North Carolina register, July 1998 - present

              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
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EXECUTIVE ORDERS
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EXECUTIVE ORDERS
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EXECUTIVE ORDERS
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EXECUTIVE ORDERS
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EXECUTIVE ORDERS
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1059
EXECUTIVE ORDERS
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EXECUTIVE ORDERS
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EXECUTIVE ORDERS
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EXECUTIVE ORDERS
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EXECUTIVE ORDERS
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EXECUTIVE ORDERS
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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
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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
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(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.
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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
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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
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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
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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
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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.
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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
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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
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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
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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;
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(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.
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(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
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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.
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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;
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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
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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.
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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
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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