RBR/KFN/74-34-/.A2/MG7
RECEIVED
rjUL 2 1995
IAW LIBRARY
The
NORTH CAROLINA
REGISTER
IN THIS ISSUE
IN ADDITION
Tax Review Board
; ^ORTH
TSTM
ITIOM
PROPOSED RULES
Agriculture
Environment, Health, and Natural Resources
Human Resources
Insurance
Medical Examiners, Board of
LIST OF RULES CODHTED
RRC OBJECTIONS
RULES INVALIDATED BY JUDICIAL DECISION
CONTESTED CASE DECISIONS
ISSUE DATE: July 1, 1993
Volume 8 • Issue 7 • Pages 503 - 640
INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE
NORTH CAROLINA REGISTER TEMPORARY RULES I
The North Carolina Register is published twice a month and
contains information relating to agency, executive, legislative and
judicial actions required by or affecting Chapter 150B of the
General Statutes. All proposed administrative rules and notices of
public hearings filed under G.S. 150B-21.2 must be published in
the Register. The Register will typically comprise approximately
fifty pages per issue of legal text.
State law requires that a copy of each issue be provided free of
charge to each county in the state and to various state officials and
institutions.
The North Carolina Register is available by yearly subscription
at a cost of one hundred and five dollars ($105.00) for 24 issues.
Individual issues may be purchased for eight dollars (S8.00).
Requests for subscription to the North Carolina Register should
be directed to the Office of Administrative Hearings,
P. 0. Drawer 27447, Raleigh, N. C. 27611-7447.
Under certain emergency conditions, agencies may issue
temporary rules. Within 24 hours of submission to OAH, the
Codifier of Rules must review the agency's written statement of
findings of need for the temporary rule pursuant to the provisions in
G.S. 150B-21.1. If the Codifier determines that the findings meet
the criteria in G.S. 150B-21.1, the rule is entered into the NCAC. If
the Codifier determines that the findings do not meet the criteria,
the rule is returned to the agency. The agency may supplement its
findings and resubmit the temporary rule for an additional review
or the agency may respond that it will remain with its initial
position. The Codifier, thereafter, will enter the rule into the
NCAC. A temporary rule becomes effective either when the
Codifier of Rules enters the rule in the Code or on the sixth
business day after the agency resubmits the rule without change.
The temporary rule is in effect for the period specified in the rule or
180 days, whichever is less. An agency adopting a temporary rule
must begin rule-making procedures on the permanent rule at the
same time the temporary rule is filed with the Codifier.
ADOPTION AMENDMENT, AND REPEAL OF
RULES
NORTH CAROLINA ADMINISTRATIVE CODE
The following is a generalized statement of the procedures to be
followed for an agency to adopt, amend, or repeal a rule. For the
specific statutory authority, please consult Article 2A of Chapter
150B of the General Statutes.
Any agency intending to adopt, amend, or repeal a rule must
first publish notice of the proposed action in the North Carolina
Register. The notice must include the time and place of the public
hearing (or instructions on how a member of the public may request
a hearing); a statement of procedure for public comments; the text
of the proposed rule or the statement of subject matter; the reason
for the proposed action; a reference to the statutory authority for the
action and the proposed effective date.
Unless a specific statute provides otherwise, at least 15 days
must elapse following publication of the notice in the North
Carolina Register before the agency may conduct the public
hearing and at least 30 days must elapse before the agency can take
action on the proposed rule. An agency may not adopt a rule mat
differs substantially from the proposed form published as part of
the public notice, until the adopted version has been published in
the North Carolina Register for an additional 30 day comment
period.
When final action is taken, the promulgating agency must file
the rule with the Rules Review Commission (RRC). After approval
by RRC, the adopted rule is filed with the Office of Administrative
Hearings (OAH).
A rule or amended rule generally becomes effective 5 business
days after the rule is filed with the Office of Administrative
Hearings for publication in the North Carolina Administrative Code
(NCAC).
Proposed action on rules may be withdrawn by the promulgating
agency at any time before final action is taken by the agency or
before filing with OAH for publication in the NCAC.
The North Carolina Administrative Code (NCAC) is a
compilation and index of the administrative rules of 25 state
agencies and 38 occupational licensing boards. The NCAC
comprises approximately 15,000 letter size, single spaced pages of
material of which approximately 35% of is changed annually.
Compilation and publication of the NCAC is mandated by G.S.
150B-21.18.
The Code is divided into Titles and Chapters. Each state agency
is assigned a separate title which is further broken down by
chapters. Title 21 is designated for occupational licensing boards.
The NCAC is available in two formats.
(1) Single pages may be obtained at a minimum cost of
two dollars and 50 cents (S2.50) for 10 pages or less,
plus fifteen cents (SO. 15) per each additional page.
(2) The full publication consists of 53 volumes, totaling in
excess of 15,000 pages. It is supplemented monthly
with replacement pages. A one year subscription to the
full publication including supplements can be
purchased for seven hundred and fifty dollars
(S750.00). Individual volumes may also be purchased
with supplement service. Renewal subscriptions for
supplements to the initial publication are available.
Requests for pages of rules or volumes of the NCAC should be
directed to the Office of Administrative Hearings.
CITATION TO THE NORTH CAROLINA
REGISTER
The North Carolina Register is cited by volume, issue, page
number and date. 1:1 NCR 101-201, April 1, 1986 refers to
Volume 1, Issue 1, pages 101 through 201 of the North Carolina
Register issued on April 1, 1986.
FOR INFORMATION CONTACT Office of
Administrative Hearings, ATTN: Ru es Division, P.O.
Drawer 27447, Raleigh, North Carolina 27611-7447, (919)
733-2678.
NORTH
CAROLINA
REGISTER
Office of Administrative Hearings
P. O. Drawer 27447
Raleigh, North Carolina 27611-7447
(919) 733-2678
Julian Mann III,
Director
James R. Scarcella St.,
Deputy Director
Molly Masich,
Director ofAPA Services
Staff:
Ruby Creech,
Publications Coordinator
Teresa Kilpatrick,
Editorial Assistant
Jean Shirley,
Editorial Assistant
ISSUE CONTENTS
I. IN ADDITION
Tax Review Board 503
II. PROPOSED RULES
Agriculture
N.C. State Fair 506
Plant Industry 513
Veterinary Division 515
Environment, Health, and
Natural Resources
Coastal Management 571
Environmental Management .... 556
Health Services 572
Marine Fisheries 568
Human Resources
Medical Assistance 553
Mental Health, Developmental
Disabilities and Substance Abuse
Services 516
Insurance
Actuarial Services 555
Licensing Board
Medical Examiners 591
III. LIST OF RULES CODIFIED . . 593
IV. RRC OBJECTIONS 603
V. RULES INVALIDATED BY
JUDICIAL DECISION 608
VI. CONTESTED CASE DECISIONS
Index to ALJ Decisions 609
Text of Selected Decisions
92 DOA 0803 613
92 DHR 1699 632
VII. CUMULATIVE INDEX 639
NORTH CAROLINA REGISTER
Publication Schedule
(January 1993 - December 1993)
Last Day Earliest Earliest
for Elec- Date for Date for Last Day *Earliest
Issue Last Day tronic Public Adoption to Submit Effective
Date for Filing Filing Hearing by Agency to RRC Date
:£: sjc ^ ^ ^ ^fi ^e ******* ******* ^c s[c + Jfi :fc :+: J£ ******* >: :k :< •:< -< i< •:< *******
01/04/93 12/09/92 12/16/92 01/19/93 02/03/93 02/20/93 04/01/93
01/15/93 12/22/92 12/31/92 01/30/93 02/14/93 02/20/93 04/01/93
02/01/93 01/08/93 01/15/93 02/16/93 03/03/93 03/20/93 05/03/93
02/15/93 01/25/93 02/01/93 03/02/93 03/17/93 03/20/93 05/03/93
03/01/93 02/08/93 02/15/93 03/16/93 03/31/93 04/20/93 06/01/93
03/15/93 02/22/93 03/01/93 03/30/93 04/14/93 04/20/93 06/01/93
04/01/93 03/11/93 03/18/93 04/16/93 05/01/93 05/20/93 07/01/93
04/15/93 03/24/93 03/31/93 04/30/93 05/15/93 05/20/93 07/01/93
05/03/93 04/12/93 04/19/93 05/18/93 06/02/93 06/20/93 08/02/93
05/14/93 04/23/93 04/30/93 05/29/93 06/13/93 06/20/93 08/02/93
06/01/93 05/10/93 05/17/93 06/16/93 07/01/93 07/20/93 09/01/93
06/15/93 05/24/93 06/01/93 06/30/93 07/15/93 07/20/93 09/01/93
07/01/93 06/10/93 06/17/93 07/16/93 07/31/93 08/20/93 10/01/93
07/15/93 06/23/93 06/30/93 07/30/93 08/14/93 08/20/93 10/01/93
08/02/93 07/12/93 07/19/93 08/17/93 09/01/93 09/20/93 11/01/93
08/16/93 07/26/93 08/02/93 08/31/93 09/15/93 09/20/93 11/01/93
09/01/93 08/11/93 08/18/93 09/16/93 10/01/93 10/20/93 12/01/93
09/15/93 08/24/93 08/31/93 09/30/93 10/15/93 10/20/93 12/01/93
10/01/93 09/10/93 09/17/93 10/16/93 10/31/93 11/20/93 01/04/94
10/15/93 09/24/93 10/01/93 10/30/93 11/14/93 11/20/93 01/04/94
11/01/93 10/11/93 10/18/93 11/16/93 12/01/93 12/20/93 02/01/94
11/15/93 10/22/93 10/29/93 11/30/93 12/15/93 12/20/93 02/01/94
12/01/93 11/05/93 11/15/93 12/16/93 12/31/93 01/20/94 03/01/94
12/15/93 11/24/93 12/01/93 12/30/93 01/14/94 01/20/94 03/01/94
* TJie "Earliest Effective Date" is computed assuming that the agency follows the
publication schedule above, that the Rules Review Commission approves the rule at
the next calendar month meeting after submission, and that RRC delivers the rule to
the Codifier of Rules five (5) business days before the 1st business day of the next
calendar month.
IN ADDITION
STATE OF NORTH CAROLINA
COUNTY OF WAKE
BEFORE THE TAX REVIEW BOARD
In the matter of:
The Proposed Assessment of
Corporate Income Tax for the
taxable year ended 30 June 1989
by the Secretary of Revenue
against UCI Holdings, Inc.
ADMINISTRATIVE
DECISION NUMBER: 273
THIS MATTER was heard before the undersigned duly appointed and acting members of the Tax
Review Board at its regular meeting in the City of Raleigh on 30 April 1993, upon the petition of UCI
Holdings, Inc. for review of a Final Decision of the Deputy Secretary of Revenue entered 12 September 1991
sustaining a proposed assessment of corporate income tax for the taxable year ended 30 June 1989.
AND IT APPEARING TO THE BOARD that the findings of fact made by the Deputy Secretary of
Revenue were fully supported by competent evidence of record, that the conclusions of law made by the
Deputy Secretary were fully supported by the findings of fact, and that the decision by the Deputy Secretary
was fully supported by the conclusions of law;
IT IS THEREFORE ORDERED that the Final Decision of the Deputy Secretary of Revenue is
confirmed in every respect.
Entered this the 8th day of June, 1993.
TAX REVIEW BOARD
Harlan E. Boyles, Chairman
State Treasurer
William W. Redman, Jr.
Chairman. Utilities Commission
Jeff D. Batts
NORTH CAROLINA REGISTER July 1, 1993 503
IN ADDITION
STATE OF NORTH CAROLINA
COUNTY OF WAKE
BEFORE THE TAX REVIEW BOARD i
In the matter of:
The Proposed Assessment of
Additional Income Tax for
taxable year 1988 by the
Secretary of Revenue against
Jeffrey S. and Polly K. Whittle.
ADMINISTRATIVE
DECISION NUMBER: 274
THIS MATTER was heard before the undersigned duly appointed and acting members of the Tax
Review Board at its regular meeting in the City of Raleigh on 30 April 1993, upon the petition of Jeffrey S.
and Polly K. Whittle for review of a Final Decision of the Deputy Secretary of Revenue entered 18 February
1992 sustaining a proposed assessment of additional income tax for the tax year 1988.
AND IT APPEARING TO THE BOARD that the findings of fact made by the Deputy Secretary of
Revenue were fully supported by competent evidence of record, that the conclusions of law made by the
Deputy Secretary were fully supported by the findings of fact, and that the decision by the Deputy Secretary
was fully supported by the conclusions of law;
IT IS THEREFORE ORDERED that the Final Decision of the Deputy Secretary of Revenue is
confirmed in every respect.
'
Entered this the 8th day of June, 1993.
TAX REVIEW BOARD
Harlan E. Boyles, Chairman
State Treasurer
William W. Redman, Jr.
Chairman, Utilities Commission
Jeff D. Batts
I
504 8:7 NORTH CAROLINA REGISTER July 1, 1993
IN ADDITION
STATE OF NORTH CAROLINA
COUNTY OF WAKE
BEFORE THE TAX REVIEW BOARD
In the matter of:
The Proposed Assessment of
Additional Sales and Use Tax
for the period 1 July 1983
through 30 June 1986 by the
Secretary of Revenue against
Piedmont Aviation, Inc.
ADMINISTRATIVE
DECISION NUMBER: 275
THIS MATTER was heard before the undersigned duly appointed and acting members of the Tax
Review Board at its regular meeting in the City of Raleigh on 30 April 1993, upon the petition of Piedmont
Aviation, Inc. for review of a Final Decision of the Deputy Secretary of Revenue entered 6 July 1992
sustaining a proposed assessment of additional sales and use tax for the period 1 July 1983 through 30 June
1986.
AND IT APPEARING TO THE BOARD that the findings of fact made by the Deputy Secretary of
Revenue were fully supported by competent evidence of record, that the conclusions of law made by the
Deputy Secretary were fully supported by the findings of fact, and that the decision by the Deputy Secretary
was fully supported by the conclusions of law;
IT IS THEREFORE ORDERED that the Final Decision of the Deputy Secretary of Revenue is
confirmed in every respect.
Entered this the 8th day of June, 1993.
TAX REVIEW BOARD
Harlan E. Boyles, Chairman
State Treasurer
William W. Redman, Jr.
Chairman, Utilities Commission
Jeff D. Batts
8:7 NORTH CAROLINA REGISTER July 1, 1993 505
PROPOSED RULES
TITLE 2 - DEPARTMENT OF
AGRICULTURE
l\otice is hereby given in accordance with G.S.
150B-21.2 that the N.C. Board of Agriculture
intends to amend rules cited as 2 NCA C 20B . 0102
- .0104; .0106: .0203 - .0204; .0206; .0208;
.0211: .0214; .0216; .0218; .0220; .0225; .0301;
.0411; .0413; .0426; 2 NCAC 48A .0611; 2 NCAC
48C . 0005; . 001 7; . 0020 -. 0021; . 0023 - . 0024; 2
NCAC 52B .0502; and repeal rules cited as 2
NCAC 20B .0105 and .0414.
1 he proposed effective date of this action is
October 1, 1993.
1 he public hearing will be conducted at 10:00
a.m. on August 12. 1993 at the Gov. James B.
Hunt, Jr. Horse Complex (Restaurant), 4601
Trinity Rd. , Raleigh, NC 27607.
MXeason for Proposed Action:
2 NCAC 20B .0102 - TRAFFIC REGULATIONS -
To make minor changes in State Fair traffic rules.
2 NCAC 20B .0103 - ADVERTISING MATTER -
To update description of State Fair boundaries.
2 NCAC 20B .0104 - ADMISSION REGUIA-TIONS
- To increase State Fair gate admission
prices and to update operating hours.
2 NCAC 20B .0105- EMPLOYEE REGULATIONS
- To remove internal operating procedure from
rules.
2 NCAC 20B .0106 - GENERAL - To make gram-matical
changes and to remove prohibition on
metal drink containers.
2 NCAC 20B .0203 - OCCUPANCY OF SPACE -
To clarify wording.
2 NCAC 20B .0204 - FORFEITURE - To update
reference to duration of State Fair.
2 NCAC 20B .0206 - EXPIRATION OF CON-TRACTS
- To reduce time for removal of tempo-rary
booths from Fairgrounds.
2 NCAC 20B .0208 - TIME LIMITS ON REMOV-AL
- To change time for dismantling of exhibits
and removal of items on display outdoors.
2 NCAC 20B .0211 - SIGNS - To prohibit card-board
signs.
2 NCAC 20B .0214 - LOUDSPEAKERS: ETC. -
To update reference to State Fair operating hours.
2 NCAC 20B .0216 - PRICE SIGNS - To clarify
requirements for posting prices at food stands.
2 NCAC 20B .0218- CLEANLINESS - To clarify
lessee 's responsibility for waste disposal.
2 NCAC 20B .0220 - STORAGE TRAILERS - To
change requirements for parking trailers on Fair-grounds.
2 NCAC 20B .0225 - GAS OR ELECTRIC SER-VICE
- To clarify requirements for electrical
service to exhibitors.
2 NCAC 20B .0301 - EXHIBITS AND EXHIBI-TORS
- To delete prohibition on removal of live-stock
prior to midnight on last day of State Fair.
2 NCAC 20B .0411 - RESERVATIONS AND
PAYMENT OF CHARGES - To clarify require-ments
for deposits and settlements with lessees of
State Fair property.
2 NCAC 20B . 0413 - ALCOHOLIC BEVERAGES -
To clarify restrictions on sale and consumption of
alcohol at horse facilities.
2 NCAC 20B .0414 - APPLICABILITY OF REGU-LATIONS
- To repeal unnecessary rule.
2 NCAC 20B .0426 - RENTAL RATES: FEES:
AND PREMIUM BOOKS - To clarify rule concern-ing
establishment of rental fees.
2 NCAC 48A .0611 - PROGRAM PARTICIPA-TION
AND PAYMENT OF FEES - To delete
provisions for refund of penalties and interest on
unpaid fees.
2 NCAC 48C .0005 - PROHIBITED SALES - To
clarify wording.
2 NCAC 48C .0017 - INSPECTION AND STOP
SALE ACTION OF SEED INSPECTORS - To
clarify and update procedures for issuance ofstop-sale
orders on seed.
2 NCAC 48C .0020 - TAGS AND LABELS AND
STAMPS - To update rule to conform to changes in
the law concerning seed tags and stamps.
2 NCAC 48C .0021 - RESPONSIBILITY FOR
OBTAINING NEW GERMINATION TEST - To
delete reference to a specific time for new seed
germination tests.
2 NCAC 48C .0023 - ANALYSIS FOR FARMERS
OR SEEDMEN - To clarify procedures for seed
analysis services.
2 NCAC 48C .0024 - IDENTIFICATION AND
SIZE OF SAMPLES FOR SERVICE TESTING - To
clarify and make grammatical changes.
2 NCAC 52B .0502 - HEALTH REGULATIONS
FOR POULTRY EXHIBITIONS - To indicate
increased pullorum testfee for testing of exhibition
birds.
Ksomment Procedures: Interested persons may
present their statements either orally or in writing
at the public hearing or in writing prior to the
hearing bx mail addressed to David S. McLeod,
506 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
Secretary of the North Carolina Board of Agricul-ture,
P.O. Box 27647, Raleigh, NC 27611.
CHAPTER 20 - THE NORTH
CAROLINA STATE FAIR
SUBCHAPTER 20B - REGULATIONS OF
THE STATE FAIR
SECTION .0100 - GENERAL PROVISIONS
.0102 TRAFFIC REGULATIONS
(a) Applicable North Carolina laws relating to
traffic, parking and the operation of motor vehi-cles,
as amended from time to time, are hereby
incorporated into and made a part of these regula-tions,
and the same shall be in full force and effect
as to all parts of the North Carolina State Fair
grounds, and as to the operation of motor vehicles
therein and thereon, and shall have the same force
and effect as though the said provisions were
herein specifically set out in full.
(b) Parking on all streets within the fair grounds
is prohibited between the hours of 1:00 a.m. and
6:00 a.m. during the period of the fair. All trucks
and motorized vehicles must complete their deliv-eries
and be off the streets by 10:00 a.m. each
day. Absolutely no deliveries will be allowed
(with the exception of ice) by motorized vehicles
between the hours of 10:00 a.m. and midnight all
days of the fair. During the period of the fair,
certain locations within the fair grounds will be
designated "restricted area." Parking or vehicular
traffic within such restricted areas is prohibited
without special permit from 6:00 a.m. to midnight
each day of the fair . During all periods of the
year other than State Fair period, vehicles may not
be parked on State Fair streets or in State Fair
parking lots for a period in excess of 24 hours
unless previous arrangements to the contrary are
made with the manager. Vehicles left on the
grounds in violation of this Rule may be towed
away and impounded at owner's risk and expense.
(c) Unauthorized vehicles will not be allowed on
the North Carolina State Fair grounds except in
parking areas during the period of the annual State
Fair unless such vehicles are on display in an
exhibition and in such case, said vehicles must be
kept in exhibit location and may not, under any
circumstances, be operated on the streets of the
fair grounds. State Fair personnel are authorized
to use vehicles where necessary on the fair
grounds in performance of duties.
(d) The State Fair management has set aside
parking spaces for automobiles in various parts of
the State Fair grounds. Automobiles and articles
may be left in said parking spaces during the
period of the State Fair at owner's risk.
(e) Any trailer or similar vehicle used for
sleeping or cooking must be parked in the limited
areas established and controlled by special permis-sion
from the manager at set fees per night.
(f) A vehicle parked in violation of North
Carolina statutes and these regulations shall be
removed to a parking lot outside the fence.
Administration office and sheriff office shall be
notified of make of car, license and where it is
moved to. State Fair is not responsible for any
damage in moving or after moving.
(g) The Manager of the State Fair shall have
authority to order the placement of such traffic
control or restrictive signals and signs on the State
Fair grounds as he shall deem necessary for the
proper safety, protection and control of said fair
grounds.
Statutory Authority G.S. 106-503.
.0103 ADVERTISING MATTER
(a) Distribution of advertising material or matter
of any kind, nature, or description by concession-aires,
exhibitors, patrons attending annual exhibi-tions
on the State Fairgrounds, political parties, or
by any other person or persons whomsoever, shall
be, and the same hereby is, prohibited on the State
Fairgrounds unless such distribution shall be
within and from the assigned and designated space
and shall have been first duly authorized by the
State Fair Manager upon application thereto, and
that advertising material or matter of any kind,
nature or description shall be on the counter or
display area and shall not be handed out unless a
fair patron requests such materials. Promiscuous
handing out of such material, even from designated
areas, is strictly forbidden.
(b) The distribution in any manner of advertising
material having a gummed or adhesive backing,
such as labels, lapel badges, car bumper or win-dow
stickers, etc., whether such distribution shall
be from a contracted exhibit or concession space
or elsewhere, is prohibited upon the State Fair
grounds. Persons or firms found distributing such
materials may, in the discretion of the fair manag-er,
immediately forfeit all space right and, in
addition, may be held financially responsible for
any and all damage done to or occasioned by the
State Fair as a result of these materials being
affixed to State Fair property by third parties.
(c) Operation of sound trucks or mobile vehicles
equipped with public address systems, or vehicles
8:7 NORTH CAROLINA REGISTER July 1, 1993 507
PROPOSED RULES
upon which any advertising signs, political or
otherwise, have been affixed in any manner,
whether such vehicles are in motion on the fair
grounds or parked therein or abutting same, and
operation thereof or parking same on the State Fair
grounds, whether within or without the fenced-off
area thereof, is hereby prohibited unless specific
authorization for such operation or parking thereof
shall have been first secured from the manager
upon due application thereto.
(d) For the purpose of enforcing the provisions
of this Section, it is hereby determined that the
State Fair grounds shall consist of and constitute
that certain area of land in Wake County bounded
on the south by N.C. Highway 5 4 Hillsborough
Street , on the east by Prison Farm Road Blue
Ridge Boulevard , on the north by OW Trinity
Road, and on the west by State Fair Youth Center
the Gov. James B. Hunt. Jr. Horse Complex , and
includes the area without as well as within the
fenced portion thereof.
(e) The prohibitions and restrictions relating to
advertising in these regulations shall not be con-strued
as being applicable to lettered service trucks
advertising a concern or its products while making
necessary deliveries of merchandise or service to
concessionaires or exhibitors on the State Fair
grounds, or the normal small advertising on
bumpers and windows of vehicles.
Statutory Authority G.S. 106-503.
.0104 ADMISSION REGULATIONS
(a) All persons entering the North Carolina State Fair grounds must pay the established admission fee,
except persons holding worker's permits. One-time-only admissions will be issued to those persons who are
employed by the fair or are asked to appear on the grounds by the fair management for a specific purpose,
relative to the operation of the fair.
(b) The gates of the North Carolina State Fair will be open to visitors from 9:00 a.m. until midnight each
day of the fair , exeept Sunday, when opening will be at 12:00 noon . Exhibit buildings will be open from 9:00
a.m. to 9:45 p.m. daily , except Sunday, when opening will bo at 12:00 noon .
(c) The State Fair Manager may operate a pass-out system at one or more of the outside gates. Persons
exiting through these gates may, upon request, have their hand or vehicle stamped for readmittance through
the same gate without additional charge. Readmittance must occur before 10:00 p.m. on the same day as
pass-out or the hand stamp will not be honored.
(d) Outside gate admission prices are as follows:
(1) adult/child. 13 years of age and over 45^00 $6.00
(2) child, 6 through 12 years of age $1.00
(3) senior citizen, 65 and over Free
(4) child, under 6 years of age Free
(e) Outside gate admission prices for advance ticket sales are as follows:
(1) adult/child, 13 years of age and over SA^Mi $5.00
(2) child, 6 through 12 years of age $1.00
(3) senior citizen, 65 and over Free
(4) child, under 6 years of age Free
508 8:7 NORTH CAROLINA REGISTER July 1, 1993
%
*
%
PROPOSED RULES
(5) adult group sales purchasing a minimum of 40 tickets $4tQQ $4.75
(f) The State Fair Manager may offer to exhibitors and concessionaires a reduced rate for gate admission.
If offered, such discount tickets may be purchased from the administration office. Each discount ticket shall
allow one admission during each day of the fair. These cards , which contain punch outs for each day of the
fatF-r shall be non-refundable^ whether punched used or not, te and shall be used only by persons involved with
concessions or exhibits^ 1-4 and not for general admission.
Statutory Authority G.S. 106-503.
.0105 EMPLOYEE REGULATIONS
(a) No employee of the State Fair shall perform
the following acts:
{+) enter into any contract between himself
and the fair other than his contract of
employment with the fair;
{3} have or acquire any financial interests,
whether direct or indirect, in any con
tract or contractural relation between
the fair and any concessionaire, c;xxrhiiibbii -
tor, performer, ve ndor or contractor;
0j engage or participate in business opera
tions or dealings that might involve a
conflict—between—h+s
—
obligations—and
interests as a manager or employee of
the fair, or the interests of the fair, and
his own personal interests or the inter
csts of hi s immediate family; and
(4) be entitled to any special concessions
involving the storage of vehicles or
materials on the State Fair grounds or
th«-use ot tair buildings, machinery or
equipment, except as may be specifical
ly approved by the fair manager.
(b) All vehicles u sed by employees of the fair in
connection with the operation of the State Fair
shall be the sole property of the fair to be used
only on State Fair bus iness .—Vehicles donated to
State Fair for the purpose of promotion shall be
used only by authorization of the manager.—E-m-ployecs
of the fair, authorized to use privately
owned vehicles, shall be reimbursed according to
exi sting regulations after submitting proper ex
pense account forms.
(e)
—
No employee of the fair s hall have the
privilege of purchasing material s through the fair's
name or on the fair's account.
fd)
—
The following policies as regards employ -
ment—eft
—
merit—and
—
without—di scrimination,—as
established by the North Carolina Personnel Act,
shall be followed by the fair:
w- It s hall be the policy of the fair to
foster the employment of individuals in
accordance with their fullest capacities,
regardless of race, color, creed, rcli
gion or national origin and to safeguard
their rights to hold employment with
the fair without discrimination.
{3) Every contract for or on behalf of the
fair for materials , supplies, construction
or space rental contracts for commercial
sale or exhibit purposes may be cancel
led or terminated—by the fair when
discrimination on account of race, color
or creed exists in the hiring or employ
ment of common or s killed labor by the
contractor pursuant to the contract.
Statutory Authority G.S. 106-503.
.0106 GENERAL
(a) Any person or persons who shall make, aid,
countenance or assist in making any noise, riot,
disturbance and all persons who shall collect in
bodies or crowds on the North Carolina State Fair
grounds for unlawful purposes or to the annoyance
or disturbance of citizens and those attending the
North Carolina State Fair or lawfully on the North
Carolina State Fair grounds may be expelled from
the State Fair grounds for such period of time as
the manager of the fair may determine.
(b) Any person who shall appear in any street or
public or exposed place on the North Carolina
State Fair grounds, in a state of nudity, or dress
not belonging to his or her sex, or in any indecent
or lewd dress, or shall make any indecent exposure
of his person, or be guilty of any obscene or filthy
act, or any lewd, indecent or immoral or insulting
conduct, language or behavior, or shall sell, lend,
give away, distribute or in any manner attempt to
do so, or show or have in his possession or offer
for loan, gift or sale or distribute, lend, give or
sell any obscene or indecent book, magazine,
pamphlet, paper, writing, picture, drawing, photo-graph,
or any article of lewd, obscene, immoral or
indecent character or orally or otherwise give
information as to where any such as above is
obtainable or who shall exhibit any such to minors
or procure any minor or any one else to sell, give,
lend or distribute any such, shall be subject to the
penalties and punishment provided in Subsection
Paragraph (a) of this Rule.
(c) Any person who shall unnecessarily or
8:7 NORTH CAROLINA REGISTER July 1, 1993 509
jmtrmrrrmrmm ««. igw ~«. r,r»5„J.„^J^JJJJ
PROPOSED RULES
maliciously beat, abuse or injure any animal on the
North Carolina State Fair grounds shall be subject
to the penalties and punishment provided in Sub
section Paragraph (a) of this Rule.
(d) No person shall carry from the specific area
of any concession or other place of sale on the
grounds of the fair, any liquid beverage in glass ©f
metal containers, nor shall any person, when in
motion about the grounds, carry any such liquid
beverages in glass or metal containers. This
Section shall not apply to non-alcoholic liquids
brought into the fair grounds as a part of picnic
meals or the like when consumed and used in a
stationary locale. This Regulation is promulgated
for the welfare and protection of all visitors to the
State Fair and violators hereof shall be subject to
the penalties provided in Subsection Paragraph (a)
of this Rule.
(e) Dogs and cats are not allowed on the fair
grounds unless they are under leash, are carried by
the person having possession of such animal or are
on display in an exhibit contracted by the fair for
the specific purpose of such exhibition. All such
animals not on the grounds for exhibition shall be
muzzled.
Statutory Authority G.S. 1 06-503.
SECTION .0200 - SPACE RENTAL:
COMMERCIAL EXHIBIT AND
CONCESSION REGULATIONS
.0203 OCCUPANCY OF SPACE
No space shall be occupied until the deposit full
payment is complete made . The original copy of
the rental contract shall be signed and returned to
the Space Rental Superintendent. Final payment
on Concession and Commercial Exhibit Contracts
is due at the Space Rental Office, Administration
Building, no later than September 1. Renters of
space shall keep a copy of the rental contract on
the rented premises.
Statutory Authority G.S. 106-503.
.0204 FORFEITURE
Space assigned and not occupied by 8:00 a.m. on
the first day of the fair, as well as all fees previ-ously
paid, shall be forfeited to the fair as liquidat-ed
damages. Any space which is not open for
business or does not have an attendant at the space
during the hours deemed necessary by the Space
Rental Superintendent, during the fttfte H) days of
the fair, shall, at the option of the State Fair
Manager, be forfeited. Space rental contracts shall
not be cancelled by the lessee without written
notification to State Fair Manager and said written
notification must be delivered to the Space Rental
Superintendent no later than September 1 . Re-funds
on cancelled space contracts shall not be
made unless all provisions herein are complied
with.
Statutory Authority G.S. 106-503.
.0206 EXPIRATION OF CONTRACTS
All ground leases or space contracts, unless
otherwise specified, will expire with the close of
the fair each year and all temporary buildings,
frames, booths, etc., shall be removed seven days
within 72 hours following close of fair. , otherwise
they Any such items not removed shall become the
property of the North Carolina State Fair.
Statutory Authority G.S. 106-503.
.0208 TIME LIMITS ON REMOVAL
No exhibit may be dismantled or removed until
8 :00 a.m. 10:00 p.m. of the last day following the
close of the fair. Building superintendents, gate-men
and police officers shall be instructed to
prevent any attempt to dismantle or remove exhib-its
before the hour of release. Watchmen shall be
on duty in buildings until 5:00 p.m. of the day
following the close of the fair. Exhibitors and
concessionaires shall remove all equipment from
buildings by 5:00 p.m. Monday following the
close of the fair. All outside equipment and
machinery shall be removed no later than seven
days 72 hours following the last day of the fair;
otherwise, they will become the property of the
State Fair to be disposed of as the manager may
deem necessary.
Statutory Authority G.S. 106-503.
.0211 SIGNS
All signs advertising any special product, wheth-er
by a trademark or otherwise, will be prohibited
on the outside of any stand or building. Menus
will be permitted provided they do not list any
item by the manufacturer's name or trademark.
The space between the ground and the counter on
all four sides must be entirely free of special
advertising. Soft drink distributors, bakeries, meat
dealers, dairies, and all other suppliers may fur-nish
suitable signs for the inside of stands if
requested by the concessionaire. No "A" boards
or free standing boards are permitted. No corru-gated
cardboard signs are permitted.
510 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
Statutory Authority G.S. 106-503.
.0214 LOUDSPEAKERS: ETC.
No loudspeaker, amplifier, radio or other broad-casting
device is permitted on the State Fair
grounds unless written permission is first obtained
from the Space Rental Superintendent. Approved
loudspeakers must be kept at a reasonable volume
so as not to disturb normal business transactions in
adjoining exhibits nor the general public. The
Space Rental Superintendent reserves the right to
revoke loudspeaker permission if the provisions of
this Rule are not observed. Under no circumstanc
cs may loudspeakers be used before 1:00 p.m. on
Sunday.
Statutory Authority G.S. 106-503.
.0216 PRICE SIGNS
On the opening day of the fair, each lessee shall
cause to be posted in a conspicuous manner at the
front or entrance to his place of business and at
point of order and point of sale, if different loca-tions
, a neatly printed or painted sign, showing
price (as approved by management) of meals,
lunches, and all articles of food and drink to be
sold and services performed under the contract.
Lessee shall also keep displayed in plain view of
the public his contract number, which will be
furnished by the superintendent.
Statutory Authority- G.S. 106-503.
.0218 CLEANLINESS
Purchasers Lessees of space or booth shall keep
their space or booth plus the area immediately
surrounding their space or booth in a clean and
sanitary condition at all times by removing there-from
any filth and refuse and placing same in
centralized dump locations on the fair grounds as
specified by the space rental and sanitation depart-ments.
Lessee must comply with all laws and
ordinances regarding disposal of waste. The use
of public trash receptacles by purchasers of privi-leges
is prohibited. Violation of this Rule may
cause, in the fair manager's discretion, concession
or exhibit to be closed and all fees previously paid
to be forfeited. Lessee shall not throw any refuse
or empty any water or other fluids on the ground
or in the streets or gutters. The first violation of
this Regulation shall be cause for the place of
business to be closed with the forfeiture of all fees
paid.
Statutory Authority G.S. 106-503.
.0220 STORAGE TRAILERS
Trailers used for storage of supplies or offices as
a direct part of concessions or exhibits will be
permitted to park on the fair grounds provided
they arc parked directly behind their own conces
sions or exhibit and do not take up parking s pace
of other concessionaires or exhibitors and provided
they are not used for sleeping or cooking. Cars or
trucks parked behind stands will pay twenty five
dollars
—
($25.00) s pecial—parking permit in a
location determined by the Space Rental Superin-tendent
and must have a sticker or receipt on the
trailer proving payment has been made for this
privilege .
Statutory Authority G.S. 106-503.
.0225 GAS OR ELECTRIC SERVICE
(a) The State Fair is not responsible or liable for
failure of electric service.
(b) Positively no one shall tamper with, or
change, any of the general lighting in any of the
State Fair buildings, and no electric connection
excluding wall sockets plug-ins shall be made by
any person not in the direct employ, or under the
supervision of, the fair manager.
(c) Prices quoted for electric service , etc.,
contemplate the ordinary job of connecting lights
and appliances .—Special wiring, setting motors,
etc., will be charged for on a time and material
basis are for having electrical power available to
the Lessee. Lessee is responsible for all internal
wiring and is responsible for having adapter plugs.
if necessary, to connect to Fair electrical system .
(d) The fair manager reserves the right to
terminate service if conditions of contract are
violated.
Statutory Authority G.S. 106-503.
SECTION .0300 - COMPETITIVE EXHIBIT
REGULATIONS
.0301 EXHIBITS AND EXHIBITORS
(a) The entry department will be open to receive
and return exhibits 1 1 days prior to the fair and
nine days following the fair, 8:30 a.m. to 6:00
p.m., except Sunday, when the department will be
open from 1:00 p.m. to 6:00 p.m.
(b) Exhibit buildings will be open to the public
daily between the hours of 9:00 a.m. and 9:45
p.m. during the fair.
(c) On the last night of the fair, after 9:45 p.m.,
exhibits may be packed up and stored for removal.
No vehicle will be permitted to enter fair grounds
8:7 NORTH CAROLINA REGISTER July 1, 1993 511
--'- •' " MMMMMMMMIi
PROPOSED RULES
to remove exhibits before 8:00 a.m. of the morn-ing
following the closing of the fair. Livestock,
poultry, and rabbits will have a special release
time on the last day of the fair. No livestock will
be removed prior to 12 midnight of the last day of
the fair.
(d) No fair superintendent or other employee
shall be permitted, directly or indirectly, to make
an entry in any department of the fair over which
he presides or wherein he may be employed.
(e) The fair manager may limit exhibits to the
facilities available at any given time.
Statutory Authority G.S. 106-503.
SECTION .0400 - OPERATION OF
STATE FAIR FACILITIES
.0411 RESERVATIONS AND
PAYMENT OF CHARGES
(a) A tentative reservation may be made for use
of the building(s) by any organization, group, firm
or individual approved by the Manager of the State
Fair, subject to the availability of the facilities,
without payment of any fee. Such tentative reser-vation
shall automatically expire on the 10th day
following the date upon which the tentative reser-vation
was made.
(b) If the date for which a tentative reservation
was made is sought to be reserved by any other
qualified organization, group, firm or individual,
then the person(s) making the tentative reservation
shall be allowed 48 hours after due notice in which
to execute a written contract for use of the facili-ties
and to pay the required cash deposit which
must accompany such a contract.
(c) In any event, a written contract must be
executed not less than 24 hours prior to the sched-uled
start of any and all performance or exhibition
events, at which time lessee shall make a cash
deposit of not less than one half of the specified
"guaranteed minimum/' in the case of commercial
lessee, and the full amount of the s pecified rental
charge in the case of non commercial les see.
(d) Commercial le ssee Lessee shall be required
to make full settlement of 10 percent of the gross
revenue or the other one half of the if greater than
"guaranteed minimum," whichever shall be greater
along with payment for any special items or
services provided by the Fair, within 24 hours
after the end of the event for which use of the
facilities was contracted. The Manager of the
State Fair may extend the period for final and full
settlement if, in his judgment, additional time is
required to determine the accurate gross revenue.
Statutory Authority G.S. 106-503.
.0413 ALCOHOLIC BEVERAGES
(a) A person shall not sell, offer for sale, or
possess for the purpose of sale, any alcoholic
beverage on State Fair property, except as permit-ted
under this Rule.
(b) A person shall not possess or consume any
alcoholic beverage at ticketed, commercial events
that are open to the public on State Fair property
except as permitted under this Rule.
(c) Except during the annual State Fair, beer
and unfortified wine may be sold and consumed at
the horse facility Gov. James B. Hunt, Jr. Horse
Complex , subject to state alcoholic beverage
control laws and regulations.
(d) Except during the annual State Fair, beer
may be sold and consumed at Dorton Arena in
connection with professional sporting events,
subject to state alcoholic beverage control laws and
regulations.
Statutory Authority G.S. 106-503.
.0414 APPLICABILITY OF REGULATIONS
All other regulations of the North Carolina Board
of Agriculture pertaining to the operation of the
State Fair and fair grounds not inconsistent with
the regulations herein contained, shall be deemed
applicable to facilities and the use thereof by all
lessees.
Statutory Authority G.S. 106-503.
.0426 RENTAL RATES: FEES:
AND PREMIUM BOOKS
(a) Subject, in all instances, to approval by -tht
State Board of Agriculture, the The Manager of
the State Fair shall annually publish:
( 1
)
a schedule of fees and other charges
governing rental rates for State Fair
properties and services; and
(2) a premium book for exhibits and horse
shows governing the awarding of cash
prizes and other awards.
(b) The State Fair Manager shall obtain approval
from the State Board of Agriculture, as required in
(a) of this Rule - by January 15 of each year.
{e) (b) The Board of Agriculture shall give
notice of any hearing at which fees and other
charges governing rental rates for State Fair
properties and services or premium—books are
approved pursuant to the procedures outlined in
N.C.G.S. 150B-12.
(d) {c] Copies of fee schedules and premium
512 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
books shall be maintained in the Office of the State
Fair Manager and made available to the public
upon request.
Statutory Authority G.S. 106-503; 106-503. 1(b).
CHAPTER 48 - PLANT
INDUSTRY
SUBCHAPTER 48A - PLANT
PROTECTION
SECTION .0600 - BOLL WEEVIL
{&) The Commiss ioner may grant a total or
partial refund of penalties for extenuating
circum stances, such as crop failure, crop
damage or crop destruction, whether due
to natural or other cau ses .—A request for
the refund of penalties , including a com
pletc exp l anation of extenuating circum
stances, must be provided in writing to
the Plant Pest Administrator within 30
days of such payment.
Statutory Authority G.S. 106-65.74;
106-65.88; 106-65.91.
106-65. 77;
.0611 PROGRAM PARTICIPATION
AND PAYMENT OF FEES
All cotton farm operators in the state are hereby
required to participate in the eradication program.
Participation shall include timely reporting of
acreage and field locations, compliance with
regulations, and payment of fees. Farm operators
within the elimination zone shall be notified
through the extension offices or newspapers of
their program costs on a per acre basis on or
before March 15.
(1) Growers are to report all planted cotton
by completing a Cotton Acreage Report-ing
Form and paying a per acre fee at the
ASCS office by July 1 of the current
growing season.
(2) The fee is nonrefundable and is to pay
for the program's estimated costs as
determined by the Commissioner, but
will not exceed nine dollars ($9.00) per
acre.
(3) Growers not reporting planted cotton to
ASCS by July 1 of the current growing
season will be assessed a three dollar
($3.00) per acre penalty.
(4) Growers under-reporting by more than
ten percent of the actual planted acreage,
as determined by ASCS, will be assessed
a penalty of three dollars ($3.00) per acre
on all acreage in excess of the reported
acreage.
(5) All acreage for which fees have not been
paid on or before July 15 of the current
growing season will be assessed a three
dollar ($3.00) per acre penalty.
i&) Interes t at 15 percent per annum will be
charged on all unpaid fees and penalties
from August 1 to date of payment.
(7) (6) Fees and penalties shall be made
payable to the North Carolina Depart-ment
of Agriculture.
SUBCHAPTER 48C - SEEDS
.0005 PROHIBITED SALES
The sale of any seed which contain any of the
weed seeds or tubers listed below in excess of the
stated limitation per pound of crop seed is prohib-ited:
(1) two Purple Nutsedge and/or or Yellow
Nutsedge tubers;
(2) four Spurred Anoda, Cocklebur.
Sandbur, Sicklepod, Blessed Thistle,
Velvetleaf, Wild Onion and/or or Wild
Garlic (in small grains or larger seeds);
(3) eight Morning-glory;
(4) 10 Corn Cockle;
(5) 12 Wild Radish;
(6) 27 Bermundagrass, Field Bindweed,
Hedge Bindweed, Cornflower, Purple
Nutsedge, Yellow Nutsedge, seeds, Tex-as
Panicum, Canada Thistle or Wild
Onion and/or or Wild Garlic (in grasses
and small seeded legumes);
(7) 54 Broadleaf Dock, Curly Dock, Dodder,
Giant Foxtail, Horsenettle, Wild Mustard
et al, Bracted Plantain, Buckhorn Plan-tain
or Quackgrass.
Statutory Authority G.S. 106-277.9; 106-277.15.
.0017 INSPECTION AND STOP SALE
ACTION OF SEED INSPECTORS
(a) All seeds defined as "seed offered for sale"
in the North Carolina Seed Law, including seeds
in containers bearing seed tags issued by a recog-nized
certifying agency, are subject to inspection
and all other provisions of the North Carolina Seed
Law and these the rules and Regulations adopted
thereunder by the Board of Agriculture .
(b) Upon determining a lot of seeds is in viola-tion
of the North Carolina Seed Law, the officia l
seed inspector is authorized to issue a stop-sale
8:7 NORTH CAROLINA REGISTER July 1, 1993 513
naammi . -........_....
PROPOSED RULES
order on said lot of seed. The stop-sale order
shall contain the complete identification of the seed
lot and the number of bags or containers under
stop-sale.
(c) When a stop-sale order is issued on a lot of
seed, the inspector shall attach a stop-sale tag to
each one bag or container of said lot. and shall
remove the North Carolina seed analysis tag and
nnv other tag that may indicate an incorrect analy
sis of the contents of the bag or container. The
stop-sale tag shall not be removed,, nor any bags or
containers of the lot sold or removed from the
premises, until permission to do so is obtained
from the Commissioner of Agriculture or his
authorized agent.
Statutory- Authority G.S. 106-277. 15.
.0020 TAGS AND LABELS AND STAMPS
(a) Every container of agricultural or vegetable
seed containing 40- pettnds or more of seed shall
have attached thereto an official North Carolina a
seed analysis tag, bearing the information as
required by law (G.S. 106-277.3).
(b) The sccdman's statement of analysis may be
placed on the back side of the seed analysis tag,
providing the tag bears a name with address.
fe) £b) The seedman's statement of analysis
shall include all tag and label requirements as
provided in the law (G.S. 106-277.3). Incomplete
labeling is a violation of the seed law Seed Law.
(d) (c} When no statement is made on the seed
tag as to the name and number of noxious weed
seed per pound of crop seed, it shall be considered
equivalent to the statement, "none." The words
"None in Excess" or similar phrases, are prohibit-ed.
fe)
—
The official North Carolina seed analysi s
tags prescribed and made available by the Com
mi ss ioncr s hall—be
—
white—of
—
manila.—Fed;—and
yellow.—The red and yellow tags shall be limited
in u se to official seed inspectors.
ff) The official—North—Carolina seed—stamp
prescribed and made available by the Commission
er may be used in lieu of the official North Caroli
na seed analysis tag.—The official stamp may be
placed on a seedman' s label which contains all the
information required by law (G.S.—106 227.3),
iuch stamp to be :videnec that the revenue
pertaining to the official—North—Carolina Seed
Analys is Tag has been paid.
Statutory Authority G.S. 106-277. 15.
.0021 RESPONSIBILITY FOR OBTAINING
NEW GERMTNATION TEST
The person in possession of any seed offered for
sale, or exposed for sale for seeding purposes,
shall be responsible for securing a new germina-tion
test when the test date prior to sale, or expo
s ure for sale, shows the nine month period re-quired
by law has expired. The seed shall be
relabeled or new seed analysis tags attached in
compliance with the North Carolina Seed Law.
Statutory Authority G.S. 106-277.15.
.0023 ANALYSIS FOR FARMERS OR
SEEDMEN
(a) The germination and purity analyses of
agricultural and vegetable seeds shall be free to
any person residing within the state. However, the
Seed Program Administrator shall have the privi-lege,
with the approval of the Commissioner of
Agriculture and the Board of Agriculture, of
limiting the number of such free tests made annu-ally,
or during certain seasons, for any one person
and of designating the time or dates when such
samples will be accepted for testing. The Seed
Administrator may refuse to analyze any sample of
seeds submitted for testing that has not been
reasonably well cleaned, or does not comply with
these Rules.
(b) A fee of five dollars ($5.00) per sample (100
seeds) shall be charged to any North Carolina
citizen who requests the tetrazolium chloride
(T.Z.) test. This test shall be limited to wheat,
oats, barley and rye seeds from the period July 1
to November 1 of each year, and to peanuts,
soybeans, corn and cotton seeds from the period of
December 1 through June 30 of each year. The
Seed Administrator shall have authority to accept
special problem samples of other species for T.Z.
tests.
fe-)
—
The Seed Program Administrator shall have
authority to accept s pecial—problem samples of
other species for T.Z. test s and to refuse to ana
lyzc any sample of seeds submitted for te sting that
has not been reasonably well cleaned, or does not
comply with these rules.
fd-> (cj Fees for in-state testing of tall fescue
and other grass seeds and plant tissues for the
presence of fungal endophytes are as follows:
(1) fifteen dollars ($15.00) per sample for
seeds;
(2) fifteen dollars ($15.00) per sample for
plant tissue analysis;
(3) twenty-five dollars ($25.00) per sample
for seeds which require seedling pro-duction.
514 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
fe) (dj Fees for out-of-state testing of tall fescue
and other grass seeds and plant tissues for the
presence of fungal endophytes are as follows:
(1) thirty-five dollars ($35.00) per sample
for seeds;
(2) twenty-five dollars ($25.00) per sample
for plant tissue analysis;
(3) forty-five dollars ($45.00) per sample
for seeds which require seedling
production.
(f) (e] The fee for testing small grain seed for
Loose Smut shall be fifteen dollars ($15.00) per
sample.
Statutory Authority G.S. 106-277.15.
.0024 IDENTIFICATION AND SIZE OF
SAMPLES FOR SERVICE TESTING
When submitting seed samples for analysis, the
person shall comply with the following:
(1) Identification
(a) Samples shall be plainly addressed to
the North Carolina Department of
Agriculture, Seed Laboratory, P.O.
Box 27647, Raleigh, North Carolina
27611-7647;
(b) Samples identified with a lot number;
(c) Kind and variety of seed; If the seed
has been treated, the name of the
substance used;
(d) Name and address of sender;
(e) A letter of notification of shipment sent
in separate mail or attached to package
of seeds when carrying proper postage;
(f) Samples should be sent in substantial
containers, and properly packed for
mailing or shipping in order that they
will arrive intact and without damage to
the contents .
(2) Size of Samples. When sending samples
to the State Seed Laboratory.! the
following are the minimum weights of
samples to be submitted for complete
analysis. Samples of seed that do not
conform to these requirements may not
be tested:
(a) one-half ounce of tobacco seed;
(b) two ounces of white, alsike or hop
clovers and small grass seeds;
(c) five ounces of red or crimson clover,
alfalfa, lespedeza, fye grasses
ryegrasses , fescues, orchard—gras s
orchardgrass , millet or seeds of similar
size and weight;
(d) one pound of cotton, audan—grass
sudangrass , sorghums, or seeds of
similar size;
(e) two pounds of corn, wheat, oats,
barley, rye, beans, peas, cowpeas,
soybeans, vetches and seeds of similar
or larger size.
Statutory Authority G.S. 106-277. 15.
CHAPTER 52 - VETERINARY DIVISION
SUBCHAPTER 52B - ANIMAL DISEASE
SECTION .0500 - POULTRY DISEASES
.0502 HEALTH REGULATIONS FOR
POULTRY EXHIBITIONS
(a) Persons conducting and participating in
poultry exhibitions shall comply with the
following:
(1) All chickens and turkeys for exhibition
in North Carolina shall originate from
U.S. pullorum-typhoid clean or
equivalent flocks, or have a negative
pullorum-typhoid test within 90 days
(30 days for out-of-state birds) of the
date of exhibition. All North Carolina
owned birds must be tested by agents of
the North Carolina Department of
Agriculture. For North Carolina Birds
and for out-of-state birds from U.S.
pullorum-typhoid clean states, these test
requirements may be satisfied by a
negative test conducted by a North
Carolina Department of Agriculture
agent at the time of entry. The fee for
pullorum-typhoid testing at the
exhibition will be s4* eight cents
($0.06) ($0.08) per bird with a
minimum fee of one dollar ($1.00) per
exhibitor.
(2) Poultry for exhibition shall not have
been vaccinated with a live virus
vaccine within the last 30 days
preceding the exhibition.
(3) Each bird must be identified with a
"tamper-proof" band at the time of
pullorum-typhoid test. A copy of the
pullorum-typhoid test chart must
accompany birds to exhibition.
(4) Birds are subject to examination
(including blood test and swabs) by a
representative of the North Carolina
Department of Agriculture. Birds will
not be accepted which are infected with
8:7 NORTH CAROLINA REGISTER July 1, 1993 515
PROPOSED RULES
or showing any clinical signs of a
contagious disease, or are infested with
lice and/or mites.
(5) Out-of-state birds will be admitted
provided they are from an area that is
not under quarantine for an infectious
disease and satisfy the requirements of
this Rule.
(6) The secretary of each show will furnish
the representative of the State
Veterinarian with a list of names and
addresses of all exhibitors at the time of
the exhibition.
(7) The secretary of each show will have
these requirements printed in the show
catalog or premium list.
(b) The Commissioner may, when in the public
interest to prevent disease, suspend any poultry
exhibition in North Carolina.
Statutory Authority G.S. 1 06-539; 106-540;
106-543; 106-548.
TITLE 10 - DEPARTMENT OF
HUMAN RESOURCES
Notice is hereby given in accordance with G.S.
150B-21.2 that the Commission for Mental Health,
Developmental Disabilities and Substance Abuse
Services intends to adopt rules cited as 10 NCAC
14A . 1401-. 1403;. 1501 -. 1505:1601-. 1605; . 1 701-
.1703; .1801-. 1810; 1901-.1904; .2001-.2006;
.21 01 -.2105; .2201 -.2208; .2301 -.2304; .2401-
.2405; .2501 -.2507; .2601 -.2603; .2701 -.2702;
.2801; .2901 -.2903; 10 NCAC 14J .0210; amend
10 NCA C 14J . 0201; . 0203-. 0207; 10 NCA C 14L
.0407; repeal 10 NCAC 14A .1301-. 1313; . 1315-
.1317.
1 he proposed effective date of this action is
October 1. 1993.
1 he public hearing will be conducted at 1:00
p.m. on August 4. 1993 at the Sheraton Inn, 4504
Creedmoor Road at Crabtree Valley Mall,
President 's Room 1 , Raleigh , N. C
MXeason for Proposed Action:
10 NCAC 14A .1301-.1313 - Proposed repeal of
current standards contained in 10 NCAC 14A
.1301-. 1313.
10 NCAC 14A .1315-.1317- Proposed repeal of
current standards contained in 10 NCAC 14A
.1314-. 1317.
10 NCAC 14A .1401:2903 - Proposed adoption of
standards contained in 10 NCAC14A .1401-. 2903.
Minimum rules were adopted in 1979 for the
development of a mental health and mental
retardation delivery system. As that system has
grown, more specific rules are now indicated to
assure the quality of services within the
Department of Corrections is commensurate with
those standards developed for community
programs.
10 NCAC 14J .0201, .0203-.0207 - Proposed
amendments - The proposed changes are to clarify
the distinct uses of restraint and seclusion; to
shorten the period of time before a restrained or
secluded client shall be seen by a qualified profes-sional.
10 NCAC 14J .0210 - Proposed adoption - To
modify North Carolina Standards to reflect Nation-al
Standard of Care; clarify State 's obligation to
heed manufacturer's warning regarding restraint
devices.
10 NCAC 14L .0407 - Amend Rule to eliminate
requirement that each client be employedfor 20 or
more hours per week. To comply with federal
regulations on Supported Employment (34 CFR
Parts 361 , 363, 376 and 380, dated June 24, 1992
and effective August 8, 1992). (In determining
whether the client has met all of the criteria under
Supported Employment, the hours worked should
no longer be considered).
l^omment Procedures: Any interested person may
present his comments by oral presentation or by
submitting a written statement. Persons wishing to
make oral presentations should contact Charlotte
Tucker, Division of Mental Health, Developmental
Disabilities and Substance Abuse Services, 325 N.
Salisbury St., Raleigh, N.C., 27603, 919-733-
4774, before August 3, 1993. Comments submitted
as a written statement must be sent to the above
address no later than August 2, 1993, and must
state the Rules to which the comments are ad-dressed.
Time limits for oral renmrks may be
imposed by the Commission Chairman. Fiscal
information regarding these Rules is available from
this Division, upon request.
CHAPTER 14 - MENTAL
HEALTH: GENERAL
SUBCHAPTER 14A - IDENTIFYING
INFORMATION
516 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
SECTION .1300 - NORTH CAROLINA
DEPARTMENT OF CORRECTION:
DIVISION OF PRISONS: STANDARDS
FOR MENTAL HEALTH, MENTAL
RETARDATION
AND SUBSTANCE ABUSE SERVICES
.1301 SCOPE
The standards contained within this Section shall
apply to the delivery of mental health, mental
retardation, alcohol and drug abuse services to
incarcerated inmates by the Department of Corrcc
tion. division of prisons, or by any other provider
of services on a contract basis, which are delivered
within the correctional system.
Statutory Authority G.S. 148-1 9(d).
.1302 DEFINITIONS
The following terms shall have the meanings
specified unless the context clearly—requires a
different meaning:
-(+) Administering Medication. The giving of
a unit dose of a drug to a patient as a
result of a lawful order;—Administering
affect s only one patient and i s not re
stricted to licen sed pharmacists;
-f5) Agency.—A local, regional, institutional
or state—organization defined—by—tew-;
charter—er—licen se—to
—
provide—human
services ;
-0) Clinical Staff Member. Any employee of
the mental health and mental retardation
services system who has a part in provid
ing treatment to an inmate;
-(4) Continuity of Care. The continued meet
ing of the client's neods regardless of
changes in status or location;
-iSj Dispensing Medication.—Includes , but is
not limited to. issuing to a client, or to a
person acting on his behalf, one or more
unit doses of a drug in a suitable contain
ef—w+th
—
appropriate—labeling; While
including compounding, dispensing al so
includes the act of packaging a drug,
cither from a bulk container or as a re s ult
of compounding.—in a container other
than the original container of the manu
facturer or distributor, and labeling the
new container with all the information
required by state and federal law.—Except
for physicians and under s pecified condi
tions .—physician—extenders.—the—aet—ef
dispensing is limited by law to licensed
pharmacists and person s working under
their immediate supervi s ion and may not
be
—
performed—by—a
—
nurse—of—other
non pharmacist except unde r the
immediate. direct. afld personal
supervision—of a—licensed—pharmacist.
The filling or refilling of drug containers
from nurs ing s tations or other service
areas with the drugs called for. or the
furni s hing of a drug to ouch areas, is
dispensing;
-(6) Follow Up Service. Provision for a
continuing relationship with the client for
the purpo se of ass uring that changing
needs are recognized and appropriately
ni^t
,
-(7) Inpatient Services. Care or treatment
rendered to an inmate in any therapeutic
setting where the individual is actually
provided—w+th—a—bed—and
—
housed
overnight; Services include, but are not
limited to. short term medical psychiatric
stabilization as well as intermediate and
long term—medical.—psychiatric.—social,
psychological.—educational—and
—
other
supportive care required for individuals
who
—
cannot—function—without—intense
supervision in a controlled environment;
-f&j Medication:
(ft) substances—recognized—in the official
United States Pharmacopoeia, official
Homeopathic—Pharmacopoeia—ef—the
United—States.—er—official—National
Formulary, or any supplement to any of
them;
fb} s ubstances
intended—fef—ase
—
m—the
diagnostic, cure, mitigation, treatment,
or prevention of disease—m
—
man or
other animals;
s ubstances (other than food) intended to
affect the structure or any function of
the body of man or other animals; and
s ubstances
—
intended—for-—use—as—
a
i&-
{4h
eomponent of any article specified in
(a), (b). or (e) of this Subdivision; but
does—not
—
include
—
devices—of
—
their
components , parts , or accessories;
-i^h Mental Health Program Director.—Any
individual—who—is
—
respons ible—for the
operation of a mental health and mental
retardation services system program;
{49} Mental Health Records. Aey
documentation—pertaining—to
—
treatment
received within the mental health services
system which is kept separate and apart
8:7 NORTH CAROLINA REGISTER July 1, 1993 517
PROPOSED RULES
from tho s e formal entries in the inmate's
outpatient medieal record;
{44^ Mental—Health—Services—Sy stem. A
mechanism—by
—
which—mental—health
treatment is provided to inmates within
the North Carolina division of prisons;
f+5V Mental Retardation. Significantly
<m-subaverage
general intellectual
functioning—
e
xi sting—concurrently—wrtb
deficits m
—
adaptive—behavior—and
manifested—during—tbe
—
developmental
period;
Outpatient Services.—Care or treatment
rendered to an inmate in any therapeutic
setting where the individual is not housed
overnight;
Patient.—A person who is mentally ill,
mentally retarded, an alcoholic or drug
abuser related to his phys ical or mental
impairment,—ef
—
em—agency—©f
—
group
seeking services for the prevention or
reduction of these condit i ons ; The term s
"client" and "inmate" are occas ionally
used in place of "patient" in appropriate
sections of the standards ;
Program. An—organized—response—to
f+4)-
«5)-
mt-
H^
prevent, contain, reduce or eliminate one
or more human problems or conditions ;
Standard. Something—established—by
authority, cu stom, or general consent as
a mode l or example; something set up
and established by authority as a rule for
the measure of quantity, quality, and
value;
System. An organized or established
procedure.
Statutory Authority G.S. 148- 19(d).
.1303 ACCESS TO PROFESSIONAL
SERVICES
Each inmate shall have access to the appropriate
mental health professional as determined by his
needs .
Statutory Authority G.S. 148-1 9(h). (d).
.1304 MEDICAL RECORDS
fa)
—
There s hall be a written record maintained
for every inmate undergoing active mental health
treatment.
fb) T-be
—
record—
s
hall—contain—
s
ufficient
information to clearly identify the inmate, justify
the diagnosis and treatment, and record the re s ult s .
Records s hall be current, active, and confidential.
fe)
—
The facility shall maintain an inmate record
service which will provide adequate, accessible
records containing easily retrievable information.
Statutory Authority G.S. 148- 19(d).
.1305 CONTINUITY OF CARE
fa)
The Division of prisons shall insure that
there will be continuity of care for all inmates
receiving mental health services.
fb)
—
There s hall be a system of referral for
potential and active patients for the purpo se of
entering and continuing treatment.
fe)
There s hall be a system to provide for the
orderly discharge of patients from treatment, the
di stribution of discharge information, and, to the
extent—feasible,—tbe
—
observation—of
—
behavior
following discharge.
{4)—The Division of prisons s hall cooperate in
establishing among the—Department of Human
Resources , divi s ion of prisons, division of adult
probation and parole, and other service agencies a
system which will facilitate continuity of care for
inmates released from confinement who desire
continued treatment.
Statutory A uthority G. S. 1 48- 1 9(a) .(h). (d).
.1306 MEDICATION
There s hall—be a system to insure that each
inmate—w+H
—
receive—bre
—
prescribed—medication
regardless of his ass igned location. Procedures for
dispensing and admini stering controlled s ubstances
shall—be
—
in compliance—wrtb
—
federal and—
s
tate
regulations .
Statutory Authority G.S. 148-1 9(d).
.1307 CONFIDENTIALITY
fa)
All information contained in an inmate's
mental health record s hall be cons idered privileged
and confidential with the exception of information
con s idered matters for public record.
fb)
—
An inmate's name. age. sex. race, offense
for which convicted, court where sentenced, length
of sentence, date of sentencing, date of arrival,
date of transfer from prison, program placement
and progress , conduct grade . custody
class ification, di sciplinary offen ses and dispos ition,
escapes and recaptures, dates regarding release and
the presence or absence—of detainers
shall—be
considered matters of public record:
f4-) Each Mental Health Program Director
s hall—in s ure confidentiality of inmate
mental health records. Only mental
518 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
m
health clinician s having direct
responsibility for the inmate and his
treatment plan and clerical—personnel
having specific record re s ponsibilities
shall have access to the inmate' s mental
health records.—These records s hall be
kept
—
separate—from—admini strative
folders and appropriately secured.—Ne
employee. management committee
member—ef
—
volunteer.—except—those
personnel—specified above—shall—have
access to an inmate's mental health
record—without—written—authorization
from—the
—
Mental—Health—Program
Director or his designee.
Each Mental Health Program Director
shall insure that information contained
in inmate mental health records shall
not be released to other than approved
outside agencies or individuals:
fA)
Information—contained—m—inmate
mental health records may be released
te an attending psychologist.
psychiatrist, or governmental agencies
directly—involved—m
—
mental—health
treatment upon written consent of the
inmate .
(-&)
—
Individuals—involved—m
—
approved
teaching, s taff development.
evaluation and research projects may
have access to inmate mental health
records—as—leftg—as—the
—
proper
precautions are taken to di sgui se the
identities of the inmates.
{€)
Confidential—information—within—aft
inmate's mental health record may be
released without written consent to
other—individual s
—
employed—m—the
Department of Correction only when
and to the extent that the performance
of their duties require that they have
access to such—information. If an
individual—is
—
being—cons idered—f-ef
parole, a summary of the contents of
his record shall be made available.
upon request. te the Parole
Commiss ion.
0) Confidential information—
s
hall be
disclosed without the inmate's written
authorization—te—the—
e
xt e nt—that—the
clinician—reasonably—determines—that
such di sclos ure i s necessary to protect
against clear and—subs tantial—r4sk—ef
imminent serious—injury.—disease.—ef
death being inflicted by the inmate on
W-
&-
himself or others, or a threat to the
security of the unit.
All standards applying to confidentiality
s hall al so apply to those individuals and
agencies providing contractual services
te—the
—
North—Carolina—division—ef
prisons.
The North Carolina division of prisons
recognizes the more restrictive nature
of the Federal HEW alcohol and drug
abu se confidentiality—regulations—and
sftaH
—
comply—with.—and
—
educate—its
employees m regard te^ these
regulations .
Statutory- Authority G.S. 148-1 9(d).
.1308 INPATIENT SERVICES
(a) The North Carolina division of prisons shall
provide an inpatient mental health services for
inmates identified as needing these services.
fb)
—
All referral s to the inpatient facility shall be
channeled—through—the
—
appropriate—outpatient
services system.—Written policies and procedures
for admiss ion to the inpatient facility shall be made
available to the outpatient services system.
{e)—The mental health professional staff shall
have—the
—
re sponsibility—fef
—
screening—inmates
referred to the inpatie nt facility to determine the
appropriateness of the referral. The physician staff
members of the inpatient facility shall have the
authority to admit inmates to the inpatient facility.
{4)—Inpatient services shall be provided in a
therapeutic setting.
te-) The
—
Divi s ion—of Prisons—sheH
—
provide
appropriate and qualified mental health staff to the
inpatient facility.
i4)—There s hall be written procedures for the
functioning—ef-—the
—
inpatient—facility. These
procedures s hall cover:
fk) initial as s ignment, trans fers, and any
movement into or out of the facility;
fSj coordination and collaboration among
staff—members
—
within—the
—
inpatient
0&-
facility;
-the administering -ef- prescribed
<4k
medication; and
staffing pattern s .
fg-)
—
Upon discharge from the inpatient facility.
and—with—the
—
patient's—permi ss ion.—appropriate
follow up s hall be arranged by the staff of the
inpatient facility.
Statutory Authority G.S. 148- 19(d).
8:7 NORTH CAROLINA REGISTER July 1, 1993 519
PROPOSED RULES
.1309 OUTPATIENT SERVICES
(a) The North Carolina division of prisons shall
provide
—
outpatient—mental—health—services—f-ef
inmate s identified as needing these services.
(b) It shall be the re sponsibility of all division of
prisons—employees—te
—
refer—fef
—
mental—health
services—screening—those—inmates—whe
—
show
behavior sugges ting a need for such services .
fe}
—
The mental health professional staff shall
have the responsibility of screening the individuals
referred to determine the level of int e rvention
required.
(d) Adequate outpatient mental health treatment
shall he provided by the Division of prisons to
those inmates found to be in need and who indicate
a willingness to accept s uch treatment.
Statutory Authoritx G.S. 148-1 9(d).
0) a
—
follow up—service—developed—m
conjunction with—the
—
Department—ef-
Human Resources and the Division of
Adult Probation and Parole to provide
the
—
mentally—retarded—inmate—wrtb-continuity
of care following release.
Statutory Authority G.S. 148-1 9(d).
.1313 EMERGENCY SERVICES
fa}
—
Emergency mental health services shall be
provided.
fb}
The mental health emergency services plan
shall include a primary and secondary system to
in s ure the availability of emergency services.
fe-)
—
Emergency services shall be coordinated
with other elements of the mental health service s
system to in s ure continuity of care.
.1310 ENVIRONMENTAL STRESS
Inmates—under active—mental—health treatment
shall be housed in the least stre ss ful environment
appropriate
for treatment—and
—
available—m—the
Division of prisons.
Statutory Authority G.S. 148-1 9(a), (b),(d).
.1311 DRUG AND ALCOHOL ABUSE
SERVICES
fa} The tde
Division—of prisons—skefl—pfev
services for drug and alcohol abusers.
fb-) The
Divi s ion—of prisons—shall—develop.
implement, and coordinate drug and alcohol abuse
services or shall contract for such services.
fe} There—shall—be—a
—
system—ef-
—
patient
identification—referral.—service—delivery.—and
follow up care.
Statutory Authority G.S. 148-1 9(d).
.1312 MENTAL RETARDATION SERVICES
fa} The
—
Division—of prisons—sheH
—
provide
services for the mentally retarded.
(b) There s hall be a system of identification of
mentally retarded inmates in need of services.
fe} There—sheH
—
be a sy stem of referral—te
services for the mentally retarded including, but
not limited to. the following:
f+-» adult—work—activity—programs—fef
s ubs tantially handicapped mentally
retarded inmates;
a+- -an staff
—
appropriate—and
—
qualifk
person to assist each mentally retarded
inmate—m
—
coping—with
—
institutional
s tre s s: and
Statutory Authority G.S. 148-19(a),(b),/d).
.1315 RIGHT TO TREATMENT/RIGHT
TO REFUSE TREATMENT
fa}
An inmate has a right to receive mental
health—treatment—and—a
—
right—te
—
refu s e—such
treatment except as provided in Paragraph (b) of
this Rule.
(b) When an inmate refuses to receive treatment,
treatment may be forced only in accordance with
procedures described in the Divi s ion of Prison's
Health Care Procedures Manual.
Statutory Authority G.S. 148- 19(d).
.1316 STAFF TRAINING
fa} The Divi s ion of prisons shall have the
respons ibility of providing in service training so
that its employees will be capable of providing the
necessary support to the mental health treatment
staff.
fb} Employees—
s
hall—receive—training—
m
recognizing behavior which identifie s an inmate as
one who s hould be referred to the mental health
services delivery system and shall be trained in the
proper referral procedure.
i) Employy*'ces s#n«aHn-receive training in managing
the behavior of inmates identified as having mental
health di s abilitie s .
fd} Employees shall *^ —receive training—m
importance of the proper distribution and control
of prescribed medication.
fe-t Employees—
s
hall—receive—training—m
maintaining the confidentiality of mental—health
information.
520 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
Statutory Authority G.S. 148-1 9(a), (b),(d).
.1317 PROFESSIONAL DEVELOPMENT
(a) The Division of prisons shall provide oppor
tunities for the professional development of its
mental health services system staff.
fb) Professional—development—shall—include
opportunities—fef
—
increasing—skills—through
in service—training—and
—
opportunities—te—attend
appropriate seminars and short courses offered by
professional—organizations—and
—
institutions—ef
higher learning.
Statutory Authority G.S. 148-1 9(d).
SECTION .1400 - SCOPE AND
DEFINITIONS
.1401 SCOPE
This Subchapter sets forth standards for the
delivery of mental health and mental retardation
services to inmates in the custody of the Depart-ment
of Correction. These standards shall apply
to such services provided to inmates by the De-partment
or by any other provider of services on
a contractual basis.
Statutory Authority G.S. 148-1 9(d).
.1402 REQUIRED SERVICES
(a) The Department shall provide or contract for
mental health and mental retardation services.
(b) Such services, which address the needs of
the client as assessed by a clinician, shall include.
but need not be limited to:
ill
ill
ill
14)
{5}
emergency;
prevention;
outpatient;
residential; and
inpatient.
Statutory Authority G.S. 148-1 9(d).
.1403 DEFINITIONS
For the Rules contained in this Subchapter, the
following definitions apply:
(1) "Administering medication" means direct
application of a medication whether by
injection, inhalation, ingestion, or any
other means to the client.
ill
131
'Admission" means acceptance of an
inmate for mental health and mental
retardation services in accordance with
Department procedures.
"Area" means one of the six geographic
141
ill
161
ill
181
191
(10)
liil
(12)
(13)
(14)
catchment areas designated by the De-partment
for administrative purposes.
"Area program" means a public agency
providing mental health, developmental
disabilities and substance abuse services
for a catchment area designated by the
Commission for Mental Health. Develop-mental
Disabilities and Substance Abuse
Services.
"Chief of Mental Health Services" means
the individual who is responsible for the
development, provision and monitoring
of mental health and mental retardation
services in the Department's Division of
Prisons. His duties include ensuring
compliance with statutory and profession-al
standards for services.
"Client" means an inmate who is admit-ted
to and is receiving mental health or
mental retardation services.
"Client care evaluation study" means
evaluation of the quality of services by
measuring actual services against specific
criteria through collection of data, identi-fication
and justification of variations
from criteria, analysis of unjustified
variations, corrective action, and follow-up
study.
"Client record" means a written account
of all mental health and mental retarda-tion
services provided to an inmate from
the time of acceptance of the inmate as
the client until termination of services.
This information js documented on stan-dard
forms which are filed in a standard
order in an identifiable folder.
"Clinician" means a psychiatrist, physi-cian,
or psychologist.
"Commission" means the Commission for
Mental Health, Developmental Disabili-ties
and Substance Abuse Services, estab-lished
under Part 4 of Article 3 of Chap-ter
143B of the General Statutes.
"Contract agency" means an entity with
which the Department contracts for a
service as defined in the standards exclu-sive
of intermittent purchase of service
for an individually identified client.
"Department" means the Department of
Correction.
"DHR" means the Department of Human
Resources.
"DHR review team" means the staff
delegated by the Department of Human
Resources to monitor the implementation
8:7 NORTH CAROLINA REGISTER July 1, 1993 521
PROPOSED RULES
(15)
(16)
171
(18)
(19)
(20)
(21)
(22)
< 23)
24)
(25)
(26)
of standards in accordance with the pro-visions
of G.S. 148-19(d).
"Direct care staff" means staff who pro-vide
care, treatment, or habilitation ser-vices
to the client on a continual and
regularly scheduled basis.
"Disability group" means two or more
inmates who are either mentally ill or
mentally retarded.
"Discharge" means the termination of
mental health or mental retardation ser-vices
to the client.
"Dispensing medication" means issuing
for the client one or more unit doses of a
medication in a suitable container with
appropriate labeling.
"Documentation" means provision of
written, dated and authenticated evidence
of the delivery of services to the client or
compliance with standards,
"emergency service" means a service
which is provided on a (24-hour, non-scheduled
basis to inmates for immediate
screening and assessment of presenting
problems. Crisis intervention and refer-ral
to other services are provided as
indicated.
"Facility" means the physical area, where
mental health or mental retardation
services are provided, including both
buildings and grounds, under the auspices
of the Department.
"Habilitation" means education, training,
care and specialized therapies undertaken
to assist a mentally retarded client in
achieving or maintaining progress in
developmental skills.
"Habilitation plan" means an individual-ized,
written plan for the client who is
mentally retarded which includes measur-able,
time-specific objectives based on
evaluations, observations, and other
assessment data. The plan is based on
the strengths and needs of the client and
identifies specific staff responsibilities for
implementation of the plan.
"Health professional" means a staff mem-ber
trained in the delivery of medical or
mental health services.
"Inmate" means an incarcerated individu-al
who remains in the custody of the
Department.
"Inpatient service" means a service pro-vided
on a 24-hour basis. Client care is
provided under the clinical direction of
(27)
(28)
29)
a physician or doctoral level psycholo-gist.
The service provides continuous,
close supervision for the client with
moderate to severe mental health prob-lems.
"Legend drug" means a drug that must be
dispensed with a prescription.
Medication" means a substance in the
official "United States Pharmacopoeia" or
"National Formulary" intended for use in
the diagnosis, cure, mitigation, treatment
or prevention of disease or intended to
affect the structure or any function of the
body.
"Mental health program director" means
the individual who is responsible for the
operation of mental health and mental
retardation services for inmates.
"Mental illness" means the term as de;
fined in G.S. 122C-3.
"Mental retardation" means the term as
defined in G.S. 122C-3.
(30)
(311
(32) "Nurse" means a person licensed to
practice in the State of North Carolina
either as a registered nurse or as a li^
censed practical nurse.
(33) "Officer in charge" means the correction-al
officer who has designated responsibil-ity
for the custody and safekeeping of
inmates in the facility.
(34) "Outpatient service" means a service
designed to meet the diagnostic and
therapeutic needs of the client residing
with the regular inmate population. Indi-vidual
counseling, psychotherapy, extend-ed
t esting and evaluation, and medication
therapy are provided as needed.
(35) "Peer review" means the formal assess-ment
by professional staff of the quality
and efficiency of services , ordered or
performed by other professional staff.
(36) "Physician" means a medical doctor who
is licensed to practice medicine in the
State of North Carolina.
(37) "Prevention service" means a service
provided to the prison population. Ser-vice
activities include counseling, infor-mation,
instruction, and technical assis-tance
with the goals of preventing dys-function
and promoting well being.
(38) "Privileging" means a process by which
each staff member's credentials, training
and experience are examined and a deter-mination
made as to which treatment or
habilitation modalities the staff member is
522 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
%
I
qualified to provide,
(39) "Program evaluation" means the system-atic
documented assessment of program
objectives to determine the effectiveness,
efficiency, and scope of the system under
investigation, to define its strengths and
weaknesses and thereby to provide a
basis for informed decision-making.
(40) "Protective device" means an intervention
that provides support for a medically
fragile client or enhances the safety of the
client with self-injurious behavior. Such
device may include geri-chairs or table
top chairs to provide support and
safety for the client with a major physi-cal
handicap; devices such as seizure
helmets or helmets and mittens for self-injurious
behaviors; or a device such as
soft ties used to prevent a medically jU
client from removing intravenous tubes,
indwelling catheters, cardiac monitor
electrodes, or similar medical devices.
(41
)
"Psychiatric nurse" means an individual
who is licensed to practice as a registered
nurse in the State of North Carolina by
the North Carolina Board of Nursing and
who is a graduate of an accredited
master's level program in psychiatric
mental health nursing with two years of
nursing experience, or has a master's
degree in behavioral science with two
years of supervised clinical experience,
or has four years of experience in
psychiatric mental health nursing.
(42) "Psychiatrist" means a physician who is
licensed to practice medicine in the State
of North Carolina and who has completed
an accredited training program in
psychiatry.
(43) "Psychologist" means an individual who
is licensed as a practicing psychologist or
a psychological associate in the State of
North Carolina or one exempt from
licensure requirements who meets the
supervision requirements of the North
Carolina Board of Examiners of
Practicing Psychologists.
(44) "Psychotherapy" means a form of
treatment of mental illness or emotional
disorders which is based primarily upon
verbal interaction with the client.
Treatment is provided by a trained
professional for the purpose of removing
or modifying existing symptoms, of
attenuating or reversing disturbed
(45)
(46)
(47)
(48)
(49)
(50)
(.51
patterns of behavior, and of promoting
positive personality growth and develop-ment.
"Psychotropic medication" means
medication given with the primary
intention of treating mental illness.
These medications include, but are not
limited to , antipsychotics,
antidepressants, minor tranquilizers and
lithium.
"Qualified mental health professional"
means any one of the following:
psychiatrist; psychiatric nurse; psycholo-gist;
psychiatric social worker; an
individual with a master's degree in a
related human service field and two years
of supervised clinical experience in
mental health services; or an individual
with a baccalaureate degree in a related
human service field and four years of
supervised clinical experience in mental
health services.
"Qualified mental retardation
professional" means an individual who
holds at least a baccalaureate degree in a
discipline related to developmental
disabilities and who has at least one year
of experience in working with mentally
retarded clients.
" Qualified professional" means a
qualified mental health professional or a
qualified mental retardation professional.
"Qualified record manager" means an
individual who is a graduate of a
curriculum accredited by the Committee
on Allied Health Education and
Accreditation of the American Medical
Association and the Council on Education
of the American Health Information
Management Association and who is
currently registered or accredited by the
American Health Information
Management Association.
"Quality assurance" means a process for
objectively and systematically monitoring
and evaluating
appropriateness, and
the quality,
effectiveness of
mental health and mental retardation
services provided and the degree to
which those services meet the identified
needs and intended goals for the client.
52)
"Release" means the completion of an
inmate's active sentence and return to the
community.
"Research" means inquiry involving a
8:7 NORTH CAROLINA REGISTER July 1, 1993 523
MHMMittiftliM
PROPOSED RULES
(53)
(54)
(55)
(56)
(57)
(58)
(59)
(60)
trial or special observation made under
conditions determined by the investigator
to confirm or disprove a hypothesis, or to
explicate some principle or effect
.
"Residential service" means a service
provided in a designated treatment setting
where 24-hour supervision is an integral
part of the care, treatment, habilitation or
rehabilitation provided to the client.
"Responsible clinician" means the
psychologist, psychiatrist, or physician
designated as responsible for the client's
treatment. This may include a clinician
designated as on-call for the facility.
"Restraint" means limitation of the
client's freedom of movement with the
intent of controlling behavior by
mechanical devices which include, but
are not limited to, cuffs, ankle straps, or
sheets. For purposes of these rules,
restraint js a therapeutic modality and
does not include protective devices used
for medical conditions or to assist a non-ambulatory
client to maintain a normative
body position, or devices used for
security purposes.
"Seclusion" means isolating the client in
a separate locked room or a room from
which he cannot exit for the purpose of
controlling the client's behavior. For
purposes of these rules, seclusion is a
therapeutic modality and does not include
segregation for administrative purposes.
"Service" means an activity or
interaction intended to benefit an
individual who is in need of assistance,
care, habilitation, intervention,
rehabilitation or treatment.
"Service delivery site" means any area,
correctional institution, residential unit,
or inpatient unit operated by the
Department where mental health and
mental retardation services are provided.
"Social worker" means an individual who
holds a master's degree in social work
from an accredited school of social work
and has two years of clinical social work
experience in a mental health setting or
who is a clinical social worker certified
by the North Carolina Certification Board
for Social Work.
"Standards" means minimum standards
for the delivery of mental health and
mental retardation services to clients-prescribed
by the Commission for Mental
(61
66)
Health. Developmental Disabilities and
Substance Abuse Services and codified in
10 NCAC 14A .1400 through .2900.
"State facility" means a facility operated
by the Division of Mental Health,
Developmental Disabilities and Substance
Abuse Services and which provides
mental health, mentalretardation or
substance abuse services.
(62) "Support service" means a service
provided to enhance the client's progress
in his primary treatment or habilitation
program.
(63) "Testing services " means the
administration and interpretation of the
results of standardized instruments for the
assessment, diagnosis or evaluation of
psychological or developmental disorders.
(64) "Treatment" means the process of
providing for the physical, emotional,
psychological, and social needs of the
client through services.
(65) "Treatment plan " means an
individualized, written plan of treatment
for a mentally ilf client. The plan
contains time-specific goals and strategies
for implementing the goals, and identifies
direct care staff responsible for the
provision of treatment services to the
cli ent.
"Waiver" means a situation in which the
commission determines that a specific
prison site is not required to comply with
a specific standard. A waiver is granted
according to ffie provisions of K) NCAC
14B .0500.
Statutory Authority- G.S. 148-1 9(d).
SECTION .1500 - ORGANIZATIONAL
RESPONSIBILITIES
.1501 COORDINATION AND DELIVERY
OF SERVICES
The Department shall develop and implement a
plan to ensure coordination fn the delivery of all
mental health and mental retardation services.
Statutory Authority G.S. 148-1 9(d).
.1502 ORGANIZATIONAL CHART
The organizational chart of the Department shall
clearly articulate the channels of responsibility in
implementing and ensuring the coordination of
mental health and mental retardation services.
524 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
Statutory Authority G.S. 148-1 9(d).
.1503 DISTRIBUTION OF STANDARDS
The Department shall distribute to al] sen
deliver/ sites adequate copies of the Rules of this
Subchapter and any subsequent revisions to these
Rules as they occur.
Statutory Authority G.S. 148-1 9(d).
.1504 COMPLIANCE WITH RULES
(a) The Department shall conduct an annual in-ternal
evaluation of compliance with Commission
standards in each service delivery site.
(b) The evaluation report shall be made
available to the DHR review team.
Statutory Authority G.S. 148-1 9(d).
.1505 GRIEVANCE RULE
The Department shall develop and implement a
rule which identifies procedures for review and
disposition of grievances regarding mental health
and mental retardation services.
Statutory Authority G.S. 148-1 9(d).
SECTION .1600 - REQUIRED STAFF
.1601 PSYCHIATRIST
Each service delivery site shall employ, or
contract for, the services of a psychiatrist to ensure
the client's accessibility to services which require
the judgment and expertise of a psychiatrist.
Statutory Authority G.S. 148-1 9(d).
. 1 602 PSYCHOLOGIST
Each service delivery site shall employ, or
contract for, the services of a psychologist to
ensure the client's accessibility to services which
require the judgement and expertise of a
psychologist.
Statutory Authority G.S. 148-1 9(d).
.1603 REGISTERED NURSE
Each service delivery site shall employ, or
contract for, a qualified registered nurse to ensure
that the client is given the nursing care that re-quires
the judgment and specialized skills of a
registered nurse.
Statutory Authority G.S. 148-1 9(d).
.1604 SOCIAL WORKER
Unless exempted by the Chief of Mental Health
Services, based on size and mission of the facility,
each service delivery site shall employ, or con-tract
for, social work staff to ensure the client's
accessibility to services which require the knowl-edge
and expertise of a social worker.
Statutory Authority G.S. 148-1 9(d).
.1605 SUPPORT STAFF
Each service delivery site shall have support staff
to ensure the delivery of mental health and mental
retardation services to clients. This includes, but
need not be limited to. clerical staff.
Statutory Authority G.S. 148-1 9(d).
SECTION .1700 - ORGANIZATIONAL
RELATIONS
.1701 COORDINATION OF SERVICES
The Department shall develop and implement
procedures to facilitate cooperative working rela-tionships
between the staff of mental health and
mental retardation services, custody personnel, and
other service staff to facilitate the provision of
services for inmates who are mentally iM or men-tally
retarded
.
Statutory Authority G.S. 148-1 9(d).
.1702 DEFORMATION AND OUTREACH
SERVICES
The Department shall provide, to correctional
staff, information designed to promote awareness
of mental health and mental retardation services
available to inmates within the Department.
Statutory Authority G.S. 148-1 9(d).
.1703 AGREEMENT WITH THE
DEPARTMENT OF HUMAN
RESOURCES
The Department shall have a written agreement
with the Department of Human Resources regard-ing
mutual responsibilities for mental health and
mental retardation services to inmates under
Department supervision.
Statutory Authority G.S. 148-1 9(d).
SECTION .1800 - QUALITY ASSURANCE
.1801 SCOPE
8:7 NORTH CAROLINA REGISTER July I, 1993 525
MHHWimiHIHlWWJ
PROPOSED RULES
(a) Quality assurance shall be a continuing
responsibility of the Department and each service
delivery site that offers mental health and mental
retardation services,
(b) Quality assurance activities shall include, but
need not be limited to:
( 1
) clinical and professional supervision
and privileging;
client care evaluation studies;
161 a social worker.
L2J
ill
(4J
ill
i6j
CD
record review;
utilization and peer review;
employee education and training;
program evaluation; and
evidence of corrective action.
Statutory Authority G.S. 148-1 9(d).
.1802 QUALITY ASSURANCE PLAN
(a) The Department shall establish and imple-ment
a written quality assurance plan for mental
health and mental retardation services that de-scribes
how quality assurance activities will be
carried out.
(b) Quality assurance activities shall include, but
need not be limited to, the following:
( 1) an objective and systematic process for
monitoring and evaluating the quality
and appropriateness of client care,
incorporating a review of significant
incidents, which may include but need
not be limited to, suicides, sudden
deaths, and major assaults;
(2) a written plan of professional and clini-cal
supervision describing such activi-ties
and how they shall be carried out;
(3) the establishment and implementation of
program evaluation activities;
(4) the strategies for improving client care;
and
(5) evidence of corrective action.
(c) The plan shall be reviewed annually, and
may be revised at any time by the Department.
Statutory Authority G.S. 148-1 9(d).
.1803 QUALITY ASSURANCE
COMMITTEE
(a) The Department shall have a quality assur-ance
committee which shall be comprised of:
( 1
)
representation from mental health and
mental retardation service areas
;
(2) a qualified record manager;
(3) a nurse;
(4) a physchologist;
(5) a psychiatrist; and
(b) The purpose, scope and organization of the
quality assurance committee shall be specified in
the quality assurance plan, which shall include, but
need not be limited to the following:
(1) the committee shall meet at least
monthly;
(2) a member shall not review his own
client's treatment or habilitation record;
and
(3) minutes of meetings shall be recorded
and shall include, but need not be
limited to:
(A) date, time, attendees and absentees;
and
(B) a summary of the business which was
conducted.
Statutory Authority G.S. 148-1 9(d).
.1804 CLIENT CARE EVALUATION
STUDIES
The quality assurance committee shall ensure that
at least one client care evaluation study of issues,
relevant to the improvement of services to clients.
is completed during each fiscal year.
Statutory Authority G.S. 148-1 9(d).
.1805 CLIENT RECORD REVIEW
The quality assurance committee shall establish,
implement and document the criteria, procedure
and methodology for client record reviews for
completeness and adequacy, as delineated in
Section .2000 of these Rules.
Statutory Authority G.S. 148-1 9(d).
. 1 806 SUPERVISION OF MENTAL HEALTH
AND MENTAL RETARDATION
STAFF
(a) The Department shall implement a written
plan of supervision for staff who are not qualified
mental health or mental retardation professionals.
as defined in Rule . 1403 of Section . 1400. and
who provide mental health or mental retardation
services.
(b) The Department shall ensure that:
( 1) each mental health staff member who
provides services, and who is not quali-fied
in that service area, shall have an
individual contract of supervision with
a qualified mental health professional;
and
(2) each mental retardation staff member
526 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
shall be supervised by, or have access
to, the professional supervision of a
qualified mental retardation profession-aL
Statutory Authority G.S. 148-1 9(d).
.1807 PRIVILEGING OF ALL
PROFESSIONAL STAFF
(a) The Department shall ensure that the qualifi-cations
of each mental health and mental retarda-tion
professional are examined, and a determina-tion
is made as to treatment or habilitation privi-leges
granted and supervision needed
.
(b) Delineation of privileges shall be based on
documented verification of the individual's compe-tence,
training, experience and licensure.
(c) The privileging process shall be reviewed
and approved by the Department's quality assur-ance
committee.
Statutory Authority G.S. 148- 19(d).
.1808 EMPLOYEE EDUCATION AND
TRAINING
(a) The Department shall:
(1) provide or secure orientation programs
and annual continuing education and
training for employees to enhance their
competencies and knowledge needed to
administer, manage, and deliver quality
mental health and mental retardation
services; and
(2) assure the maintenance of an ongoing
record of all education and training
activities provided or secured for em-ployees.
(b) The education and training activities shall:
(1) address, at a minimum, the needs iden-tified
by the quality assurance process
and related committees; and
(2) as deemed necessary by the Depart-ment,
be provided at no expense to
staff.
Statutory Authority G.S. 148-1 9(d).
.1809 PROGRAM EVALUATION
ACTIVITIES
(a) The Department shall implement program
evaluation activities.
(b) These activities shall reflect the evaluation of
program quality, effectiveness and efficiency in
such areas as the:
(1) impact of the program in reducing readmissions;
(2) availability and accessibility of services;
(3) impact of services upon the clients
within the service area;
(4) patterns of use of service; and
(5) cost of the program operation.
Statutory Authority G.S. 148-1 9(d).
.1810 QUALITY ASSURANCE ANNUAL
REPORT
(a) The Department shall make available, to the
DHR review team, a written annual report summa-rizing
the activities and recommendations of the
quality assurance committee.
(b) This report shall include, at a minimum, the
following functional areas:
(1) client care evaluation studies;
£2)
13}
(41
client record reviews;
utilization and peer reviews;
clinical supervision;
(5) employee education and training activi-ties;
and
(6) the results of program evaluation.
Statutory Authority G.S. 148-1 9(d).
SECTION .1900 - FACILITIES
MANAGEMENT
.1901 SCOPE
The Rules [n thus Section apply to each service
delivery site within the Department and to any
other provider of services on a contractual basis.
Statutory Authority G.S. 148-1 9(d).
.1902 BUILDINGS AND GROUNDS
Buildings and grounds shall be well-maintained
in order to promote the health and safety of both
clients and staff.
Statutory Authority G.S. 148-1 9(d).
.1903 SPACE REQUIREMENTS
(a) Space shall be provided to facilitate the
delivery of mental health and mental retardation
services.
(b) Each client jn an inpatient mental health unit
shall be housed in a single cell.
(c) Each client in a residential treatment pro-gram,
who is housed in multiple client rooms,
shall have a minimum of 50 square feet of living
space.
(d) Each service delivery site shall have private
space for interviews and conferences with clients.
8:7 NORTH CAROLINA REGISTER July 1, 1993 527
PROPOSED RULES
Statutory Authority G.S. 148- 19(d).
. 1 904 ADDITIONAL REQUIREMENTS FOR
RESIDENTIAL/LNPATIENT UNITS
(a) Each residential and inpatient unit providing
mental health or mental retardation services shall
have indoor space for group activities and gather-ings.
(b) The space ]n which therapeutic and habilita-tive
activities are routinely conducted shall be
separate from sleeping areas.
Statutory Authority G.S. 148- 19(d).
SECTION .2000 - CLIENT RECORDS
.2001 SCOPE
(a) The Rules in this Section apply to each
service delivery site and to any other provider of
services on a contractual basis, unless otherwise
specified in this Section.
(b) This Section applies to the management of
client information which \_s generated by a service
delivery site during the period of time that treat-ment
or habilitation services are rendered to
clients.
Statutory Authority G.S. 148-1 9(d).
.2002 STANDARD CLIENT RECORD
(a) The Department shall develop and maintain
a standard client record for each client who
receives mental health or mental retardation treat -
ment or habilitation services.
(b) The same forms and filing format shall be
utilized within each disability.
Statutory Authority G.S. 148-1 9(d).
.2003 RECORD REQUIREMENTS
(a) A written client record shall be maintained
for each client, and shall contain, at a minimum,
the following identifying information:
ill mm
£4)
ill
16)
name;
record number;
date of birth;
race, sex, and marital status;
admission date; and
discharge date.
(b) Active outpatient client records shall be kept
in the outpatient health record and filed at the
client's assigned unit.
(c) Each inpatient program shall maintain active
inpatient records which shall be kept separate from
the outpatient records.
(d) The outpatient record shall be transferred to
the inpatient unit.
(e) Information required in other Rules in this
Subchapter, including but not limited to. prescrib-ing
and administering medication, and seclusion
and restraint shall be documented in the client
record.
(f) All client record entries shall include the date
of entry and authentication by the individual
making the entry.
(g) The time of service shall be recorded, based
upon the nature of the service or incident; such as.
shift notes, medication administration, and acci-dents
and injuries.
(h) Ail client record entries shall be legible and
made in permanent ink or typewritten.
(i) Alterations in client records, which are
necessary in order to correct recording errors or
inaccuracies, shall:
LD
£21
til
£4)
£51
be made by the individual who recorded
the entry;
have a single, thin line drawn through
the error or inaccurate entry with the
original entry still legible;
show the corrected entry legibly record-ed
above or near the original entry;
show the type of documentation error
or inaccuracy whenever the reason for
the alteration js unclear; and
i nclude the date of correction and ini-tials
of recorder.
(j) Each page of the client record shall include
the client's name and number.
(k) Client records shall include only those
symbols and abbreviations contained in an abbrevi-ation
list approved by the Department.
{]} Notations in a client's record shall not identi-fy
another client by name.
(m) Each service delivery7 site shall designate, m
writing, those individuals authorized to have access
to client records and who may make entries m the
record.
(n) Any additional information regarding the
following shall be included in the client record:
(1) diagnostic tests, assessments, evalua-tion,
consultations, referrals, support
services or medical services provided:
known allergies or hypersensitivities;
major events, accidents or medical
emergencies, involving the client:
consent for. and documentation of.
£21
£31
£41
£51
release of information;
documentation of applied behavior
modification, which includes at risk or
other intrusive interventions, including
528 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
161
ill
m
authorization, duration, summaries of
observation and justification;
conferences or involvements with the
client's family, significant others, or
involved agencies or service providers;
documentation of attendance in outpa-tient
service; and
results of any standardized and non-standardized
evaluations, such as social,
developmental, medical, psychological,
vocational or educational.
Statutory Authority G.S. 148-1 9(d).
.2004 CONFIDENTIALITY OF CLIENT
RECORD
(a) All information contained in the client record
shall be considered privileged and confidential,
with the exception of matters of public record, as
set forth in 5 NCAC 2D .0600.
(b) The Department shall ensure confidentiality
of client records during their use, transportation,
and storage.
(c) The Department shall ensure that information
contained in client records is released upon the
written authorization of the client, in accordance
with other Department Rules, or as set forth in the
provisions of G.S. 122C-55(c).
(d) Employees governed by the State Personnel
Act, G.S. Chapter 126, are subject to suspension,
dismissal or disciplinary action for failure to
comply with the Rules in this Subchapter.
(e) The Department shall inform all employees,
students, volunteers, and all other individuals with
access to confidential information, the provisions
of the Rules in this Subchapter. Such individuals
with access to confidential information shall sign
a statement of understanding and compliance.
(f) Records shall be protected against loss,
tampering, or use by unauthorized persons.
(g) Records shall be readily accessible to autho-rized
users at all times.
Ch) When consent for release of information is
obtained, a time-limited consent, not to exceed one
year, shall be utilized.
Statutory Authority G.S. 148-1 9(d).
.2005 DIAGNOSTIC CODING
The Department shall code diagnoses for clients
using the following diagnostic systems:
(1) Mental illness or mental retardation shall
be diagnosed according to the Diagnostic
and Statistical Manual of Mental Disor-ders,
3rd Edition - Revised (DSM-III-R).
(2) Physical disorders shall be diagnosed
according to Interational Classification of
Diseases, 9th Revision, Clinical Modifi-cation
(ICD-9-CM).
Statutory Authority G.S. 148-1 9(d).
.2006 CLIENT RECORD AVAILABILITY
The Department shall ensure that client records
are available to professional staff for a minimum
of three years following the inmate's release. This
shall apply to previous incarcerations.
Statutory Authority G.S. 148-1 9(d).
SECTION .2100 - SERVICE ELIGIBILITY
.2101 SCOPE
The Rules in this Section apply to each service
delivery site within the Department and to any
other provider of services on a contractual basis.
Statutory Authority G.S. 148-1 9(d).
.2102 SERVICE CRITERIA
The Department shall ensure the development of
service criteria for mental health and mental
retardation services. These criteria shall be com-municated
to inmates and staff.
Statutory Authority G.S. 148-1 9(d).
.2103 SCREENTNG
The Department shall develop a systematic means
of screening each inmate referred for services to
determine his need for services, and designate staff
qualified to make screening determinations.
Statutory Authority G.S. 148-1 9(d).
.2104 WAITING LISTS
The Department shall establish criteria for
prioritizing service delivery and use of waiting
lists for mental health and mental retardation
services.
Statutory Authority G. S. 148-1 9(d).
.2105 INFORMATION REGARDING
AVAILABILITY TO SERVICES
The Department shall ensure that each inmate is
informed how to access mental health and mental
retardation services.
Statutory Authority G.S. 148-1 9(d).
8:7 NORTH CAROLINA REGISTER July 1, 1993 529
PROPOSED RULES
SECTION .2200 - TREATMENT AND
HABILITATION
.2201 SCOPE
(a) The Rules in this Section apply to each
service delivery site within the Department and to
any other provider of services on a contractual
basis.
(b) The process of treatment or habilitation shall
incorporate activities and procedures that address
the client's assets and needs from the point of
initial contact, through active treatment or habilita-tion.
and after discharge from treatment.
Statutory- Authority G.S. 148-1 9(d).
.2202 ADMISSION ASSESSMENT
(a) An admission note shall be completed within
24 hours of admission which includes, but need
not be limited to:
( 1) reason for admission;
(2) present condition of the client reported
in objective, behavioral terms, and
when possible, a description of the
client's condition by others;
(3) diagnostic impression, including a
provisional or admitting diagnosis;
(4) determination of and request for addi-tional
referrals or special diagnostic
tests, assessments or evaluations, if
needed; and
(5) a preliminary individual treatment or
habilitation plan.
(b) If clinically indicated, a social, educational,
medical, criminal, vocational, developmental, and
psychiatric history shall be completed within 30
days after admission.
Statutory Authority G.S. 148-1 9(d).
.2203 EVALUATION AND DIAGNOSIS
Each service delivery site shall document, for
each client, any routine diagnostic tests, assess-ments
and evaluations, or medical examinations, as
well as time frames for their completion.
Statutory Authority G.S. 148-1 9(d).
.2204 TREATMENT OR HABILITATION
PLAN
(a) Each service delivery site shall develop an
individualized treatment or habilitation plan for
each client based upon:
( 1 ) an evaluation of his condition, assets
and needs; and
(2) information gathered during the admis-sion
assessment process.
(b) The treatment or habilitation plan shall be
documented in the client record as follows and
shall:
(1) provide a systematic approach to the
treatment or habilitation of the client;
(2) substantiate the appropriateness of
treatment or habilitation goals;
(3) designate clinical responsibility for the
development and implementation of the
plan;
(4) include at least the diagnosis to ensure
consistency;
(5) include time-specific measurable goals;
and
(6) provide a summary of client, and if
appropriate, family strengths and weak-nesses.
(c) When medically or clinically indicated, the
plan shall be:
(1) revised; and
(2) reviewed, at least annually, with such
review documented in the plan.
(d) The client shall have the opportunity to
participate in the development and implementation
of the treatment and habilitation plan.
Statutory Authority G.S. 148-1 9(d).
.2205 PROGRESS NOTES
(a) Progress notes shall be recorded at least on
a weekly basis in residential and inpatient services
and following each scheduled appointment in
outpatient services.
(b) Progress notes shall reflect the client's
progress or lack of progress:
(1) in meeting goals;
in staff interventions;
(3)
(4)
regarding information which may have
a significant impact on the client's
condition; and
when indicating reviews of relevant
laboratory reports and actions taken.
Statutory Authority G. S. 148-1 9(d).
.2206 TRANSFER OR DISCHARGE
SUMMARY
(a) Whenever a client is transferred to a differ-ent
level of service, a written transfer note by the
referring unit shall accompany the client summa-rizing
the client's condition at the time of transfer.
and any recommendations for continued care.
(b) A qualified professional in the receiving unit
530 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
shall evaluate the client to determine the need for
continued treatment or habilitation.
(c) At the time of discharge, a discharge sum-mary
shall be completed and shall include:
(1) the reason for admission;
(2) course and progress of the client in
relation to the goals and strategies jn
the individual treatment or habilitation
plan;
condition of the client at discharge;
recommendations and arrangements for
further services or treatment; and
final diagnosis.
01
141
15)
Statutory Authority G.S. 148-1 9(d).
.2207 TREATMENT AND HABILITATION
COORDINATION
(a) Coordination shall be maintained among all
staff members contributing to the evaluation,
planning, and treatment and habilitation efforts for
each client.
(b) Each service delivery site, utilizing shifts or
relief staff, shall develop mechanisms to ensure
adequate communication among staff regarding
clients.
Statutory Authority G.S. 148-1 9(d).
.2208 RELEASE PLANNING IN
RESIDENTIAL AND INPATIENT
SERVICES
(a) When release of a client can be anticipated
and the need for continued treatment has been
identified, each client shall have a written individ-ualized
aftercare plan,
(b) The aftercare plan shall:
(1) be formulated by qualified profession-als;
12) inform the client of how and where to
ill
141
15)
(6)
<2)
receive treatment or habilitation servic-identify
continuing treatment or habili-tation
needs; addressing issues, such as
food, housing, and employment;
indicate the need and the plan, if appli-cable,
to involuntarily commit (inpatient
or outpatient);
involve the respective area program or
state facility, when indicated;
address the procurement and availability
of medication prescribed for mental
health problems for the released client,
regardless of his ability to pay;
address the use and coordination of
generic resources in the community,
which may be through Employment
Security Services, Vocational Rehabili-tation
Services, community colleges,
and YMCA; and
(8) be provided to the client.
(c) The Department shall designate a qualified
professional staff member to assist the client in
establishing contact with the respective area pro-gram
or state-operated facility.
(d) The designee shall be responsible for provid-ing
information to file area program or state-operated
facility to ensure continuity of treatment
upon the client's release.
Statutory Authority G.S. 148-1 9(d).
SECTION .2300 - CLINICAL SERVICES
.2301 SCOPE
(a) The Rules in this Section apply to each
service delivery site, and to any other provider of
services on a contractual basis that incorporates
clinical services in their activities.
(b) The provision of clinical services shall be
provided by qualified mental health professionals
as an essential component of the treatment or
habilitation process, to include but not limited to:
(1) individual and group counseling;
(2) psychotherapy services;
(3) testing services; and
(4) specialized therapies of various kinds.
Statutory Authority G.S. 148-1 9(d).
.2302 COUNSELESTG AND
PSYCHOTHERAPY SERVICES
Individual, group and family counseling, and
psychotherapy shall be provided by, or under the
direct supervision of, qualified professionals who
have received training in these treatment or habili-tation
modalities.
Statutory Authority G.S. 148-1 9(d).
.2303 SPECIALIZED THERAPIES
The following shall be provided by, or under the
direct supervision of, staff licensed or registered to
perform these activities:
(1) Medical care;
(2) physical, occupational, or language and
communication therapy; and
(3) nursing care.
Statutory Authority G.S. 148-1 9(d).
8:7 NORTH CAROLINA REGISTER July 1, 1993 531
PROPOSED RULES
.2304 TESTING SERVICES
Individuals, who are privileged to utilize the
particular testing instrument being administered,
shall perform testing in the areas of:
(1
)
Psychological;
(2) developmental;
(3) educational; and
(4) intelligence.
Statutory Authority G.S. 1 48-1 9(d).
SECTION .2400 - MEDICATION SERVICES
.2401 SCOPE
(a) The Rules in this Section apply to each
service delivery site and to any other provider of
services on a contractual basis that provide medi-cation
services,
(b) Any client who is placed on medication for
problems associated with mental health and mental
retardation disabilities and needs shall receive, at
least, medication services that include, but need
not be limited to:
(1) prescribing;
dispensing;
administration;
storage;
control; and
13)
14)
15)
16} provision of education.
Statutory Authority G.S. 148-1 9(d).
.2402 DISPENSING OF MEDICATION
(a) Medication shall be dispensed, by a pharma-cist
or physician, in a properly labeled container in
accordance with state and federal law.
(b) The medication container shall protect
medication from light and moisture, and shall be in
compliance with the Poison Prevention Packaging
Act.
Statutory Authority G.S. 148-1 9(d).
.2403 ADMINISTRATION OF MEDICATION
(a) Medication shall be administered in accor-dance
with state and federal law.
(b) Prescription medication shall be administered
in service delivery sites only on the order of an
authorized prescriber.
(c) Non-prescription medications and standing
orders shall be administered only on the written
approval of a physician or person authorized to
prescribe legend drugs.
(d) Only properly dispensed medication shall be
administered.
(e) Medication shall be administered in inpatient
psychiatric services only by a physician, physician
assistant, or nurse.
(f) In other service delivery sites, medication
may be either:
(1) administered by program or correction-al
staff who have received training by
the Department; or
(2) self-administered by any client who has
received instructions, from either the
program's physician or designee, about:
(A) each medication;
(B) dosage;
(C) time of administration; and
(D) side effects and contraindications.
Statutory Authority1 G.S. 148-1 9(d).
.2404 INVOLUNTARY ADMINISTRATION
OF PSYCHOTROPIC MEDICATION
(a) Psychotropic medication may be adminis-tered
to any non-consenting client who is mentally
ill and receiving inpatient mental health treatment,
when any one or more of the following conditions
exist:
d) failure to treat the client's illness or
injury would pose an imminent substan-tial
threat of injury or death to the
client or those around him; or if
(2) there is evidence that the client's condi-tion
is worsening, and if not treated, is
likely to produce acute exacerbation of
a chronic condition that would endanger
the safety or jife of the client or others;
and:
(A) the evidence of substantial and pro-longed
deterioration is corroborated
by medical history; and
(B) the source of the history is document-ed
in the client's record.
(b) A medication refusal exists when a client
refuses to take medication within 30 minutes of the
initial offer. Any client who accepts medication
within 30 minutes of the initial offer shall not be
considered to have refused medication.
(c) Medication Refusal:
(1) All incidents of medication refusal shall
be:
(A) reported as promptly as possible to
the psychiatrist who is treating the
client; and
(B) documented on progress notes and the
medication chart by staff responsible
for administering the medication.
(2) The administering staff shall attempt to
532 8:7 NORTH CAROLINA REGISTER July 1, 1993
PROPOSED RULES
determine the reason for refusal by cause of the refusal;
questioning the client and encouraging
him to accept the medication. Such
shall be documented in the client's
record.
mi inform the client of indications for
psychotropic medication (benefits and
risks), and the advantages and disad-vantages
of any alternate courses of
13] Any member of the treatment team treatment; and
shall discuss the reasons for refusal IQ request his consent.
directly with the client and attempt to m The treatment team may also assist in
resolve those concerns which are the
source of the refusal before a forced
efforts to explain the advantages of
medication to the client.
medication order is written. ih The client's record shall contain docu-
ID
Initial Emergency Situation:
In an initial emergency situation the
mentation that efforts have been made
to determine the cause of refusal and
£A)
physician:
may initiate procedures and write an
order for administering emergency
forced medication, not to exceed 72
hours; and
14]
advantages of medication.
The physician shall initiate a referral to
the Involuntary Medication Committee
if the client continues to refuse medica-tion.
The Committee shall: m shall document in the client's record
the pertinent circumstances and ratio-nale
for the psychotropic medication.
IA) determine whether the condition as set
forth in Paragraph (a) exists before
authorizing an involuntary medication
(2J
IA}
If the physician determines that the
condition set forth in Paragraph (a)(1)
of this Rule exists and:
the medication is a generally accepted
treatment for the client's condition;
mi
IQ
order;
apply the criteria set forth in Subpara-graphs
(d)(1) and (2) in making its
determination.
If neither of the conditions set forth in
m> there is a substantial likelihood that
the treatment will effectively reduce
Paragraph (a) of this Rule exists, the
client's refusal to accept the medica-the
signs and symptoms of the client's
illness; and (f) nvo
tion will be honored,
luntary Medication Committee:
IQ from a therapeutic viewpoint, the
proposed medication is the least intru-sive
of the possible treatments.
In all cases, the medication shall not
exceed the dosage expected to accom-plish
the treatment objective.
111 The Involuntary Medication Committee
shall be appointed by the Chief of
Mental Health Services and consist of a
psychiatrist, a psychologist, and a
mental health nurse who is a Registered
Nurse.
13J
IA)
Continuation of emergency situation:
If needed, two subsequent emergency
periods of 72 hours may be autho-rized
only after the attending psychia-trist
has received the written or verbal
IA1 If the psychiatrist who issued the
involuntary medication order is the
individual who normally sits on the
committee, another psychiatrist shall
serve in that capacity.
concurrence from another psychiatrist im Other prison staff, who have pertinent
not currently involved in the client's information that may be useful to the
treatment. committee in making its determina-im
Then, if the client continues to refuse
medication after it is determined that
tion, shall be required by the commit-tee
to attend the hearing.
psychotropic medication is still war-ranted,
procedures for administering
medication in a non-emergency situa-ill
In conducting the hearing, the commit-tee
chairman, appointed by the Chief of
Mental Health Services, shall ensure
le] Non
tion shall be implemented.
-Emergency Situations: i£l
that the client:
has received written and verbal notice
0]. When a client refuses psychotropic of the time, date, place, and the pur-medication
in a non-emergency situa-tion,
the attending physician shall: m pose of the hearing;
is informed of his right to hear evi-
(A) make every effort to determine the dence providing the basis for the
«:7 NORTH CAROLINA REGISTER July 1, 1993 533
PROPOSED RULES
involuntary medication, and the right
to call witnesses in his behalf;
(C) attends the hearing, unless his clinical
condition [s such that his attendance is
not feasible. In this case, the Com-ih
in}
mittee shall:
state the reasons for determining
that the presence of the client is
not feasible.
allow the client to be interviewed
(iii)
in his room by the client represen-tative
and one or more members
of the Committee, if appropriate;
and
allow the client representative an
opportunity to present facts rel