, commissions, and institutions shall submit 10 copies of qualified publications as defined in G.S. 125-11.6(2) and 125-11.6(4) in tangible formats to the North Carolina State Publications Clearinghouse and one copy of publications published or PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1079 distributed in electronic formats to the North Carolina State Publications Clearinghouse. Authority G.S. 125-2; 143B-10. SECTION .0300 – LIBRARY FOR THE BLIND AND PHYSICALLY HANDICAPPED 07 NCAC 02H .0301 SCOPE OF RULES The rules in Section, apply to the Library for the Blind and Physically Handicapped, a section of the State Library of North Carolina. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0302 ELIGIBILITY (a) Eligibility for the services of the Library for the Blind and Physically Handicapped is determined by the Federal guidelines in 36 C.F.R. 701.10 and is applied to all applicants. (b) The following persons are eligible for loan service: (1) persons whose visual acuity is 20/200 or less in the better eye with correcting glasses, or whose widest diameter of visual field subtends an angular distance not greater than 20 degrees; (2) persons whose visual disability, with correction and regardless of optical measurement, is certified as preventing the reading of standard printed material; (3) persons certified in accordance with 36 C.F.R. 701.10 as unable to read or unable to use standard printed material as a result of physical limitations; or (4) persons certified in accordance with 36 C.F.R. 701.10 as having a reading disability resulting from organic dysfunction and of sufficient severity to prevent their reading printed material in a normal manner. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0303 APPLICATION All users must complete an official application form and be certified as eligible and meeting requirements established by the Library of Congress. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0304 LIBRARY COLLECTIONS (a) The Library shall perform the functions of a public library. Its collection consists of recreational and general informational materials selected and produced by the Library of Congress for network distribution and additional materials selected by the Library. (b) The Library reproduces titles in Braille and audio formats in compliance with U.S. copyright law. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0305 CIRCULATION (a) The Library shall provide materials and playback equipment according to the Library of Congress lending policies and the Library's circulation procedures. (b) The Library shall furnish deposit collections to libraries, hospitals, rest homes, and other institutions serving eligible visually and physically handicapped persons according to the library circulation policy. (c) The following practices by any Library patron shall result in the suspension of Library services: (1) repeated failure to return materials within the borrowing period; (2) willful and negligent damage to equipment or materials; (3) unauthorized use of materials or equipment, such as loan to an ineligible person or modification of equipment; or (4) repeated abusive verbal attacks or behavior toward library staff that is offensive or threatening. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0306 REPRODUCTION SERVICES The Library shall reproduce in Braille or audio recording materials requested by Library patrons for their personal use as approved by the Regional Librarian and based on staff availability and consideration of higher priority work. Authority G.S. 125-2; 143B-10. 07 NCAC 02H .0307 VOLUNTEERS (a) Any interested person may request to volunteer his services to the Library. Volunteers shall receive no pay for their services and must go through a training and testing period under the supervision of Library staff. (b) Any braillist who is certified by the Library of Congress may request to volunteer his services to the Library. Volunteers must provide their own brailling machine. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02I - LIBRARY DEVELOPMENT SECTION .0100 - ORGANIZATIONAL RULES 07 NCAC 02I .0101 SCOPE OF RULES The rules in this Subchapter apply to the Library Development Section of the State Library of North Carolina. Authority G.S. 125-2; 125-7; 125-8; 143B-10. SECTION .0200 - STATE AID TO PUBLIC LIBRARIES 07 NCAC 02I .0201 QUALIFICATIONS FOR GRANT ELIGIBILITY Libraries requesting funding from the Aid to Public Libraries Fund shall submit annually to the State Library of North Carolina an application for State Aid and supporting PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1080 documentation including financial and statistical reports and shall meet the following eligibility requirements: (1) Be established consistent with the provisions of Article 14, Chapter 153A of the North Carolina General Statutes; (2) Provide library services in compliance with applicable State and Federal law to all residents of the political subdivision(s) supporting the library. Public library services shall be provided from at least one designated facility with a cataloged collection that is open to the public a minimum of 40 hours per week; (3) Employ a full-time library director having or eligible for North Carolina public librarian certification. Full-time means working a minimum of 35 hours per week; (4) Secure operational funds from local government sources at least equal to the average amount budgeted and available for expenditure for the previous three years. A grant to a local library system from the Aid to Public Libraries Fund shall not be terminated but shall be reduced proportionately by the Department if the amount budgeted and available for expenditure by local government is below the average of the previous three fiscal years. State funds shall not replace local funds budgeted and available for expenditure for public library operations; (5) Secure aggregate operational funds from local sources which are at least equal to state aid; (6) Expend funds as authorized in the budget adopted by the Board of Trustees of a Regional Library, a County, or a Municipality. Any library having an unencumbered operational balance of more than 17 percent of the previous year's operating receipts shall have the difference deducted from its state allocation; (7) Pay salaries for professional positions funded from the Aid to Public Libraries Fund at least at the minimum rate of a salary grade of 69 as established by the Office of State Personnel; (8) Provide to the State Library of North Carolina an annual audit of the political subdivision(s) funding the library consistent with generally accepted accounting principles; (9) Submit annually to the State Library of North Carolina a copy of the bylaws of the library system's Board(s) of Trustees; (10) Submit annually a current long-range plan of service to the State Library of North Carolina. A long-range plan of service is a plan of at least five years. Upon request, the library shall submit an assessment of a community's library needs to the State Library of North Carolina; (11) Submit a copy of the agreement establishing the library system, if composed of more than one local governmental unit; and (12) Meet the following stipulations when establishing a new library or re-establishing eligibility for the Aid to Public Libraries Fund: (a) meet all requirements of this Section on July 1 of the year prior to the fiscal year that the library plans to receive state aid; (b) continue to meet all requirements of this Section from July 1 to June 30 of that year, which shall be known as the demonstration year; and (c) file a full application for state aid by the June 30 deadline at the close of the demonstration year in order to receive state aid in the next fiscal year. Authority G.S. 125-7; 143B-10. 07 NCAC 02I .0202 STATE AID GRANTS All grants are contingent upon appropriations budgeted by the General Assembly. Eligible county, regional, and municipal library systems shall receive grants subject to the approval of the Secretary of the Department of Cultural Resources. Block and per capita income equalization grants may be used for materials, salaries, equipment, and operating costs. Authority G.S. 125-7; 143B-10. SECTION .0300 - ORGANIZATION OF REGIONAL LIBRARIES 07 NCAC 02I .0301 REGIONAL LIBRARIES As used in this Section, a regional library is a public library system that: (1) serves two or more contiguous counties; (2) is established by a regional agreement under a single administrative system; (3) is governed by a regional library board of trustees; (4) operates under the direction of a certified library director; and (5) has finances administered by a person or firm reporting to the library director and the regional library board of trustees. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0302 REGIONAL AGREEMENT An agreement establishing a regional library shall contain: (1) the structure of the regional library board of trustees; (2) the powers and duties of the regional board; (3) the financial structure of the regional library; (4) the terms of property ownership and any conditions of joint ownership including property rights in the event of withdrawal from or dissolution of the regional library; (5) provisions for amendment; PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1081 (6) provisions for withdrawal by a member county or dissolution of the regional library; and (7) provisions for termination of the regional agreement. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0303 REGIONAL LIBRARY BOARD OF TRUSTEES (a) The regional library board of trustees shall be the governing body of a regional library. It shall be composed of not more than 15 members as stipulated in the regional agreement. Each participating local governmental unit shall have representation on the board in proportions determined to be equitable by all participating local governmental units as stipulated in the regional agreement. Members of the regional library board shall be appointed as specified in the regional agreement. (b) Terms of officers and members shall be limited and staggered to assure continuity as well as change. No individual member shall be appointed to more than two consecutive terms, and no single term shall be longer than six years. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0304 POWERS AND DUTIES OF THE REGIONAL LIBRARY BOARD The agreement establishing a regional library shall include the following powers delegated to the regional library board of trustees by the participating local governmental units: (1) to adopt such bylaws and rules for its own governance as may be necessary and in conformity with the law; (2) to adopt policies for the regional library system's administration and operation; (3) to appoint the regional library director and delegate to that person executive powers; (4) to adopt an annual budget for the regional library; (5) to appoint a regional library finance officer to ensure expenditure of funds consistent with the budget adopted by the regional library board; (6) to assure compliance with all applicable State and Federal law and eligibility requirements for the receipt of State and Federal funds; (7) to make recommendations to the governing bodies of the participating local governmental units concerning the construction and improvement of physical facilities of the libraries in the region; (8) to report to the participating local governmental units; and (9) to provide to the State Library of North Carolina an annual audit of the regional library system consistent with generally accepted accounting principles. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0305 DIRECTOR The director of a regional library shall be appointed by the regional library system board of trustees and is responsible for the administration of the regional library consistent with the policies adopted by the board. The director shall have a valid North Carolina Public Librarian Certificate. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0306 FINANCE (a) All finances of a regional library shall be administered under the same provisions as units of local government (G.S. Chapter 159, The Local Government Finance Act) and shall be subject to an independent audit. (b) State funds shall be administered by the regional library and shall be expended throughout the region as described in 07 NCAC 02I .0202. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0307 ESTABLISHMENT OF A REGIONAL LIBRARY A regional library meeting the definition in 07 NCAC 02I .0301 may be established according to the following schedule: (1) On or before July 1 of the fiscal year prior to the establishment of the regional library, a representative of the participating local governmental units shall submit to the State Library of North Carolina a written notification of intent to form a regional library and establish eligibility for grants to public libraries. (2) On or before January 31 of the fiscal year prior to the establishment of the regional library, the representative shall submit to the State Library of North Carolina a copy of the agreement establishing the regional library consistent with 07 NCAC 02I .0302. (3) On or before June 1 of the fiscal year prior to the establishment of the regional library, the representative shall submit to the State Library of North Carolina a long-range plan of service and a proposed budget and shall provide evidence of eligibility to receive grants to public libraries according to 07 NCAC 02I .0201. Authority G.S. 125-2; 143B-10. 07 NCAC 02I .0308 WITHDRAWAL FROM OR DISSOLUTION OF A REGIONAL LIBRARY (a) A county proposing to withdraw from a regional library shall give written notice on or before July 1 to the regional library board, the other participating local governmental units, and the State Library of North Carolina. The withdrawal shall be effective on the following June 30. (b) The withdrawing county shall establish eligibility for grants to public libraries according to 07 NCAC 02I .0201 on or before the effective date of withdrawal. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1082 (c) Capital expenditures by the withdrawing county that are necessitated by the withdrawal may not replace support for operating costs in establishing eligibility to receive grants to public libraries according to 07 NCAC 02I .0201. (d) If withdrawal of a county results in the dissolution of the regional library, the remaining county must also establish eligibility to receive grants to public libraries according to 07 NCAC 02I .0201 by the effective date of withdrawal. Authority G.S. 125-2; 143B-10. SUBCHAPTER 02J - NORTH CAROLINA PUBLIC LIBRARIAN CERTIFICATION COMMISSION SECTION .0100 - COMMISSION RULES 07 NCAC 02J .0101 PURPOSE OF THE COMMISSION (a) The North Carolina Public Librarian Certification Commission sets minimum standards for certification for public librarians to accomplish the following purposes: (1) Guarantee the best possible public library service for all North Carolinians; (2) Protect and maintain public library resources; (3) Assure professional management and administration of library programs; and (4) Provide certified professionals to meet the Department of Cultural Resources' personnel requirements for State and other aid administered by the State Library of North Carolina. (b) The Commission shall review applications and certify those librarians who meet the certification requirements enumerated in Rule .0102 of this Subchapter. Authority G.S. 143B-67. 07 NCAC 02J .0102 FULL CERTIFICATION (a) The North Carolina Public Librarian Certification Commission shall issue public librarian certificates to applicants who have received graduate degrees in library and information science from programs accredited by the American Library Association or from regionally-accredited programs of higher education in North Carolina. (b) Coursework must include the following core courses: (1) cataloging, (2) reference, (3) collection development, and (4) library management. (c) Courses specifically designed for school, media center, academic, or special librarianship, must reflect general principles of librarianship. Authority G.S. 143B-67. 07 NCAC 02J .0103 APPLICATION PROCEDURE FOR PUBLIC LIBRARIAN CERTIFICATION Applicants shall send a completed application form for public librarian certification, accompanied by an official transcript which contains the date of conferral of the degree, to the Library Development Section of the State Library of North Carolina. Authority G.S. 143B-67. * * * * * * * * * * * * * * * * * * * * * Notice is hereby given in accordance with G.S. 150B-21.2 that the Department of Cultural Resources intends to adopt the rules cited as 07 NCAC 13 .0101, .0201-.0202, .0301-.0313, .0401- .0402 and repeal the rules cited as 07 NCAC 04R .0203-.0204, .0702-.0718, .0801-.0808, .1002-.1013. Proposed Effective Date: April 1, 2011 Public Hearing: Date: January 24, 2011 Time: 11:00 a.m. Location: Archives and History Building, 109 E. Jones Street, Raleigh, 3rd floor conference room Reason for Proposed Action: The proposed action is necessary in order for the Department of Cultural Resources to update the Administrative Code provisions relevant to the Office of State Archaeology, last revised in 1989. Since that time the OSA, formerly part of the Historic Preservation Office, has become a free-standing unit within the Department. Technical corrections are part of those changes but, more importantly, the Office gained new statutory authority for the permitting of, and background checks upon, applicants for archaeological permits on state lands and in state waters. Procedure by which a person can object to the agency on a proposed rule: Objections may be submitted in writing to Jeffrey J. Crow, 4610 Mail Service Center, Raleigh, NC 27699- 4610, phone (919)807-7280, fax (919)733-8807, email jeff.crow@ncdcr.gov during the comment period. Additional objections may be made verbally and in writing at the public hearing. Comments may be submitted to: Jeffrey J. Crow, 4610 Mail Service Center, Raleigh, NC 27699-4610, phone (919)807- 7280, fax (919)733-8807, email jeff.crow@ncdcr.gov. Comment period ends: February 1, 2011 Procedure for Subjecting a Proposed Rule to Legislative Review: If an objection is not resolved prior to the adoption of the rule, a person may also submit written objections to the Rules Review Commission after the adoption of the Rule. If the Rules Review Commission receives written and signed objections after the adoption of the Rule in accordance with G.S. 150B-21.3(b2) from 10 or more persons clearly requesting review by the legislature and the Rules Review Commission approves the rule, the rule will become effective as provided in G.S. 150B-21.3(b1). The Commission will receive written objections until 5:00 p.m. on the day following the day the Commission approves the rule. The Commission will receive those objections by mail, delivery service, hand delivery, or PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1083 facsimile transmission. If you have any further questions concerning the submission of objections to the Commission, please call a Commission staff attorney at 919-431-3000. Fiscal Impact: State 07 NCAC 13 .0101, .0201-.0202, .0301-.0313, .0401-.0402 Local Substantial Economic Impact (>$3,000,000) None 07 NCAC 04R .0203-.0204, .0702-.0718, .0801- .0808, .1002-.1013. CHAPTER 04 - DIVISION OF ARCHIVES AND HISTORY SUBCHAPTER 04R - ARCHAEOLOGY AND HISTORIC PRESERVATION SECTION SECTION .0200 - ENVIRONMENTAL REVIEW 07 NCAC 04R .0203 ARCHAEOLOGICAL REVIEW (a) Projects are reviewed for archaeological concerns whenever ground disturbing activity is involved. Examples of ground disturbance include, but are not limited to, construction of dikes, clearing and grubbing of forests, subsurface alterations around standing structures, borrow pits, trenching for water and sewer lines, utility line construction or improvements requiring excavation; construction, widening or improvements of highways; and airport expansions, bridge replacements, housing developments, boat basins and channels, and placement of fill or spoil dirt. (b) Evaluation of potential effects on archaeological resources is made by staff archaeologists, taking into consideration known site locations, historical maps and documents, results of previous surveys in the area or similar areas, past and present land uses, the area's topography and hydrology, predictive models of archaeological site locations, and type and extent of proposed land modification activities. (c) After staff evaluation, recommendations are made by the SHPO within the state or federally mandated deadline for review comments: (1) Clearance. If it is determined that the project area is unlikely to contain significant archaeological remains, the written response is no comment. (2) Archaeological Survey Recommended. If it is determined that the project area is likely to contain significant archaeological sites and there is no record of systematic archaeological surveys in the project area, an archaeological survey is recommended prior to any ground disturbing activity to determine the presence and significance of archaeological sites that may be damaged or destroyed by the proposed action. (3) Testing Recommended. If a known site is within the project boundaries, archaeological testing is recommended to determine its significance. (4) Survey and Testing Recommended. If a project area contains known sites but has not been completely surveyed, testing of the sites and a survey of the remaining project area are recommended. (5) Avoidance. If archaeological sites listed in or determined eligible for inclusion in the National Register of Historic Places are located in the project area, avoidance by adjustment of the project plans is recommended. New project locations are subject to the review process. (d) All archaeological reports submitted to the SHPO in compliance with federal and state historic preservation legislation are reviewed by the Archaeology Branch using standards established by the Department of Cultural Resources outlined in "Guidelines for the Preparation of Reports of Archaeological Surveys and Evaluations". The guidelines: (1) ensure compliance with pertinent legislation; (2) ensure fulfillment of contract sponsor needs with regard to archaeology; and (3) permit the effective and speedy review of compliance surveys and evaluation reports. Reports submitted for review which do not satisfy the requirements defined in the guidelines are considered incomplete and returned for revision and resubmission. Copies of the guidelines are available from the Archaeology and Historic Preservation Section. (e) When an archaeological survey report indicates that a site within a project's area of environmental impact is eligible for inclusion in the National Register of Historic Places, the procedures outlined at 36 CFR 800.5-.6 (regulations of the Advisory Council on Historic Preservation) are followed. Authority G.S. 113-229(e); 113A-4(2); 113A-107(d); 121-4(13); 121-12(a); 136-42.1. 07 NCAC 04R .0204 UNDERWATER ARCHAEOLOGICAL REVIEW (a) Water related construction activities are defined as major or minor according to the extent of bottom disturbance. Major bottom disturbing activities include, but are not limited to, new or maintenance dredging, extensive bulkheading, jetty or mooring construction, subaqueous power and water line installation, bridge construction, and the dredging of temporary channels. Minor bottom disturbing activities include, but are not limited to, construction of private piers, bulkheads, and docks, and minor dredging. (b) Prospective construction projects affecting submerged lands are reviewed by the Underwater Archaeology Unit taking into consideration the project area's potential for submerged cultural resources and whether major or minor bottom disturbance is planned. (c) After staff review, recommendations are made by the SHPO in terms of the bottom disturbance involved and the project area's potential for submerged cultural resources. (1) If major bottom disturbance is to take place in a project area with high or moderate potential, project specific documentary research PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1084 followed by appropriate archaeological investigation is recommended prior to project construction. (2) If major bottom disturbance is to take place in an area with low potential, no documentary or archaeological investigation is required. It is recommended that the SHPO be notified should submerged cultural resources be encountered during construction. (3) If minor bottom disturbance is to take place, documentary and archaeological investigation is only recommended in areas with a high potential for any known submerged cultural resources. (d) Maps and research files enable the Underwater Archaeology Unit to determine the potential for submerged cultural resources within a project area. Criteria used to establish high, moderate, and low potential areas are as follows: (1) "High potential area" means: (A) A known archaeological site or charted wreck of historic age is present; or (B) Historical research indicates the project lies in an area with an active maritime history, documented vessel losses or known hazards to navigation. Harbors, major shipping lanes, inlets and shoals are examples of high potential areas. (2) "Moderate potential area" means: (A) No known archaeological sites or charted wrecks are present and documentary research indicates that only marginal maritime activities have taken place; or (B) Bottom lands have been partially disturbed, lessening the likelihood that significant cultural resources exist. (3) "Low potential area" means: (A) No known archaeological site or charted wrecks are present and documentary research indicates that little or no maritime activities have taken place historically; or (B) Bottom lands have been previously disturbed to the extent that no intact significant cultural resources are likely to exist. (e) Reports of documentary research or archaeological investigations are reviewed under the requirements as established by the Department of Cultural Resources defined in "Guidelines for the Preparation of Reports of Archaeological Surveys and Evaluations," available from the Archaeology and Historic Preservation Section. Reports submitted for review which do not satisfy the requirements are considered incomplete and returned for revision and resubmission. Authority G.S. 121-22 through 121-28; 143B-62(2)g; 16 U.S.C. 470; 36 C.F.R. 800. 07 NCAC 04R .0702 DEFINITIONS The definitions of G.S. 70-12 apply in this Section. In addition the following terms are defined: (1) "Emergency archaeological investigation" means any surface collection, subsurface test, excavation, or other activity that results in the disturbance or removal of archaeological resources undertaken because of: (a) the accidental discovery of archaeological resources during construction or other ground disturbing activities; or (b) immediate danger of damage or destruction to archaeological resources due to vandalism, erosion, or other causes. (2) "Interim progress report" means a brief summary of archaeological work accomplished during the reporting period. (3) "Land controlling agency" means the state agency with management responsibilities for state land. (4) "Permit" means authorization under law to conduct archaeological investigation on state lands. (5) "Preliminary field report" means a brief summary of the results of the fieldwork undertaken during the permit period, including, but not limited to: (a) a map showing the area of the permit location; (b) a brief summary of the purpose, methods, and results; and (c) recommendations concerning future work at the site or sites. (6) "Report" means a formal written account of the goals, methods, and results of archaeological investigations conducted under the terms of a permit. (a) A draft report is subject to review and comment by the Secretary of the Department of Administration or his designee, the Secretary of the Department of Cultural Resources or his designee, and the head of the land controlling agency or his designee. (b) A final report is complete and incorporates the comments resulting from review of the draft. (7) "Risk of harm" means any disclosure of the nature or location of any archaeological resource that results, or may result, in the loss or destruction of archaeological context, or archaeological information. Authority G.S. 70-12; 70-14. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1085 07 NCAC 04R .0703 ARCHAEOLOGICAL INVESTIGATIONS ON STATE LANDS (a) Permits are required for persons wishing to conduct archeological investigations on state lands. Permits are issued by the Secretary of the Department of Administration or his designee. The mailing address is: Department of Administration Administration Building 116 West Jones Street Raleigh, N. C. 27611 (b) Two types of permits shall be issued: (1) General Permits shall be issued to those land controlling agencies that employ qualified archaeologists on a full time permanent basis to conduct archaeological investigations on state lands directly under the agency's control. (2) All other permits shall be Specific Permits. Authority G.S. 70-13; 70-15(a). 07 NCAC 04R .0704 EMERGENCY ARCHAEOLOGICAL INVESTIGATIONS (a) A Specific Permit is not required for emergency archaeological investigations on state lands if the person conducting the investigation meets the minimum qualifications stated in Rule .0706 of this Section and the land controlling agency has notified the Secretary of the Department of Administration or his designee and the Secretary of the Department of Cultural Resources or his designee. Reporting requirements for emergency archaeological investigations are the same as those specified in Rule .0712 of this Section unless the investigations are conducted under a General Permit. General Permit reporting requirements are specified in Rule .0713 of this Section. (b) A permittee may conduct emergency archaeological investigations beyond the terms of an existing Specific Permit. However, terms of the Specific Permit shall remain in effect, including those terms pertaining to reporting schedules. (c) A General Permit allows emergency archaeological investigations to be conducted by the principal investigator in whose name it was issued, and only on those state lands directly under the control of the land controlling agency by whom the principal investigator is employed. Terms of the General Permit will remain in effect, including terms pertaining to reporting schedules. Authority G.S. 70-14. 07 NCAC 04R .0705 APPLICATION FOR ARCHAEOLOGICAL PERMITS (a) Persons wishing to apply for a permit to conduct archaeological investigations on state lands shall obtain application forms from the office of the Secretary of the Department of Administration and submit completed permit applications to the same office. After receiving an application, that office will forward copies to the State Property Office, Department of Administration; the Secretary of the Department of Cultural Resources or his designee; and the appropriate land controlling agency. (b) Applications for Specific Permits must be submitted to the Secretary of the Department of Administration or his designee at least 30 days prior to the proposed starting date of the archaeological investigations. Each Specific Permit application shall include: (1) a written description of the location of the proposed investigations, including the county and township; (2) a 1: 24,000 or larger scale map clearly depicting the location of the proposed investigations; (3) a description of the exact nature, objectives and scope of the proposed investigations, including the methods to be employed and the requirements for vegetation clearing; (4) the schedule for the investigations, including hours of the day and days of the week, as well as beginning and completion dates. The schedule shall include 60 days for review and comment of the draft report by the Secretary of the Department of Cultural Resources or his designee and the land controlling agency and a maximum of 30 days for response, revisions and submittal of the final report by the applicant; (5) the name, address, telephone number, institutional affiliation, if any, and qualifications of the principal investigator; (6) the name, address, telephone number, and qualifications of the field director, if different from the principal investigator; (7) the approximate number of people proposed to carry out the investigations; (8) evidence of the applicant's capability to initiate, conduct and complete the proposed investigations; (9) written criteria for evaluation of requests for access to records and artifacts at the facility where the records and artifacts are to be curated; (10) the location proposed for curation of all artifacts, records, data, photographs, and other documents or information resulting from the investigations; (11) written concurrence from the land controlling agency regarding the applicant's proposed curatorial arrangements; (12) facilities and plans for stabilization and preservation of perishable or unstable artifacts; (13) the person or position in the institution or agency with responsibility for curation of artifacts, records, and other documentation or information who will determine access to this material; (14) a description of the type and timing of all access needs on state property, vehicular or otherwise, required to conduct the investigations; PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1086 (15) a description of how the project will be coordinated with the site specific land manager, including the applicant's documentation that initial contact has been made and the name of the specific person contacted; (16) a description of the provisions to be made to secure the permit area to assure the safety of incidental non-project personnel who may visit the permit area during and after project hours; (17) an indication of the length of time each excavation unit will be open and a description of a schedule for reclaiming all areas disturbed by any aspect of the archaeological investigations; and (18) the applicant's plans, if any, for dissemination of the results of the investigations in addition to the reporting requirements noted in Rule .0712 of this Section. If additional information is required from the applicant by the land controlling agency during review of the Specific Permit application, the land controlling agency will contact the applicant directly. The information obtained will be added to the application or permit file. (c) A land controlling agency may be issued a General Permit to conduct archaeological investigations and emergency archeological investigations on land directly controlled by that agency. Each General Permit application for a land controlling agency shall include: (1) a written description of the lands controlled by the agency, including the county and township; (2) a general description of the nature and objectives of potential investigations; (3) the name, address, telephone number, and qualifications of the principal investigator; (4) evidence that the requirements of Rule .0706 of this Section are met; (5) written criteria for evaluation of requests for access to records and artifacts at the facility where the records and artifacts are to be curated; (6) the location proposed for curation of all artifacts, records, data, photographs, and other documents or information resulting from the investigations; (7) facilities and plans for stabilization and preservation of perishable or unstable artifacts; (8) the person or position in the institution or agency with responsibility for curation of artifacts, records, and other documentation or information who will determine access to this material; and (9) The principal investigator's plans, if any, for dissemination of the results of the investigation in addition to the reporting requirements in Rule .0713 of this Section. Authority G.S. 70-13(a),(b); 70-14. 07 NCAC 04R .0706 QUALIFICATIONS FOR PERMITS Applicants for Specific or General Permits to conduct archaeological investigations must be qualified, as evidenced by training, education and experience, possess demonstrable competence in theoretical and methodological design, and in collecting, handling, analyzing, evaluating, and reporting archaeological data, relative to the type and scope of the investigations proposed, and meet the following minimum qualifications: (1) Have a postgraduate degree, or equivalent training and experience, in archaeology, anthropology, history or another related field with a specialization in archaeology; and (2) Have a minimum of one year's experience in conducting basic archaeological field research. Authority G.S. 70-13(b); 70-14. 07 NCAC 04R .0707 ISSUANCE OF PERMITS (a) The Secretary of the Department of Administration or his designee, after consultation with the Secretary of the Department of Cultural Resources or his designee and the land controlling agency, has decision-making authority concerning the issuance of a Specific Permit. The Specific Permit will be issued or denied within 30 days after submission of the completed application. (b) Specific Permits will not be issued to persons who have conducted emergency archaeological investigations until receipt and acceptance of a final report pursuant to Rules .0712 and .0714 of this Section. (c) General Permits will be issued to a land controlling agency within 30 days following submission of the completed application provided the terms and requirements of these rules pertaining to General Permits are fulfilled. Authority G.S. 70-13(b); 70-14. 07 NCAC 04R .0708 TIME LIMITS OF PERMITS (a) The Secretary of the Department of Administration or his designee will issue General Permits for five years from the date of issuance. Specific Permits shall be for an appropriate period not to exceed three years. (b) A permittee may apply for permit renewal by following procedures under Rule .0705 of this Section. (c) The Secretary of the Department of Administration or his designee, after consultation with the Secretary of the Department of Cultural Resources or his designee, and the head of the land controlling agency or his designee, may extend Specific Permits for up to six months, renew Specific Permits for up to three additional years, or renew General Permits for a period of five years, after review of extension requests or renewal applications and evaluation of past performance of the applicant. (d) The Secretary of the Department of Administration or his designee may extend a Specific Permit only once, but may renew a Specific Permit any number of times. (e) The Secretary of the Department of Administration or his designee, in consultation with the Secretary of the Department of Cultural Resources or his designee and the land controlling PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1087 agency, shall review, at least annually, the permittee's performance under any permit issued for a period greater than one year: (1) For Specific Permits, the review is made through interim reports submitted by the permittee or through inspections at the locations of the investigations. (2) For General Permits, the review is made through annual reports prepared by the land controlling agency's principal investigator. Authority G.S. 70-14. 07 NCAC 04R .0709 TERMS AND CONDITIONS OF PERMITS (a) In all permits, the Secretary of the Department of Administration or his designee shall specify: (1) the exact nature and extent of the investigations allowed under the permit, including the time, duration, scope, location, and purpose of the investigations; (2) the name of the individual responsible for conducting the investigations and, if different, the name of the individual responsible for carrying out the terms and conditions of the permit; (3) the name of the land controlling agency, university, museum or other scientific or educational institution in which any collected materials and data will be deposited; and (4) the reporting requirements and schedule according to Rules .0712 or .0713 of this Section. (b) The Secretary of the Department of Administration or his designee may specify terms and conditions necessary to ensure public safety and to protect other resources, both natural and cultural, to safeguard other legitimate land uses, and to limit activities incidental to investigations authorized under a permit. (c) State officials from the Department of Administration, Department of Cultural Resources, the land controlling agency and any other agencies involved in consultation or approval of a permit may make inspections at the permit location as necessary to ensure that the terms and conditions of the permit are being fulfilled. (d) After receipt of an approved permit, the permittee must notify the Secretary of the Department of Administration or his designee in writing within 15 days of his acceptance of the terms and conditions of the permit. (e) The permittee will be responsible for securing the project area and will hold the Department of Administration, the Department of Cultural Resources and the land controlling agency harmless for any and all claims arising out of the project. (f) The Department of Administration, the Department of Cultural Resources, and the land controlling agency will be held harmless for any trespass of or damage to adjacent private property caused by the permittee under the permit. (g) The permittee shall sign a waiver of all claims against the Department of Administration, the Department of Cultural Resources, and the land controlling agency. (h) The permittee will be held responsible for any damage to state property resulting from the permitted investigations. (i) The permittee shall submit evidence of liability insurance upon acceptance of the terms and conditions of a permit. (j) Archaeological investigations conducted under the auspices of a permit shall comply with all applicable state, federal, or local regulations and the rules and regulations of the land controlling agency. All such investigations shall conform with the management plans and operation practices of the land controlling agency. (k) All physical access to state-owned lands during permitted investigations shall be controlled by and coordinated with the land controlling agency and the site specific land manager. (l) All project lands will be restored to their pre-project condition by the permittee by the conclusion of the field investigations. (m) The land controlling agency shall report simultaneously in writing to the Secretary of the Department of Administration and the Secretary of the Department of Cultural Resources any change in the status of either the principal investigator or the field director for which a General Permit was issued within ten days of that change. Authority G.S. 70-13(c); 70-14. 07 NCAC 04R .0710 PERMIT DENIAL: SUSPENSION AND REVOCATION (a) A permit shall be denied if the Department of Administration, in consultation with the Department of Cultural Resources and the land controlling agency, finds that: (1) the proposed investigations would represent a significant adverse effect to a unique or fragile natural resource; (2) the proposed investigations would interfere with the operation and management of an area; (3) the proposed investigations would pose a threat to the safety of visitors to an area; (4) the criteria set forth in G.S. 70-13(b)(1) through G.S 70-13(b)(7) have not been met by the applicant; (5) the applicant, pursuant to a previous permit, has not met the purposes of the law as set forth in G.S. 70-11(b) or G.S. 70-18; or (6) the applicant has not completed the terms and conditions of a previous permit. (b) A permit may be suspended or revoked if the Department of Administration, in consultation with the Department of Cultural Resources and the land controlling agency, finds that: (1) the terms and conditions of the permit have been or are being violated; or (2) the confidentiality of information relating to the nature and location of the archaeological resources is not maintained in accordance with the provisions of G.S. 70-18. Authority G.S. 70-13(b),(e); 70-14. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1088 07 NCAC 04R .0711 APPEALS RELATING TO PERMITS Any person may appeal permit issuance, denial, suspension or revocation through appeals procedures established in Article 3 of G.S. 150B. Authority G.S. 70-14; 150B-23 through 150B-37. 07 NCAC 04R .0712 REPORTING REQUIREMENTS FOR SPECIFIC PERMITS (a) Reports are required for all archaeological investigations conducted under Specific Permits. All reports are to be submitted simultaneously to the Secretary of the Department of Administration, the Secretary of the Department of Cultural Resources and the head of the land controlling agency. (b) The permittee must submit a preliminary field report within 60 days after completion of the on-site archaeological investigation. Preliminary field reports resulting from emergency archaeological investigations shall specify a date for submission of the draft report. (c) The permittee must submit draft reports according to the schedule established in the permit or, in the case of emergency archaeological investigations, by the date specified in the preliminary field report. Draft reports submitted for emergency archaeological investigations shall include, but not be limited to, information on storage and curation of artifacts, records and other data in accordance with the specifications in Rule .0705(b)(9)-(13) of this Section. (d) The permittee must submit final reports no later than 90 days after submission of the draft report. (e) If the specified submission date for a draft report resulting from emergency archaeological investigations extends beyond one year from the date of submission of the preliminary field report, interim progress reports shall be submitted at least annually. (f) Upon request, the permittee or the principal investigator, in the case of emergency archaeological investigations, shall provide in the final report information concerning: (1) the permanent physical location of artifacts, records, and all other documentation; (2) an itemized list of all recovered archaeological resources by type, variety, material or other appropriate description, and a list of accession numbers or other permanent identifiers applied to the recovered resources; and (3) an itemized list of records, photographs and other documents, and a list of accession numbers or other permanent identifiers applied to the records and data. Authority G.S. 70-13(c); 70-14. 07 NCAC 04R .0713 REPORTING REQUIREMENTS FOR GENERAL PERMITS (a) Reports of archaeological investigations conducted under the terms of a General Permit shall be submitted simultaneously to the Secretary of the Department of Administration and the Secretary of the Department of Cultural Resources. (b) The principal investigator will submit a summary of the results of all archaeological investigations as part of the annual report required under the terms of Rule .0708(e)(2) of this Section. (c) Final reports concerning archaeological investigations and emergency archaeological investigations shall be submitted by the end of the calendar year that immediately follows the year in which the archaeological investigations were conducted. (d) The principal investigator, in consultation with the Secretary of the Department of Administration or his designee and the Secretary of the Department of Cultural Resources or his designee, may delay the submission of a final report until an agreed upon date. (e) The principal investigator shall: (1) provide information concerning the permanent physical location of artifacts, records, and all other documentation for all archaeological investigations; (2) maintain an itemized list of all recovered archaeological resources by type, variety, material or other appropriate description, and a list of accession numbers or other permanent identifiers applied to the recovered resources; and (3) maintain an itemized list of records, photographs and other documents, and a list of accession numbers or other permanent identifiers applied to the records and data. (f) As a condition of renewing a General Permit, the Secretary of the Department of Cultural Resources or his designee may require an inspection of the record and resource repository or management system. Authority G.S. 70-13(c); 70-14. 07 NCAC 04R .0714 REPORT REVIEW FOR SPECIFIC PERMITS (a) The Secretary of the Department of Cultural Resources or his designee and the land controlling agency shall review all draft and final reports for Specific Permits to ensure that the investigations serve the public interest and the reports meet professional standards. The Secretary of the Department of Cultural Resources or his designee may request revisions of the draft or final reports. Terms and conditions of a Specific Permit are considered satisfied only after revisions have been completed and the report accepted. (b) The Secretary of the Department of Cultural Resources or his designee and the land controlling agency have 60 days after receipt to review and comment on draft reports and return written comments to the Secretary of the Department of Administration or his designee and the permittee. (c) The permittee has 30 days to revise the draft report before submission of the final report. Authority G.S. 70-13(c); 70-14. 07 NCAC 04R .0715 REPORT REVIEW FOR GENERAL PERMITS (a) The Secretary of the Department of Cultural Resources or his designee shall review the final reports for General Permits to PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1089 ensure that the reports meet professional standards. The Secretary of the Department of Cultural Resources or his designee may request revisions of the final report to ensure professional standards are maintained. (b) The Secretary of the Department of Cultural Resources or his designee has 30 days after receipt to review and comment on reports and return written comments to the Secretary of the Department of Administration or his designee, the land controlling agency and the principal investigator. (c) The principal investigator has 30 days to revise the final report. Authority G.S. 70-13(c); 70-14. 07 NCAC 04R .0716 CUSTODY OF RESOURCES UNDER THE TERMS OF A SPECIFIC PERMIT (a) The archaeological resources and associated records and data which are collected, excavated or removed from state lands under the terms of a Specific Permit shall remain the property of the State of North Carolina. The location of all records, artifacts, or other materials cannot be changed from that approved in the permit without prior approval of the Secretary of the Department of Cultural Resources or his designee and the land controlling agency. This restriction does not apply to temporary removal and relocation of artifacts or records for the purposes of scientific, historical, or educational research, nor for purposes of public display or education, so long as the artifacts or records remain under the direct control of and within the physical boundaries of the museum, university, or scientific or educational institution approved in the permittee's application. (b) All records and artifacts must be accessible for scientific, historical, or educational research, if access does not compromise the confidentiality of the nature and location of any archaeological resources or pose a risk of harm to the resources or site. Access shall be determined by that person identified in Rule .0705(b)(13) of this Section. (c) Transfers or loans of records and artifacts between universities, museums, and scientific or educational institutions must be approved by the Secretary of the Department of Cultural Resources or his designee and the land controlling agency and must be preceded by demonstration that the receiving institution conforms to the conditions in this Rule. In addition, the Secretary must have been provided the information outlined in Rule .0712(f) of this Section. Authority G.S. 70-14. 07 NCAC 04R .0717 CUSTODY/ARCHAEOLOGICAL RESOURCES UNDER/TERMS: GENERAL PERMIT (a) Under the terms of a General Permit, the location of all records, artifacts or other materials cannot be changed from that approved in the permit without prior approval of the Secretary of the Department of Cultural Resources or his designee. This restriction does not apply to temporary removal and relocation of artifacts and records for the purposes of scientific, historical, or educational research, nor for purposes of public display or education, so long as the artifacts or records remain under the direct control of the principal investigator or the land controlling agency. (b) All records and artifacts must be accessible for scientific, historical, or educational research, if access does not compromise the confidentiality of the nature and location of any archaeological resources or pose a risk of harm to the resources or site. Access shall be determined by that person identified in Rule .0705(c)(8) of this Section. (c) Transfers or loans of records and artifacts between land controlling agencies, universities, museums, and scientific or educational institutions must be approved by the Secretary of the Department of Cultural Resources or his designee and must be preceded by demonstration that the receiving institution conforms to the conditions in this Rule. In addition, the Secretary must have been provided the information outlined in Rule .0713(e) of this Section. This condition does not apply to the movement of artifacts within a land controlling agency, as long the artifacts remain under the direct control of the principal investigator and the land controlling agency. Authority G.S. 70-14. 07 NCAC 04R .0718 CONFIDENTIALITY Information concerning archaeological resources that is maintained by the Department of Cultural Resources has restricted distribution. Access to records, artifacts, or other materials may be denied if it is determined that access constitutes a risk of harm. Authority G.S. 70-14; 70-18. SECTION .0800 – ARCHAEOLOGY SERVICES 07 NCAC 04R .0801 OPERATING HOURS The Office of State Archaeology, or OSA offices, as well as any regional offices and facilities, are open between 8:00 a.m. and 5:00 p.m., Monday through Friday, except on state holidays. These hours may be extended to accommodate public education programs. Visitors under the age of 12 must be accompanied by an adult unless prior arrangements have been made. Pets are not allowed in the facilities. Visitors are not allowed in the offices after hours unless accompanied by, or arrangements have been made with, a member of the staff. Access to areas may be restricted for reasons of safety and security. Authority G.S. 121-5(b); 121-8(b),(f). 07 NCAC 04R .0802 LOAN OF ARTIFACTS (a) Artifacts possessed by the Division of Archives and History shall not be loaned for uses other than museum purposes, research purposes, or non-museum public display by local, state, or federal agencies or institutions where the use is intended for public education. (b) Loaned artifacts, specimens, documents, and records shall remain in the condition in which they were delivered. The borrower shall insure the articles against loss or damage. The artifacts must be protectively packaged. The artifacts remain the property of the Division of Archives and History and can be withdrawn with 15 days notice upon presentation of a written communication by the lender or its duly authorized representative. PROPOSED RULES 25:09 NORTH CAROLINA REGISTER NOVEMBER 1, 2010 1090 (c) Written authorization must be issued by the Office of State Archaeology to permit photography or duplication of any artifact of any kind. An acknowledgment credit shall identify each artifact image with the Office of State Archaeology, North Carolina Division of Archives and History. (d) All requests for loans of artifacts shall be submitted in writing to the State Archaeologist at least 30 days in advance of the requested loan period. (e) A written contract between the borrower and the Division of Archives and History containing the period and conditions of the loan shall be signed prior to the lending of any artifact. Authority G.S. 121-2(8); 121 |
OCLC number | 13686205 |