^FAi/7V3V''^2./r^^''''A' '^"^•^'- ^
The
NORTH CAROLINA
REGISTER
n\
TITU
ItionI
IN THIS ISSUE
EXECUTIVE ORDER
FINAL DECISION LETTERS
PROPOSED RULES
Agriculture
Economic and Community Development
Environment, Health, and Natural Resources
Human Resources
FINAL RULES RECEIVED
Revenue
LIST OF RULES CODIFIED
RRC OBJECTIONS
FEB 7 1992
LAW LIBRARY
RULES INVALIDATED BY JUDICIAL DECISION
ISSUE DATE: FEBRUARY 3, 1992
Volume 6 • Issue 21 • Pages 1563-1636
TNFORMATTON ABOUT THE NORTH CAROLINA REGISTER AND ADMTNTSTRATTVE rODF
NORTH CAROLINA REGISTER
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 ($8.00).
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.
TEMPORARY RULES
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 pubUc 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 that
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 pubUcation 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,(X)0 letter size, single spaced pages of
material of which approximately 35% of is changed armually.
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
($750.00). 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: Rules Division, P.O.
E)rawer 27447, Raleigh, North Carolina 27611-7447, (919)
733-2678.
NORTH
CAROLINA
REGISTER
ISSUE CONTENTS
I. EXECurrv E order
Executive Order 159... .1563
Office ofAdministrative Hearings
P. O. Drawer 27447
Raleigh, \C 27611-7447
(919) 733 -2678
Julian Mann III,
Director
James R. Scarcella Sr.,
Deputy Director
Molly Masich,
Director APA Services
II. FINAL DECISION LETTERS
Voting Rights Act 1566
III. PROPOSED RULES
Agriculture
Structural Pest Control
Division 1569
Economic and Community
Development
Community Assistance 1579
Environment, Health, and
Natural Resources
Environmental Management .... 1 6 1
1
Wildlife Resources
Commission 1619
Human Resources
Facility Services 1584
Social Services 1607
IV. FESAL RULES
Revenue
Motor Fuels Tax 1620
V. LIST OF RULES CODIFIED 1624
Staff:
Ruby Creech,
Publications Coordinator
Teresa Kilpatrick,
Editorial Assistant
Jean Shirley,
Editorial Assistant
VI. RRC OBJECTIONS 1628
VII. RULES INA ALID.ATED BY
JUDICIAL DECISION 1631
VIII. CUMULATFVE INDEX 1633
NORTH CAROLINA REGISTER
Publication Schedule
(October 1991 - December 1992)
Issue
Date
Last Day
for
Filing
Last Day
for
Electronic
FUing
Earliest
Date for
Public
Hearing
Earliest
Date for
Adoption
by
Agency
Last Day *
to Earliest
Submit Effective
to Date
RRC
++++++++*++++++++++++*+++++++++++++++++++++++++++++++++++++++
10/15/91
11/01/91
11/15/91
12/02/91
12/16/91
01/02/92
01/15/92
02/03/92
02/14/92
03/02/92
03/16/92
04/01/92
04/15/92
05/01/92
05/15/92
06/01/92
06/15/92
07/01/92
07/15/92
08/03/92
08/14/92
09/01/92
09/15/92
10/01/92
10/15/92
11/02/92
11/16/92
12/01/92
12/15/92
09/24/91
10/11/91
10/24,91
11/07/91
11/21/91
12/09/91
12/20/91
01/10/92
01/24/92
02/10 92
02/24 '92
03/11/92
03/25/92
04/10/92
04/24/92
05/11/92
05/25/92
06/10/92
06/2492
07/13 92
07/24/92
08/11/92
08/25 92
09/10 92
09/24 92
10/12/92
10/23/92
11/06/92
11/24/92
10/01/91
10/18/91
10/31/91
11/14/91
12/02/91
12/16/91
12/31/91
01/17/92
01/31/92
02/17/92
03/02/92
03/18/92
04/01/92
04/17/92
05/01/92
05/18/92
06/01/92
06/17/92
07/01/92
07/20/92
07/31/92
08/18/92
09/01/92
09/17/92
10/01/92
10/19/92
10/30/92
11/13/92
12/01/92
10/30 91
11/16/91
11/30/91
12/17/91
12/31/91
01/17/92
01/30:92
02/18/92
02/29/92
03/17/92
03/31/92
04/16 92
04/30/92
05/16/92
05/30/92
06/16/92
06/30/92
07/16/92
07/30/92
08/ 18 92
08/29/92
09/16/92
09/30/92
10/16/92
10/30 92
11/17/92
12/01/92
12/16/92
12/30/92
11/14,91
12/01/91
12/15/91
01/01/92
01/15,92
02/01/92
02/14/92
03/04/92
03/15/92
04/01/92
04/15 92
05/01/92
05/15/92
05/31/92
06/14,92
07/01/92
07/15/92
07/31/92
08/14/92
09/02 92
09/13/92
10/01/92
10/15,'92
10/31,'92
11/14/92
12/02/92
12/16/92
12/31/92
01/14/93
11/20/91
12/20/91
12/20/91
01/20/92
01/20/92
02/20/92
02/20/92
03/20/92
03/20/92
04/20/92
04/20/92
05/20/92
05/20/92
06/20/92
06/20/92
07/20/92
07/20/92
08/20/92
08/20/92
09/20/92
09/20/92
10/20/92
10/20/92
11/20/92
11/20,92
12/20,92
12/20/92
01/20/93
01/20/93
01/02/92
02/03/92
02/03/92
03/02/92
03/02/92
04/01/92
04/01/92
05/01/92
05/01/92
06/01/92
06,01/92
07/01/92
07/01/92
08/03/92
08 '03/92
09/01/92
09/01/92
10 01/92
10/01/92
11/02/92
11/02/92
12/01/92
12/01/92
01 04/93
01 04/93
0201/93
02/01/93
03 01/93
03/01/93
* The "Earliest Effective Dale" 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.
EXECUTIVE ORDER
EXECLTIVE ORDER NLMBER 159
NORTH CAROLINA GOVERNOR'S
COMMISSION ON WORKKORCE
PREPAREDNESS
WHEREAS, the final report of the previous
Governor's Commission on Workforce
Preparedness has increased public awareness in
connection with the impending skills crisis in
North Carolina; and
WHEREAS, an education-economic develop-ment
link has been forged by the rapid evolution
m technological advancements and the
globalization of the economy; and
WHEREAS, North Carolina's competitive po-sition
Ln the new emerging global economy is
threatened by low levels of educational attain-ment
among some members of our population;
and
WHEREAS, the existing vocational, basic and
remedial education, employment, and job train-ing
systems lack coordination; and
WHEREAS, this lack of coordination makes it
difficult to ascertain duplication of services and
program impact, and more importantly, does not
allow for a serious analysis in determining the
responsiveness of the system in meetmg the needs
of both employers and individuals in need of
program services; and
WHEREAS, the previous Governor's Com-mission
on Workforce Preparedness saw the need
for its "permanent embodiment" and the need
for "establishing a comprehensive and strategic
planning system for responding to the impending
workforce preparedness crisis";
NOW THEREEORE, by the authority vested
in me as Governor bv the Constitution and laws
of North CaroHna, it IS ORDERED;
Section 1. ESTABLISHMENT
(a) Executive Order Number 107 is hereby
terminated, the purpose of the Governor's Com-mission
on Worklbrce Preparedness established
in that Order having been accomplished.
(b) There is hereby established the North
Carolina Governor's Commission on Workforce
Preparedness ("Commission").
Section 2. MEMBERSHIP
(a) The membership shall consist of the North
Carolina Job Training Council and the North
Carolina Advisory- Council on Vocational and
Applied Technology Education. The Commis-sion
shall report directly to the Governor.
(b) Notwithstanding the directives of this
Executive Order, the two Councils shall continue
to perform all duties and responsibilities granted
under their respective federal and state mandates.
Section 3. CHAIRPERSON
The Governor shall appoint a chairperson from
among the members of the Commission to serve
at the Governor's pleasure.
Section 4, EXECLTIVE BOARD
(a) The Governor shall select from among the
members of the Commission an Executive Board
("Board") consisting of not less than seven
members; provided, however, that a majority of
the Board shall be representative of the private
sector to the extent practicable. The Board shall
provide leadership and guidance to the Commis-sion
and all other boards, councils, and commit-tees
specified in this Order in carrying out the
duties and responsibilities outlined in Section 9.
(b) The Chairperson of the Commission shall
also serve as Chairperson of the Board.
(c) The Governor or his designee shall serve
as an ex-olTicio member of the Board.
Section 5. MEETINGS
1 he Commission or the Board shall meet at
such times and locations as designated by the
Chairperson.
Section 6. QLORLM
(a) A simple majority of the Commission shall
constitute a quorum for the transaction of busi-ness
by the Commission.
(b) A simple majority of the Board shall con-stitute
a quorum for the transaction of business
by the Board.
Section 7. BYLAWS
Both the Commission and the Board shall es-tabhsh
such bylaws as are necessar,' and appro-priate
for proper implementation of the directives
of this Executive Order and which are consistent
with applicable law.
Section 8. FUNCTION
(a) The two Councils shall act in partnership
as a single Commission in providing leadership
for coordination and strategic planning of
workforce preparedness policy.
(b) An Inter-Agency Coordinating Committee
(ICC) shall be created to include senior-level
management representation from each state de-partment
designated as a Workforce
Preparedness Program in Section 10(b). The
ICC wLU provide technical and staff support to
6:21 NORTH CAROLINA REGISTER February i, 1992 1563
EXECUTIVE ORDER
both the Commission and the Board. The
Chairperson and membership of the ICC shall
be appointed by the Chairperson of the Com-mission.
Section 9. PI KPOSE
The Commission shall perform the following
duties and responsibihtics:
(a) Advise and recommend to the Governor,
General Assembly, state departments, other
pubUc agencies, and the private sector poli-cies
and programs that enhance North
Carolina's economy through the develop-ment
of the State's workforce.
(b) Direct coordination among all designated
programs identified under Section 10, pro-vided
that such coordination shall not inter-fere
with federally mandated duties and
responsibilities.
(c) Establish criteria to facilitate the creation
of a comprehensive Workforce Preparedness
System that is market-driven and customer-focused.
The criteria shall include, but not
be limited to:
(1) Standards for establishing common defi-nitions
and assessment criteria to provide
convenient entry at any point into the
comprehensive systems; and
(2) Standards for creating a data collection
system to facilitate better e\aIuation and
more consistent reporting methods and
linking of data systems to allow tracking
of chents throughout the various pro-grams
in the comprehensive system; and
(3) Standards for developing program evalu-ation
methods (and procedures) to assess
actual program outcomes.
(d) Submit to the Governor and General As-sembly
a biennial strategic plan for
Workforce Preparedness to include, but not
be limited to:
(1) A statement of goals and objectives for the
coming biennium; and
(2) An inventory and assessment of all pro-grams
identified as part of the workforce
preparedness system under Section 10
pro\ided that such invcntor\' and assess-ment
shall not intertere with federally
mandated duties and responsibilities; and
(3) .An assessment of the vocational educa-tion,
basic and remedial education, em-ployment,
and job training needs of the
State's labor market; and
(4) .\n evaluation of each program in terms
of consistency in meeting state goals and
objectives, and reaching desired outcomes
in relation to the needs of employers and
individual citizens who are in need of
program services. This evaluation should
also report on the progress of each pro-gram
in meeting the coordination criteria
of the Commission; and
(5) Recommendations for policy changes and
funding to ensure effective implementa-tion
of the comprehensive system; and
(6) Recommendations for reducing program
duplication and effecting cost savings and
filing gaps in existing pohcies and pro-grams.
(e) Develop and promote strategies for coop-eration
between education, government and
the private sector and which leverage private
resources for the development of the State's
Workforce Preparedness system. These
strategies shall specifically focus on promot-ing
school-to-work transition programs for
high school students and modernization of
the workplace through high performance
work organizations.
Section 10. WORKFORCE PREPAREDNESS
PROGR.WIS .AND ACiENCIES
(a) Subject to their federally mandated duties
and responsibilities, the foliowmg federal re-sources
programs are hereby designated as
Workforce Preparedness Programs:
- Adult Education Act
Carl D. Perkins Vocational and Applied
Technology Education Act
- Job Training Partnership Act
- Waaler- Peyser Act
- Titfe IV of the Social Security Act (JOBS -
Welfare-to-Work)
- litle IX of the Social Security Act (Miscella-neous
Provisions Relating to Employment
Security)
- Vocational Rehabditation Act
- National Apprenticeship Act
- F'ood Stamp Act (Workfare)
- Displaced Homemakers Self-Sufficiency As-sistance
Act
Internal Revenue Code of 1986 (Targeted
Jobs Tax Credit, Work Incentive Program)
- Chapter 2 of the Trade Act (.Adjustment As-sistance
or Workers)
- Title V of the Older Americans Act (Com-munity
Service Employment)
- Veteran's Job Training Act.
(b) All State resources programs that are vo-cational
-, basic and remedial education -, em-ployment
-, and job training-related are hereby
designated as Workforce Preparedness Programs.
(c) The Departments of Economic and Com-munity
De\'elopment, Commumty Colleges, La-bor,
Public Instruction, Human Resources,
Corrections, and .Administration, and all local
1564 6:21 NORTH CAROLINA REGISTER February i, 1992
EXECUTIVE ORDER
agencies that provide vocational education, basic
and remedial education, employment, and job
training services are hereby designated as mem-bers
of the Workforce Preparedness System.
Section I ! COOPERATION OF STATE
AGENCIES
On request all agencies and departments of the
State of North Carolina shall cooperate with the
Commission and the Board in their duties and
responsibilities as established by this Executive
Order.
Section 12. ADMINISTRATION AND
EXPENSES
Members shall receive per diem and necessary
travel and subsistence expenses in accordance
with N.C.G.S. 138-5, 138-6, or 120-3.1.
This Executive Order shall be effective as of
January 3, 1992, and shall remain in effect until
terminated.
Done in Raleigh, North Carolina, this the 6th
day of January, 1992.
6:21 NORTH CAROLINA REGISTER February 3, 1992 1565
VOTING RIGHTS ACT FINAL DECISION LETTERS
[G.S. 120-30.9H, effective July 16, 1986, requires that all letters and other documents issued by the
A ttorney General of the United States in which a final decision is made concerning a "change af-fecting
voting" under Section 5 of the Voting Rights Act of 1965 be published in the North Carolina
Register. /
U.S. Department of Justice
Civil Rights Division
JRD:LLT:ACJ:tlb
DJ 166-012-3 Voting Section
91-4043 P.O. Box 66128
Washington, D.C. 20035-6128
December 20, 1991
Richard J. Rose, Esq.
Poyner & Spruill
P. O. Box 353
Rocky Mount, North Carolina 27802
Dear Mr. Rose:
This refers to three annexations (Ordinance Nos. 91-190, 91-184 and 91-189) and the designation
of the annexed areas to election districts for the City of Rocky Mount in Edgecombe and Nash
Counties, North Carolina, submitted to the Attomey General pursuant to Section 5 of the Voting
Rights Act of 1965, as amended, 42 U.S.C. 1973c. We received your submission on October 28, 1991.
The Attomey General does not interpose any objection to the specified changes. However, we
note that Section 5 expressly provides that the failure of the Attomey General to object does not bar
subsequent litigation to enjoin the enforcement of the changes. See the Procedures for the Adminis-tration
of Section 5 (28 C.F.R. 51.41).
Sincerely,
John R. Dunne
Assistant Attomey General
Civil Rights Division
By:
Gerald W. Jones
Chief, Voting Section
1566 6:21 NORTH CAROLINA REGISTER February 3, 1992
VOTING RIGHTS ACT FINAL DECISION LETTERS
U.S. Department of Justice
Civil Rights Division
JRD:GS:TGL;lri
DJ 166-012-3 Voting Section
91-4235 P.O. Box 66128
91-4236 Washington, D.C. 20035-6128
January 7, 1992
Michael Crowell, Esq.
Tharrington, Smith & Hargrove
P. O. Box 1151
Raleigh, North Carolina 27602-1151
Dear Mr. Crowell:
This refers to the 1991 redistricting plans for the board of commissioners and the board of educa-tion
Ln Pitt County, North Carolina, submitted to the Attorney General pursuant to Section 5 of the
Voting Rights Act of 1965, as amended, 42 U.S.C. 1973c. We received your submissions on November
8, 1991.
The Attorney General does not interpose any objection to the specified changes. However, we
note that the failure of the Attorney General to object does not bar subsequent litigation to enjoin the
enforcement of the changes. See the Procedures for the Administration of Section 5 (28 C.F.R. 51.41).
Sincerely,
John R. Dunne
Assistant Attorney General
Civil Rights Division
By:
Gerald W. Jones
Chief, Voting Section
6:21 NORTH CAROLINA REGISTER February 5, 1992 1567
VOTING RIGHTS ACT FINAL DECISION LETTERS
U.S. Department of Justice
Civil Rights Division
JRD:.MAP:DOW:gmh
DJ 166-012-3 Voting Section
91-4481 P.O. Box 66128
Washington, D,C. 20035-6128
Januar>- 17, 1992
Michael Crowell, Esq.
Tharrington, Smith & Hargrove
P. O. Box 1151
Raleigh, North Carolma 27602
Dear .Mr. Crowell:
This refers to the change in the method of election from at large to two double-member districts
and a single-member district, the districting plan, an increase in the number of city councUmembers
from four to five, the method of staggering terms of office, the implementation schedule, and the pro-cedures
for conducting the May 1992 special election for the City of Roanoke Rapids in Halifax
County, North Carolina, submitted to the Attorney General pursuant to Section 5 of the Voting Rights
Act of 1965, as amended, 42 U.S.C. 1973c. We received your submission on December 5, 1991.
The Attorney General does not interpose any objection to the specified changes. However, we
note that Section 5 expressly provides that the failure of the Attorney General to object does not bar
subsequent htigation to enjoin the enforcement of the changes. In addition, as authorized by Section
5, we reserve the right to reexamine this submission if additional information that would otherwise re-quire
an objection comes to our attention during the remainder of the sixty-day review period. See the
Procedures for the Administration of Section 5 (28 C.F.R. 51.41 and 51.43).
Sincerely,
John R. Dunne
Assistant Attorney General
CivU Rights Division
By:
Gerald W. Jones
Chief, Voting Section
1568 6:21 NORTH CAROLINA REGISTER Febniaiy 3, 1992
PROPOSED RULES
TITLE 2 - DEPARTMENT OF
AGRICULTURE
Noodce is hereby given in accordance with G.S.
150B-21.2 that the N.C. Structural Pest Control
Committee intends to amend rule(s) cited as 2
NCAC34 .0101 - .0102, .0302, .0313, .0318, .0601
- .0605, .0902, .1001; and adopt rule(s) cited as
2 NCAC34 .0329, .0406, .1201 - .1206.
1 he proposed effective date of this action for 2
NCAC 34 .1201 - .1206 is May I, 1992: and for
2 NCAC 34 .0101 - .0102, .0302, .0313, .0318,
.0329, .0406, .0601 - .0605, .0902, .1001 is July
I, 1992.
1 he public hearing will be conducted at 10:00
a.m. on February 18, 1992 at the Board Room,
Agriculture Building, 2 W. Edenton St., Raleigh,
N.C. 27601.
J\eason for Proposed A ction: 2 NCA C 34 . 1201
- .1206 - Establishes procedures for contested
cases. 2 NCAC 34 .0101 - .0102, .0302, .0313,
.0318, .0329, .0406, .0601 - .0605, .0902, .1001 -
Makes various changes in requirements applicable
to structural pest control licensees and certified
applicators, such as written agreements with
property owners, recordkeeping, financial respon-sibility,
time for commencing disciplinary actions,
and technical and wording changes.
Coomment Procedures: Interested persons may
present their views either orally or in writing at the
hearing. Comments may be submitted in writing
no later than March 4, 1992 by mail, addressed
to the Chairman of the North Carolina Structural
Pest Control Committee, P.O. Box 27647,
Raleigh. NC 27611.
CHAPTER 34 - STRUCTURAL PEST CONTROL
DIVISION
SECTION .0100 - INIRODUCTION AND
DEFINITIONS
.0101 INTRODUCTION
(a) Applicable to licensees only:
(1) .'Ml licensed structural pest control opera-tors
shall faithfully and honestly carry out
the provisions and terms of all contracts
into which they enter for the control of
structural pests.
(2) In addition to following all minimum re-quirements
outlined in the rules and reg-ulations
herein, licensed structural pest
control operators shall be responsible for
obtaining satisfactory control of all in-sects,
rodents, fungi, or other pests indi-cated
in the control agreement(s).
(3) Licensed structural pest control operators
shall be responsible for obtaining satisfac-tory
control of active infestations of pests
for which control agreements were entered
into prior to July 1, 1955, if contracts
covering said agreements are currently ef-fective,
(b) Applicable to both licensees and certified
applicators:
(1) The methods and materials used in struc-tural
pest control procedures shall be in
accordance with the current label registra-tions
of federal and State of North
Carolina agencies responsible for making
such registrations.
(2) The possession, usage, application, stor-age,
and disposal of all pesticides and all
pesticide containers shall be in conformity
with all federal and North Carolina State
laws and regulations governing the pos-session,
usage, application, storage, and
disposal of pesticides and pesticide con-tainers.
(3) Licensed structural pest control operators
or their authorized agents and certified
applicators (oxcopt those Het omployod
by a liconflOQ aft4 net- ur.ing a rootrictod uso
pooticido) shall maintain at their business
location(s) copies of current registered la-bels
for all pesticides used. Such labels
shall be made available for inspection
upon request of the onforcomont agoncy
Division or the committoo. Committee.
Statutory Authority G.S. 106-65.29.
.0102 DEFINITIONS
For the purpose of interpretation of the rules,
regulations, definitions, and requirements of the
North Carolina Structural Pest Control Com-mittee
and the Structural Pest Control Law, and
unless otherwise required by the context, the fol-lowing
definitions shall prevail, to wit:
(1) "Act and/or law" means the Structural
Pest Control Act of North Carolina of 1955.
(2) "Active infestation of a specific organism"
means evidence of present activity by that
organism, visible in, on, or under a structure,
or in or on debris under the structure.
(3) "Acutely toxic rodenticidal baits" means
all baits that contain rodcnticides other than
barium carbonate, norbormide, red squill,
and the anticoagulants.
6:21 NORTH CAROLINA REGISTER February 3, 1992 1569
PROPOSED RULES
(4) "Board of Agriculture" means the Board
of Agriculture of the State of North
Carolina.
(5) "Commercial certified applicator" shall
mean any certified applicator employed by
a licensed individual.
(6) "Common laborer" as used in G.S.
106-65.31 of the Structural Pest Control Act
shall mean an employee of a Ucensed struc-tural
pest control operator who does not
engage in or supervise the mixing or appli-cation
of pesticides for the control of struc-tural
pests.
(7) "Commercial structure" means any struc-ture
which is not a residential structure; in-cluding
but not hmited to shopping centers,
offices, nursing homes and similar structures.
(8) "Complete surface residual spray" means
the over-aU application of any pesticide by
spray or otherwise, to any surface areas
within, on, under, or adjacent to, any struc-ture
in such a manner that the pesticide will
adhere to surfaces and remain toxic to
. household pests and rodents or other pests
for an extended period of time.
(9) "Continuing education units" means units
of non-credit education awarded by the Di-vision
of continuing education. North
CaroUna State University or comparable
educational institution, for satisfactorily
completing course work.
(10) "Continuing certification unit" means a
unit of credit awarded by the Committee
upon satisfactory completion of one clock
hour of instruction in MVf an approved
course »f study (one CCU is approximately
equal to one tenth CEU of approved course
work).
(11) "Deficient soil sample" shall mean any soil
sample which, when analyzed, is found to
contain less than 25 percent of the
termiticide apphed by a licensee which
would be found if the termiticide had been
apphed at the lowest concentration and
dosage recommended by the labeling.
(12) "Department" means the Department of
Agriculture of the State of North Carolina.
(13) "Disciplinary action" means any action
taken by the Committee as provided under
the provisions of G.S. 106-65.28.
(14) "Division" means the Structural Pest
Control Division of the Department of Ag-riculture
of the State of North Carolina.
(15) "Enclosed space" means any structure by
whatever name known, including household
structures, commercial buildings, ware-houses,
docks, vacant structures, and places
where people congregate, such as hospitals,
schools, churches, and others; railroad cars,
trucks, ships, aircraft, and common carriers.
It shall also mean vaults, tanks, chambers,
and special rooms designed for use, being
used, or intended to be used for fumigation
operations.
(16) "Enforcement agency" means the Struc-tural
Pest Control Division of the Depart-ment
of Agriculture of the State of North
Carolina.
(17) "EPA" means the Environmental Pro-tection
Agency of the United States Gov-ernment.
(18) "EPA registration number" means the
number assigned to a pesticide label by
EPA.
(19) "Elammable pesticidal fog" means the fog
dispelled into space and produced:
(a) from oil solutions of pesticides fmely
atomized by a blast of heated air or ex-haust
gases from a gasoUne engine, or
from mixtures of water and pesticidal oil
solutions passed through a combustion
chamber, the water being converted to
steam, which exerts a shearing action,
breaking up the pesticidal oil into small
droplets (thermal fog); or
(b) from oil solutions of pesticides which are
forced through very narrow space by
centrifugal force and atomized as they are
thrown off into the air (mechanical or
cold fogs).
(20) "Fog or fogging" means micron sized
particles of pesticide(s) dispersed by means
of a thermal generator.
(21) "Fumigation" means the use of fumigants
within an enclosed space, or in, or under a
structure, in concentrations which may be
hazardous to man.
(22) "Fumigation crew" or "crew" means per-sonnel
performing the fumigation operation.
(23) "Fumigation operation" means all details
prior to apphcation of fumigant(s), the ap-plication
of fumigant(s), fumigation period,
and post fumigation details as outlined in
these Rules and Regulations.
(24) "Fumigation period" means the period of
time from application of fumigant(s) until
ventilation of the fumigated structure(s) is
completed, and the structure or structures
are declared safe for occupancy for human
beings or domestic animals.
(25) "Fumigator" means a person hcensed un-der
the provisions of G.S. 106-65. 25(a)(3)
or certified under the provisions of G.S.
106 65.35(b)(1) G.S. 106-65. 25(e)(1) to en-gage
in or supervise fumigation operations.
1570 6:21 NORTH CAROLINA REGISTER February 3, 1992
PROPOSED RULES
(26) "Gas-retaining cover" means a cover
which will confine fumigant(s) to the
space(s) intended to be fumigated.
(27) "General fumigation" means the applica-tion
of fumigant(s) to one or more rooms
and their contents in a structure, at the de-sired
concentration and for the necessary
length of time to control rodents, insects, or
other pests.
(28) "Household" means any structure and its
contents which are used for man.
(29) "flousehold pest control" means that
phase of structural pest control other than
the control of wood-destroying organisms
and fumigation and shall include the appli-cation
of remedial measures for the purpose
of curbing, reducing, preventing, controlling,
eradicating, and repelling household pests
and rodents.
(30) "Inactive license" shall mean any struc-tural
pest control license held by an individ-ual
who has no employees and is not
engaged in any structural pest control work.
(31) "Infestation of a specific organism" means
evidence of past or present activity by that
organism, visible in, on, or under a structure,
or in or on debris under the structure.
(32) "Inspection for a specific wood-destroying
organism" means the careful visual exam-ination
of all accessible areas of a building
and the sounding of accessible structural
members to determine the presence of and
the damage by that specific wood-destroying
organism.
(33) "Inspector" means any employee of the
Structural Pest Control Division of the De-partment
of Agriculture of the State of
North Carolina.
(34) "Jobs not meeting the minimum require-ments
of these Rules and Regulations"
means any job that is not treated in accord-ance
with the minimum requirements as
herein set forth.
(35) "Licensed structural pest control opera-tion,"
or "pest control operation," or "op-erator,"
or "licensed operator" means any
person licensed under the provisions of G.S.
106-65. 25(a) or unlicensed who, for direct
or indirect hire or compensation is engaged
in the business of controlling, destroying,
curbing, mitigating, preventing, repelling,
offering advice on control methods and
procedures, inspecting and identifying
infestations and populations of insects,
rodents, fungi, and other pests within, under
and on structures of any kind, or the nearby
surrounding ground areas or where people
may assemble or congregate including work
defined under G.S. 106-65.24(23).
(36) "Liquefied gas aerosol" means the spray
produced by the extreme rapid volatilization
of a compressed and liquefied gas, to which
has been added a non-volatile oil solution
containing a pesticide.
(37) "Non-commercial certified applicator"
shall mean any certified applicator not em-ployed
by a licensed individual.
(38) "Open porch" means any porch without
fiU in which the distance from the bottom
of the slab to the top of the soil beneath the
slab is greater than 12 inches.
(39) "Percolation" (as used m Rule .0503(c)(2)
of Section .0500 this Chapter) means the
leakage or movement of a pesticide from the
initial point of application by the action of
the water.
(40) "Residential structure" means any struc-ture
used as a permanent dwelling such as a
single- or multi-family home, a condomin-ium
or townhouse or an apartment.
(41) "Secretary" means the Secretary to the
North Carolina Structural Pest Control
Committee.
(42) "Ser%'ice vehicle" means any vehicle used
to transpK^rt the licensee or certified
appUcator or serviceman and/or their equip-ment
and pesticides used in providing struc-tural
pest control services.
(43) "Slab-on-ground" means a concrete slab
in which all or part of that concrete slab is
resting on or is in direct contact with the
ground immediately beneath the slab.
(44) "Sohd masonry cap" means a continuous
concrete or masonry barrier covering the
entire top, width and length, of any wall, or
any part of a wall, that provides support for
the exterior or structural parts of a building.
(45) "Space spray" means any pesticide re-gardless
of its particle size, which is apphed
to the atmosphere within an enclosed space
in such a manner that dispersal of the pesti-cide
particles is uncontrolled. Pesticidal fogs
or aerosols, including those produced by
thermal-aerosol generators (fogging ma-chines),
shall be considered space sprays.
(46) "Spot fumigation" means the application
of a fumigant to a localized space or
harborage within, on, under, outside of or
adjacent to, a structure for local household
pest or rodent control.
(47) "Spot surface residual spray" means the
apphcation of pesticidal spray directly to a
surface and only in specific areas where nec-essary
and in such a manner that the pesti-cidal
material wiU largely adhere to the
6:21 NORTH CAROLINA REGISTER February 3, 1992 1571
PROPOSED RULES
surface where applied and will remain toxic
to household pests or rodents or other pests
for which applied for an extended period of
time.
(48) "Structure" means all parts of a building,
whether \acant or occupied, in all stages of
construction.
(49) "Structural pests" means all pests that oc-cur
in any type of structure of man and all
pests associated with the immediate environs
of such structures.
(50) "Sub-slab fumigation" means the applica-tion
of a fumigant below or underneath a
concrete slab and is considered spot
fumigation.
(51) "Telephone answering service location"
means any location used for the sole pur-pose
of receiving telephone messages.
(52) "Termiticide(s)" (as used in Rule .0503,
Subterranean Termite Control, and Rule
.0505, Subterranean Termite Prevention)
means those pesticides specified in Rule
.0502, Pesticides for Subterranean Termite
Prevention and'or Control.
(53) "To use any pesticide in a manner incon-sistent
with its labeling" means to use any
pesticide in a manner not permitted by the
labeling. Provided that, the term shall not
include:
(a) applying a pesticide at any dosage, con-centration
or frequency less than that
specified on the labeling;
(b) applying a pesticide against any target pest
not specified on the labeling if the appli-cation
is to the site specified on the label-ing,
unless the EPA has required that the
labeling specifically state that the pesticide
may be used only for the pests specified
on the labeling;
(c) employing any method of application not
prohibited by the labeling.
(54) "Type of treatment" means the method
used to apply a pesticide formulation to a
specific location.
(55) "Unauthorized personnel" means any in-dividual
or individuals not given specific au-thorization
by the Hcensee or certified
applicator to areas to which access is re-stricted
by these regulations.
(56) "Under dixect supervision of means the
act or process whereby application of a pes-ticide
is made by a competent person acting
under the instructions and control of a
hcensee or certified appUcator who is re-sponsible
for the action of that person and
who is available if and when needed, even
though such licensee or certified applicator
is not physically present at the time and
place the pesticide is apphed.
(57) "Waiver" means a standard form pre-scribed
by the Committee which will, when
completed correctly, permit the licensee to
deviate from or omit one or more of the
minimum treatment methods and proce-dures
for structural pests which are set forth
in the Committee rules, regulations, defi-nitions
and requirements.
(58) "Wood-destroying insect report" means
any written statement or certificate issued,
by an operator or his authorized agent, re-garding
the presence or absence of wood-destroying
insects or their damage in a
structure.
(59) "Wood-destroying organism" is an
organism such as a termite, beetle, other in-sect,
or fungus which may invade, inhabit,
devour, or destroy wood or wood products
and other cellulose material found in, on,
under, in contact with, and around struc-tures.
(60) "Wood-destroying organism report"
means any written statement or certificate
issued, by an operator or his authorized
agent, regarding the presence or absence of
wood-destroying organisms or their damage
in a structure.
Statutory Authority G.S. 106-65.29.
SECTION .0300 - LICENSING .\ND
CERTIFIC.VTION
.0302 APPLICATION FOR LICENSES AND
CARDS: EXAMIN.\TION
(a) Application for hcenses under the pro-visions
of G.S. 106-65. 26(a) and (c):
(1) AppUcation for examination shall be on
a regular form prescnbed by the Division.
All examinations shall be maintained and
administered by the Committee secretary.
The Committee may review the examina-tions
and make recommendations regard-ing
changes in same.
(2) Upon approval of the apphcation for ex-amination,
the Committee secretary shall
notify the applicant of said approval and
provide the necessar>' form(s) for the ap-pUcant
to prc-register for the examination
as required in Pailo .0302(c). Paragraph
(c) of this Rule.
(3) Apphcations to take the examination
shall be either typed or printed in ink and
sworn to before a notary- public or some
other official authorized by law to admin-ister
oaths.
1572 6:21 NORTH CAROLINA REGISTER Eebruarv 3, 1992
PROPOSED RULES
(4) A clear full-face, head, and shoulder
photograph of the apphcant, taken within
the preceding 12 months of the date of
application, and not less than two and
one-half inches square, shall be attached
to the application.
(5) All applications to take the examination
shall be retained by the office of the
Committee secretary. All documents filed
in support of an application shall be kept
by the office of the Committee secretary;
provided, however, that the Committee
may at its discretion permit such docu-ments
to be withdrawn upon substitution
of a true copy. All examinations shall
remain the property of the Committee.
(6) An applicant who gives or receives un-authorized
assistance during an examina-tion
shall be dismissed from the
examination and his markings or results
shall be voided and said applicant's ex-amination
fee shall be forfeited. Such
applicant shall not be permitted to take a
re-examination for a period of six months
from the date of the examination.
(7) No person shall be admitted to the ex-amination
room except members of the
Committee, the attorney for the Commit-tee,
the examining personnel, employees
of the Structural Pest Control Division,
and the applicants for hcenses.
(8) .Any applicant making a score of 70 per-cent
or more on any license
examination(s) shall be issued a license in
that phase(s) of structural pest control af-ter
making proper apphcation therefor.
(9) The applicant shall furnish such infor-mation
as the committee may require to
establish that said apphcant p>ossesses
qualifications as specified in G.S.
106-65.26 of the act for the particular
hcense(s) which he seeks. The Commit-tee,
or its authorized representatives, may
make such investigations as it deems nec-essary
with respect to the applicant's
qualifications.
(10) All applicants passing the examination(s)
for Ucenses shall apply for said licenses
within six months from the date on which
the examinations were passed. If such
apphcants fail to make application for said
licenses, within the specified period, such
applicants shall be required to take and
satisfactorily pass re-examinations cover-ing
phases of structural pest control work
for which licenses were applied before said
Hcenses are issued.
(11) If an applicant [within 60 days after no-tification
that he has failed an
examination] requests to review the
exainination(s), the Division shall allow
such review during the earliest possible
regular review session,
(b) Application for certified applicator's iden-tification
card under the provisions of G.S.
106-65. 26(a) and (b):
(1) Apphcations filed pursuant to G.S.
106-65. 26(a) and (b) shall be on a regular
form prescribed by the Division.
(2) An applicant for a certified applicator's
identification card in any phase of struc-tural
pest control shall furnish such infor-mation
as the Committee may require to
establish that said applicant possesses
qualifications as specified in G.S.
106-65.26 of the act for the particular cer-tified
applicator's identification card which
he seeks. The Committee or its author-ized
representatives, may make such in-vestigations
as it deems necessarv' with
respect to the applicant's qualifications.
(3) All applications for certified applicator's
identification cards under the provisions
of G.S. 106-65. 26(a) and (b) shall be re-tained
by the office of the Committee
secretary. /Vll documents filed in support
of an apphcation shall be kept by the of-fice
of the Committee secretary; provided,
however, that the Committee may at its
discretion permit such documents to be
withdrawn upon substitution of a true
copy. .'VU examinations shall remain the
property of the Committee.
(4) Any applicant making a score of 70 per-cent
or more on the core certification ex-amination
and on any certified
applicator's examination(s) shall be issued
a certified applicator's identification card
in that phase of structural pest control af-ter
making proper application therefor.
(5) All apphcants passing the e.xamination(s)
for certified apphcator's identification
cards shall apply for said cards within six
months from the date on which the ex-aminations
were passed. If such apph-cants
fail to make apphcation for said
certified apphcator's identification cards
within the specified period, such apph-cants
shall be required to take and satis-factorily
pass re-examinations covering
phases of structural pest control work for
which certified applicator's identification
cards were apphed before said cards are
issued.
6:21 yORTH CAROLINA REGISTER February 3, 1992 1573
PROPOSED RULES
(6) Upon receipt of the application for ex-amination,
the Committee secretary- shall
provide the necessary' forms for the appli-cant
to pre-register for the examination as
required in Ruli? .0302(oj. Paragraph (c)
of this Rule.
(7) 44^ik» MM2 Subparagraphs (a)(2), (3), (5),
(6), (7), (12) and (13) of ttus Section Rule
shall also apply to all applicants for certi-fied
applicator's identification cards.
(c) Pre-registration for license and certified
applicator examination applicants:
(1) AU applicants for the license and or certi-fied
applicator's examination(5) shall pre-register
with the Committee secretary for
said examination(s) no less than ten days
prior to the date of the exammation.
(2) Applicants who fail to pre-register shall
not be permitted to take the examination.
(3) Pre-registration shall include a properly
completed application for examination.
(d) Frequency of examination by license ap-pUcant
limited:
(1) An applicant who initially fails to pass the
license examination may retake the exam-ination
at any subsequent regularly
scheduled examination.
(2) An applicant who fails to pass the second
license examination shall wait a minimum
of three montho examinations between
each subsequent examination: except
that, in the event of a death of a licensee
the applicant intending to succeed the de-ceased
licensee may take the examination
a third time prior to the first three month
examination waiting period.
Statutory Authority G.S. 106-65.29.
.0313 INFORMATION ON REGISTERED
TECHNICIAN'S IDENTIFICATION
CARDS
(a) A registered technician's identification card
shall contain, but not be limited to, the foUovs'ing
information:
( 1
) name of registrant:
(2) name of licensee or employer;
(3) name of Licensee's company;
(4) address of licensee's company;
(5) license number and phase(s) of licensee;
(6) age, \s eight, height, color of hair and eyes
of registrant:
(7) job classification of card holder:
(8) issuance date, expiration date and license
year covered b\' card.
(b) The registered teclmician's identification
card and the Ucense of the employer of the card
holder shall bear the same license number and
License phase(s). Each registered technician's
identification card shall bear only one license
number, one company name, and not more than
three license phases.
(c) A licensee or non-commercial certified
applicator applying for the issuance or renewal
of a registered technician's identification card for
his employee shall certify to the Division that the
employee has completed employee training ap-pro\
ed by the Committee in structural pest con-trol
work.
(d) In the event the oommittoo Committee ap-proves
employee training materials produced by
the Di\ision, such materials shall be purchased
for each home office and by at least one non-commercial
certified apphcator at each business
location at a cost determined by the committoo;
Committee; provided, however, a liconooo wh»
in licensees performing work under the structural
pest control license of another and non-commercial
certified applicators who are not en-gaged
in structural pest control shall not be
required to purchase the training materials.
(e) Training materials shall be made available
for inspection dunng regular busmess hours upon
request by the Dhision.
Statutmy Authority G.S. 106-65.29.
.0318 CHANGE IN ST.\TCS OF EICENSEE
AND/OR CERI IFIED APPLIC.VIOR
fri^ \\'h en thoro it* a change m the C'tatuo &f a
licuni' L'
L' ift relation Ve- tl» company ef- branch
offico. t4» licon '.o numbe r given to tfee origmal
hconooe ef a company may l*e retained W t4»t-company
&f branch otfice. at- Ae discretion e4^y**
Committee. aft4 upon written request Viithin taa
days fvf such change.
(-b^ It shall be the responsibility of each Licensee
and certified apphcator to inform the committee
Conimittee secretars, in wnting, on a form pre-scnbed
by the Di\ision. and within 10 days, of
any change in employment status, including but
not limited to:
(1) change from one emplo\er to another,
(2) change of business address,
(3) change of company name,
(4) change of telephone number,
(5) sale of business,
(6) discontinuance of business,
(7) change of business location,
(8) change of resident agent.
Statutory Authority G.S. 106-65.29.
.0329 EXPIRATION OF LICENSES .\ND
CARDS
1574 6:21 NORTH CAROLINA REGISTER Eebnmry 3. 1992
PROPOSED RULES
(a) Any licensee whose license expires and is
subject to reexamination pursuant to G.S.
106-65. 31(b) shall meet all the requirements for
licensing prescribed in G.S. 106-65.26 and Rule
.0302(a) and (c] of this Section.
(b) Any certified applicator whose certified
applicator's identification card expires and is
subject to reexamination pursuant to G.S.
106-65.3 1(a) shall meet all the requirements for
certification prescribed in G.S. 106-65.26 and
Rule .0302(b) and (c) of this Section.
Statutory Authority G.S. 106-65.29.
SECTION .0400 - PLBIJC SAFETY
.0406 SPIEL CONTROL
Licensees and certified applicators shall main-tain
spill control materials and'or equipment at
aU locations used to store pesticides and on aU
service \chicles used to transport pesticides.
Statutory Authority G.S. 106-65.29.
SECTION .0600 - WOOD-DESTROYING
ORGANISMS AGREEMENTS
.0601 AGREEMENTS
(a) Before any work treatment is started, the
licensee or his authorized agent shaU be ro 'jpon
oiblo fof executing execute, and furnish to the
prope^t\^ owner or his authorized agent, a wntten
Qgroomont with, aft4 proposal informing m detail,
the property owner or his authorized agent, in
detail, as to the type and quality of work that is
to be performed, under Vb* agreement. The
written proposal shall contain that information
specified in Rule .0605 of tliis Section and, upon
written acceptance by the property owner or au-thonzed
agent, shall suffice as a written agree-ment.
(b) The licensee or his authorized agent shall.
within 14 days of beginning a treatment, execute
a wntten agreement with the property owner or
his authon/.ed agent in conformance with Rule
.0605 ot this Section. Dunng the J_4 day pcnod.
the Division will use the wntten proposal as its
standard of enforcement. Following the 14 day
period and in the absence of an executed wntten
agreement, the Division will apph' Rule .0503,
.0505 or .0506 of this (Chapter, as applicable, as
its standard of enforcement.
Statutory Authority G.S. 106-65.29.
.0602 WOOD-DESTROYING INSECT AND
OTHER ORG.4N1SM REPORTS
(a) Bot'.voen September +t 1^87 afi4 Januap;
' 3-^
198 8, aay /Vny written statement as to the pres-ence
or absence of wood-destroying insects or
their damage in buildings or structures for sale
shall be on either IIUD Fonn -rver 92053 Bf the
WDIR 100. As »f FobruuPr
r ^ W8^ ©ftiy
WDIR +00 sfeatt be accepted f»f ««e by Ae
Committoo. Incomplet e An incomplete or inac-curate
Wood- Destroying Insect Reportii Infor-mation
Report shall not be acceptable and the
issuance of such reports a report is grounds for
disciplinary action by the committeo. Commit-tee.
No Wood- Destroying Insect Report
o
Infor-mation
Report or Wood- Destroying Organism
Reports Report shall be issued before an in-spection
of the building or structure is made.
Each Wood- Destroying Insect Information Re-port
issued by a licensee shall be kept in the files
of said licensee and made available at- the for in-spection
upon request of the enforcement agency,
fof inr.pection. Division.
(b) If during the inspection of a structure, a
licensee or his authorized agent finds Uve subter-ranean
termites or visible evidence of past or
present infestation of subterranean termites (such
as tubes, damage, cast wings, infested wood
scraps or other cellulose materials, etc.) in the
structure and there is no visible evidence that said
structure has been treated for subterranean
termites, the hcensee shall treat said structure for
subterranean termites prior to the issuance of a
Wood- Destroying Insect Report on the structure
which states that the stnicture is free from sub-terranean
termites.
(c) A licensee, certified applicator or registered
technician shall not remo\e or destroy any
wood-destroying organism evidence discovered
in, on. under or in or on debns under a structure
inspected pursuant to this Rule except as re-quired
by Paragraph (b) of this Rule.
Statutory Authority G.S. 106-65.29.
.0603 WAIVERS
(a) If there are any deviations or omissions
from the minimum requirements for the control
and/or prevention of wood-destroying organisms
or pests, as hereinbefore set forth, each require-ment
omitted shall be fuUy explained, in writing,
prior to any work being done, on the waiver
fomi(s) prescribed by the Committee, bear tlte
written appro'idl ef t4*e property csner ef h»
authoni'ed age nt, &ft4 r. hall be made a- permanent
prtrt »f y*e wntten agreement.
(b) The waiver must be prepared in accordance
uilh Rule .(1601 of this Section and, upon wntten
acceptance by the property owner, shall become
a permanent part of the written agreement.
6:21 NORTH CAROLINA REGISTER February 3, 1992 1575
PROPOSED RULES
(c) fb^ Incomplete and retroactive waiver forms
shall not be accepted unless approved by the
Committee or its authorized agent.
Statutory Authority G.S. 106-65.29.
.0604 WOOD-DF.STROYING ORGAMSMS
RECORDS
(a) A duplicate of each written proposal for the
control ot' wood-destroNinu oruanisms and waiver
(_if applicable) shall be kept by the licensee for a
minimum of six months from the date executed
bv the licensee or his authony.cd at;ent.
(b) (^ A duplicate of each wntten agreement
and wai\'er (if applicable), including wood
diJt:itroying inaect roporta ef Vi ood de stroying
organinm reports, for the control and or pre-vention
of any wood-destroying organism shall
be kept by the hccnsee for a minimum of two
years beyond the expiration date of the written
agreement. The duplicate of each written agree-ment
shall contain, in addition to the information
specified under Rule .0605(a) or Rule .0605(d)
of this Section, the foUowiiig:
(1) HPA approved brand name of pesticide
used; and
(2) Information required by EPA.
(c) A duplicate of each wood-destroving insect
or wood-destro\ing organism report shall be kept
bv the licensee for a mmimum of two vears be-vond
the date of issuance.
(d) fb^ Non-commercial certified applicators
shall maintain the following records for two years
beyond the last date of treatment:
(1) EPA approved brand name of aU pesti-cides
used;
(2) Target pest;
(3) Site of application;
(4) Date of application; and
(5) Infonnation required by EPA.
Statutory Authority G.S. 106-65.29.
.0605 CONTRACTl AL AGREEMENTS FOR
VVOOD-DESTROMNG ORGANISMS
(a) All agreements for the control and or pre-vention
of wood-destroying organisms in existing
structures shall be in wnting A copy »f A# writ
teft agrooment aft4 Vi ais-jr ftf applicable) partain
iftg te- sai4 truatmL' nt( ';i ) shall be presented to aft4
fumi''hed tl+e property owner ef fe uuthon/ed
agent, fof acceptance , and shall clearl)' set forth
&f and include the following:
(1) Date property was inspected and full
name of the inspector:
(2) Exact location of property inspected
and/ or treated;
(3) Complete name and address of the prop-erty
owner or his authorized agent;
(4) Complete name and address of the
licensee;
(5) License number and phase(s) of the
licensee and fuU name of company
licensee represents;
(6) Signature of licensee or his authorized
agent;
(7) For existing structures, the written agree-ment
shall include a foundation diagram
of the structure(s) or portions of such
structure(s) inspected. The diagram shall
clearly indicate and make fuU disclosure
of the location of individual water sources,
any visual e\idence of wood-destroying
organism infestation, whether it be active
or inactive, and visibly damaged timbers;
(8) The date upon which the written agree-ment
is entered into and the period of
time covered by the written agreement;
(9) The written agreement must clearly indi-cate,
by complete not abbreviated com-mon
name(s), the wood-destroying
organism(s) to be controlled and/or pre-vented,
and covered under the written
agreement;
(10) \\Tiether or not reinspections are to be
made and, if so, approximate time interval
between, and renewal fees for same;
(11) Conditions under which retreatments wiU
be made;
(12) Total price to be charged for treatment
service, and for repairs or excavations,
where such are to be performed;
(13) The written agreement, waiver (if appli-cable)
and Wood- Destroying Insect Re-port
or Wood- Destroying Organism
Report, shall not show or include the ad-dress
and telephone number of any
licensee's representative or employee other
than the address and telephone number
of those specitied in Paile .0605 Subpara-graphs
(a)(3), (4), and (5) of this Section;
Rule;
(14) Any licensee or business entity advertis-ing
to be bonded shall advise each cus-tomer,
in writing, in the proposal, whether
or not the contract or written agreement
will be covered by a bond of any type;
( 1 5) If the performance of the work is guar-anteed
by a bond, the obhgation of the
bond shall set forth specifically such items
as necessary retreatments, timber replace-ments,
etc., in wording identical to that in
the bond itself:
(16) Rule .0501(a) of Section Mm this
Chapter shall also be followed.
1576 6:21 NORTH CAROLINA REGISTER Eebruary 3, 1992
PROPOSED RULES
(b) A structure or structures co\'cred by a con-tract
for wood-destroying organism{s) treatment
shall not knowingly be placed under an addi-tional
contract for the same treatment while the
first contract is still in effect.
(c) When periodic reinspections or retreatments
are specified in written agreements for the control
or prevention of wood-destroying organisms, the
licensee shall issue to the property owner or his
authorized agent, after each reinspcction or re-treatment,
a signed report of each rcinspection
or retreatment showing the condition of the
property with respect to the presence or absence
of wood-destroying organisms. A record of such
reinspections and retreatments shall be kept in
the file of the licensee. Such reports shall be
subject to inspection by the enforcement agency
or committee.
(d) All agreements for the trocitmont. e* control
and or prevention of i .ubtorranijim tormito', e*
other wood-destroying orguni j.m organisms in
buildings under construction shall be in wnting
A copy »f t4*e oxoculod written agroomont fxM^
tuining te •«+4 treat mL' nt(!i) f. hall l**» pre '.ontod t»
aft4 fumii'hed ^kt» property owner t»f fe author
h^ agent
,
fof acceptance, and shall clearly set
forth and include the following:
(1) Date of fmal treatment and period of time
covered by the written agreement;
(2) Exact location of the treated property;
(3) Complete name and address of the prop-erty
owner or his authorized agent;
(4) Complete name and address of the
licensee;
(5) License number and phase(s) of the
licensee and fuO name of company
licensee represents;
(6) Signature of bcensec or his authorized
agent;
(7) The written agreement must clearly indi-cate,
by complete not abbreviated com-mon
name(s), the wood-destroying
organism(s) to be controlled or prevented,
and covered under the written agreement;
(8) Whether or not reinspections are to be
made and if so, approximate time interval
between, and renewal fees, if any, for
same;
(9) Conditions under which retreatments wUl
be made;
(10) Total price to be charged for treatment
ser\'ice;
(11) Any licensee or business entity advertis-ing
to be bonded shall ad\ise each cus-tomer,
in writing, in the proposal, whether
or not the contract or written agreement
win be covered by a bond of any type;
(12) If the performance of the work is guar-anteed
by a bond, the obligation of the
bond shall set forth specifically such items
as necessary retreatments, timber replace-ments,
etc., in wording identical to that in
the bond itself;
(13) Rule .0604(a) of this Section shall also
be followed.
(e) If the licensee provides preventive
treatmcnt(s) for subterranean tennites to a
structure(s) for someone such as a builder or
construction company who is constructing the
buLlding(s) for someone else or with the purpose
of offering the building(s) for sale, the licensee
may enter into a single master agreement with the
builder to provide the preventive treatment(s) for
subterranean termites. This single master agree-ment
shall include the following:
(1) Complete name and address of the
builder, or his authorized agent;
(2) That information required in RuIog .0605
Subparagraphs (d)(4), (5), (6), (7), (8), (9),
(10), (11), (12), and (13) of this Section.
Rule.
(f) When a structure is treated under an agree-ment
with a builder, the licensee shall:
(1) Following completion of the treatment,
and upon notification by the builder or
buyer, issue a written agreement to the
initial buyer. The written agreement is-sued
to the buyer shall include the fol-lowing;
(A) Complete name and address of the
buUder, or his authorized agent as it ap-pears
on the builder's agreement;
(B) That information required in Rule'
, .
Mf^ Subparagraphs (d)(1), (2), (3), (4),
(5), (6), (7), (8), (9), and ( 1 1) of this See-tion.
Rule. The buUder shall be issued
a copy of any written agreement issued the
buyer.
(2) Maintain a record of each treatment per-formed
on each structure to include the
following information:
(A) L-.xact location of the stmcture treated;
(B) Date each treatment was performed;
(C) The portion(s) of the structure treated.
Statuton Authority G.S. 106-65.29.
SECTION .0900 - DUTIES .\ND RESPONSIBILITIES OF LICENSEE
.0902 UN ANCIAL RESPONSIBILITY
6:21 NORTH CAROLINA REGISTER Eebiiiaiy 3, 1992 1577
PROPOSED RULES
(a) Structural pest control licensees shall obtain and maintain financial responsibility by general li-ability
insurance with operations in progress and completed operations included and minimum limits
equal to or greater than the minimum limits outlined in Rule .0W2 Paragraph (b) of this Section. Rule.
Any hcensee subcontracting work shall also obtain owner's and contractor s protective insurance.
(b) .Minimum limits:
(1) Single limit:
PropcrtN Damaae $100,000 Each Occurrence
Bodilv injur.' " $300,000 Each Occurrence
(2) Combined limit: $400,000 Each Occurrence
(c) Each applicant for a license in any phase of structural pest control shall show evidence of his fi-nancial
abilit\ to properly indemnify persons suffermg from the use or appUcation of pesticides in the
form of a Certificate of Insurance, completed by the insurance company with the licensee as the named
insured and with the Division named as a certificate holder.
(d) 1 he Certificate of Insurance shall clearly set forth the type of coverage, limits of liability, and any
exclusions of the policy and shall ha\e attached a copy ef cither ondorvL'inont G4- 04 4-^ »f GG 04- %Q-Bf
other LUibL'Oquent 'iV' ^uicidL' ef I iL-rbicidc j\pplioator Coverage" endor'.cmont approved h^ tfe^ North
Carolina Department ef Inouranco '
ishich provider fof pollution aH4 contamination coverage, an
endorsement which indicates that the policv pro\'ides coverage for any pollution and or contamination
occumng as a rc^ult of the use or application of anv pesticide bv the name insured or anv employee
of the named insured.
(e) The license applicant shall be responsible for the submission of the Certificate of Insurance to the
Division as specified in Rule .0002 Paragraphs (c) and (d) of this Section. Rule. No license shall be
issued, re-issued, or renewed unless or until said Certificate of Insurance is received by the Di\ision.
(f) The insurance policy(s) shall be with companies licensed, or otherwise approved to do business
in North Carolina, by the NC Department of Insurance. The insurance policy shall be in full force and
effect during the entire period co\ered by the license certificate. The license shall expire at expiration
or upon reduction of the policies below minimum requirements or cancellation thereof Such expired
hcense shall only be reinstated upon satisfactor*' proof from the hcensee that he has obtained the re-quired
fmancial responsibility coverage.
(g) ?4i<? licen^'ee rhall &w? at- least 44 days notice , h^ registered mail. t+* the Division a* a condition
pre c ede nt ^ Ae cancellation bv t4*t» insurer, matenal change t*f cancellation l*v ti^e msure d: and. tf such
condition i^ fte4- satisfied, any CLUicellation t+f attempted cancellation shall be null, '
i oid. aft4 evf we- elfect.
4ft addition. t4+e licensee shall gwe notice te- Ae Division ef afty reduction m- property damage &f bodily
injury coverage be lo'iv Ae- minimum limits. The insurance required bv this Rule shall include the fol-lowing
cancellation or polic\' modification clause: "Cancellation or anv matenal change m the policy
adversely aft'ccting the interest of the State of North Carolina m such insurance shall not be etfecti\e
until j^ da\s alter wntlen notification thereof to the North Carolina Structural Pest Control
Duision." E\idence of compliance shall be included on anv Certificate ot Insurance.
(h) No structural pest control license shall be issued to any person where there exists an outstanding
and unpaid fmal judgement against said person resulting from any civil suit arising out ot damages
suffered by a plaintiff as the resuU of a misuse of a pesticide by said person. rVny current and valid
stmctural pest control license shall become null and void ISO days following the imposition of a fmal
judgment awarding damages to any plaintiff resulting from a civil suit arising out ot losses suffered as
the result of a pesticide misuse by the holder of said license unless the final judgment is settled in fuU
within said ISO days.
(i) The Committee may accept other evidence of financial responsibility.
(j) Pv.ule .0902 Paragraphs (a) through (i) of this Rule shall not apply to any indi\idual holding an
inactive hcense as defined by Rule .0102(29) of this Chapter.
Slalutoty Authority G.S. 106-65.3'^.
SECTION .1000 - TIME FOR FHTNG licensee or certified applicator for a violation of
CO.MPL.VINTS Rule .0503. .11505 or .051)6 ot' tins Chapter after
two years from the act or omission that occurred
.1001 TIME FOR FILING COMPL.AIN'FS during the initial treatment or after the expuation
(ai No disciplinary action agamst a Hcensee. of thtT structural pest control contract, whichever
employee &f a lic ensee w ce rtifi ed applicator shall
jj ,he kriefr e.xcept O^rt vhA respect to discipli
be commenced against a licensee, employee of a f^^p^ action alleang a violation ef GrSr
L\S 6:21 yORTH CAROLLYA REGISTER Ecbviiary 5, 1992
PROPOSED RULES
106 65.3Ni(a)( ' 1). tfee action f.hall W commoncod
within twe- ycarr. from tb«» di 'icovepi
' hf i\rt%
CommittL't' trf tbe allogod facts conotitutLng tiw
fraud ef mioropropontation. latter.
(b) Fxcept as specified in Paragraph (a) of this
Rule, no disciplinary' action shall be commenced
against a licensee, employee of a licensee or cer- ISdB-i*^. If a subpoena is issued at the request
tificd apphcator after two years from the date of
the discoyery of the act or omission that consti-promptly
determine whether to grant or deny
intervention and shall so notify the petitioner and
all parties in wnting.
(c) The authority of the Committee to issue
or revoke subpoenas m preparation for, or in the
conduct of, contested cases is governed by G.S.
tutes a \iolation of these Rules or the .Structural
Pest Control Act.
of a party and not on the Committee's own mo-tion,
that partN shall hear the cost of service.
Statutory Authority G.S. 106-65.29.
SECTION .1200 - ,\DMIMSTR.\TIVE
HEARINGS: CONTESTED CASES
.1201 NOTICE OF HEARING; ANSWER
(a) The contents and manner of ser\'ice of no-tice
of heanng in contested case shall be as pre-scribed
in C3.S. 15nB-3S(b) and (c).
(b) An\ part\ who has been served with notice
of hearing may fde a wntten response as pre-scnbcd
m G.S. 15(JB-38(d).
Statutory Authority G.S. J 06-65.29; 150B-3S.
.1202 RIGHT TO HEARING
(a) Contested Cases. Disciplinary proceedings
to eniorce the provisions of the North Carolina
Structural Pest Control Law and 2 NCAC 34 are
deemed to be "contested cases" within the
meaning of G.S. 15IJB-2. and any person subject
to such proceedings shaU be given notice and the
opportumt\- to be heard.
(b) Summary Suspension. Nothing \sithin
Paragraph (a) of this Rule shall abndge the nght
of the Committee to summanlv suspend a h^
cense, a certitied applicator's card or a registered
technician s identiiication c:ird pnor to heanng
pursuant to G.S. 15()B-3(c).
Statutory' Authority G.S. 106-65.29; I50B-3S.
.1203 LOCATION OF HEARING
The location of the hearing in a contested case
shall be as prescribed m G.S. 150B-38(e|.
Statutory .Authority G.S. 106-65.29; I50B-38.
.1204 DISCO\ ERY; IN\ ENTION; SLBPOEN.\S
(a) Parties in a contested case may engage in
disco\er\' pursuant to the pro\ isions of the Rules
of Civil Procedure. G.S. 14-1.
(b) 1 he intervention of persons not initiaUv
parties to a contested case is go\emed by G.S.
15()B-3S(f). Petitions or motions to intervene
must be in wnting. The Committee shall
Statutory Authority G.S. 106-65.29; 150B-3S.
.1205 CONDI CT OF HEARING
(a) Hearings in contested cases shall be con-ducted
by a majoritN" of the Committee. The
Chairman shall serve as presiding otTicer unless
he is absent or disqualified, in which case the
Vice-chairman shall preside. 1 learings shall be
conducted as prescribed bv G S. 150B-40.
(b) Disqualification. An affidavit seeking dis-qualification
of any Committee member, if tiled
in good faith and in a timeh' manner. wiU be
ruled on bv the remaining members of the
Committee. An aftida\it is considered tunely if
it is tiled:
( 1
)
Pnor to the hearing; or
(2) As soon after the commencement of the
hearing as the atfiant becomes aware of
facts which ,gi\'e rise to his belief that a
Committee member should be disquali-fied.
(c) I-\idence. The admission of e\idence in a
hearing on a contested case shall be as prescribed
in G.S. 150B-41.
Statutory Authority G.S. 106-65.29; 150D-3S.
.1206 DECISION OF BOARD
(a) The form and content of the Committee's
decision in a contested case shall be prescribed
by G.S. 15(~B-42(a). and its decision shall be
served upon the parties m a manner consistent
with said statute.
(b) The official record of the hearing in a con-tested
case shall contain those items specitied in
G.S. 15()B-42ib).
Statutory .Authority G.S. 106-65.29; 150B-3S.
TITLE 4 - DKPAR IMENT OF ECONOMIC
AND COMML Nil V DE\ ELOP.MENT
J\ otice is hereby gi\-en in accordance with G.S.
150B-2I.2 that the .VC Dept. of Economic &
Community De\'e/opment, Dtiision of Communitv
Assistance intends to amend nde(s) cited as 4
.VC.-IC 19L .0103, .0401. .0403. .0404. .0407,
6:21 NORTH CAROLINA REGISTER February 3, 1992 1579
PROPOSED RULES
.0904, .1202. .1301 and to repeal rule(s) cited as
4 NCAC I9L .070 1 -.0702 and .0705.
1 he proposed effective dale of this action is May
J, 1992.
1 nstmctions on how to demand a public hearing:
Written requests for a Public Hearing must be
received by February 17, 1992. Written requests
should be sent to Bob Chandler, Director, Division
of Community Assistance. 1307 Glenwood Ave-nue,
Raleigh. NC 27605.
IXeason for Proposed Action: This proposed
action is necessary to enable the Division of Com-munity
Assistance to facilitate the implementation
of the Community Development Block Grant Pro-gram
in aid of which the Rules were adopted.
\^ omment Procedures: Oral or written com-ments
will be accepted until March 3. 1992.
Written comments should be sent to Bob
Chandler, Director, Division of Community As-sistance,
1307 Glenwood Avenue. Raleigh. \C
27605. Oral comments should be directed to Gail
Brock (9/9) 733-2850.
CFIAPTER 19 - Dl\ ISION OF COMMLMTY
ASSISTANCE
SUBCHAPTER I9L - NORTH CAROLINA
COMMLNITY DEVELOF'MENT BLOCK GRANT
PROGRAM
SECTION .0100 - GENERAL PROVISIONS
.0103 DEFINITIONS
(a) "Act" means Title I of the Housing and
Community Development Act of 1974, P. L.
93-383, as amended.
(b) "Applicant" means a local government
which makes application pursuant to the pro-visions
of this Subchapter.
(c) "CDBG" means the State-administered
Community Development Block Grant Pro-gram.
(d) "Chief Elected Official" of a local govern-ment
means either the elected mayor of a city or
the chairman of a county board of commission-ers.
(e) "Community Development Program"
means the annual program of projects and activ-ities
to be carried out by the appUcant with funds
provided under this Subchapter and other re-sources.
(f) "HUD" means the U.S. Department of
Housing and Urban Development.
(g) "Local Government" means any unit of
general city or county government in the State.
(h) Low-income families are those with a fam-ily
income of 50 percent or less of median-family
income. Moderate-income families are those
with a farruly income greater than 50 percent and
less than or equal to 80 percent of median-family
income. For purposes of such terms, the area
involved and median income shall be determined
in the same manner as provided for under the
Act.
(i) "Low- and Moderate- Income Persons"
means members of families whose incomes are
within the income limits of low- and moderate-income
families as defmed in Paragraph (h) of
this Rule.
(j) "Metropolitan Area" means a standard
metropohtan statistical area, as established by the
U.S. Office of .Management and Budget.
(k) ".Metropolitan City" means a city as de-fmed
by Section 102(a)(4) of the Act.
(1) "Department" means the North CaroUna
Department of Fconomic and Commuruty De-velopment.
(m) "Project" means one or more activities
addressing either:
(1) community revitaUzation needs, or
(2) economic development needs, or
(4) do'i olopmijnt planning noods, e*
(4) (3) development of aew aft4 innovative
approachoo te affordable housing for per-sons
of low- and moderate-income, or
fS^ (4| urgent needs of the applicant,
(n) "Recipient" means a local government that
has been awarded a Community Development
Block Grant and executed a Grant Agreement
with the Department.
(o) "Secretary" means the Secretary of De-partment
of Economic and Community Devel-opment
or his designee,
(p) "State" means the State of North Carolina.
(q) "Urban County" means a county as defmed
by Section 102(a)(6) of the Act.
Authority G.S. 143-323; 143B-10: 24 C.F.R.
570. 4S9.
SECTION .0400 - DISTRIBUTION OF FLNDS
.0401 GENERAL
(a) The Department shall designate specific
dates for submission of grant appHcations under
each category except for Urgent Needs. Urgent
Needs applications may be submitted at any
time, but other grant application submission
dates will be announced by the Department at
least 45 days before the date applications are due.
15S0 6:21 AORTH CAROLINA REGISTER February 3, 1992
PROPOSED RULES
(b) In cases where the Department makes a
procedural error in the application selection
process that, when corrected, would result in
awarding a score sufficient to warrant a grant
award, the Department may compensate that
applicant with a grant in the next funding cycle.
(c) Applicants can apply for funding under the
grant categories of Community RevitalLzation,
Economic Development, Dovolopmont Planning,
Housing Development, Interim Assistance, Ur-gent
Needs, and Community Investment for
Economic Opportunity. Applicants shall not
apply for Contingency funding. Contingency
awards will be made to eligible applicants in
Community Revitalization, Economic Develop-ment,
and Housing Development a«4 Develop
mont Planning categories.
Authority G.S. 143-323: I43B-I0; 24 C.F.R.
570.489.
.0403 SIZE AND USE OF GRANTS
MADE TO RECIPIENTS
(a) There is no minimum grant amount which
applicants may request or be awarded. Grant
awards made to any one recipient shall not ex-ceed
the following amount in each grant cate-gory:
Community Revitalization - si* hundred
thousand dollaro ( S6(in.000); - one million dollars
($1.001), 000): Economic Development - six hun-dred
thousand dollars ($600,000); Development
Planning - five thouL.and dollars ($5,000); Hous-ing
Development - two hundred fifty thousand
dollars ($250,000) or funds available; Urgent
Needs - Fieson hundred fifty thousand dollaro
($750,000); -_ SIX hundred thousand dollars
($600.000); Interim Assistance - seven hundred
fifty thousand dollars ($750,000) for projects
designated to be completed within 36 months
from the award date, and four million dollars
($4,000,000) for projects designated to be com-pleted
within 18 months from the award date;
Contingency - six hundred thousand dollars
($600,000); and Community Investment for
Economic Opportunity - seventy-five thousand
dollars ($75,(300). Applicants shaU not have a
project or combination of projects, under active
consideration for funding which exceeds se'. en
hundred fifty thousand dollars ($750,000) one
million three hundred thousand dollars
($1.300.000). except for Interim Assistance and
Urgent Needs projects,
(b) No local government may receive more
than a total of GCi en hundred fifty thousand tk»l-hf%
($750,000) one million three hundred thou-sand
dollars ($1.300.000) m CDBG funds in the
period that the state distributes its annual HUD
allocation of CDBG funds; except that local
governments may also receive up to oovon hun
dfe4 fifty thousand doUaro ($750,000) six hun-dred
thousand dollars ($600,000) for a project
that addresses Urgent Needs and up to four
million dollars ($4,000,000,) in Interim Assist-ance
funds in addition to other grants awarded
during the same time period.
(c) Community Revitalization applicants may
spend no more than 15 percent of their total
grant amount to fmance local option activities.
Eocal option activities are ehgible activities which
do not need to be directly related to proposed
projects; however, job creation activities are not
eligible local option activities. Local option ac-tivities
will not be competitively rated by the
Department, but may be limited to activities
specified by the Department in application
guideUnes and instructions; ho'ivever, each local
option project must show that:
(1) At least fifty-one percent of the CDBG
funds proposed for each activity wiU ben-efit
low- and moderate-income persons;
and
(2) CDBG funds proposed for each activity
win address the national objective of ben-efiting
low- and moderate-income per-sons,
or aid in the prevention or
elimination of slums or blight.
(d) Except fof Dcolopment Planning projects.
Applicants may budget and expend no more than
18 percent of the sum of funds requested and
program income for administration and planning
activities for each project. The Department may
review grant requests to determine the reason-ableness
and appropriateness of all proposed ad-ministrative
and planning costs.
Notwithstanding Rule .0910 of this Subchapter,
grantees may not increase their approved plan-ning
and administrative budgets without prior
Departmental approval.
(e) Applicants may spend CDBG funds in
those areas in which the applicant has the legal
authority to undertake project activities.
(f) Grants to specific recipients will be provided
in amounts commensurate with the size of the
applicant's program. In determining appropriate
grant amounts for each applicant, the Depart-ment
may consider an applicant's need, proposed
activities, aU proposed administrative and plan-ning
costs, and abihty to carry out the proposed
activities.
Authority G.S. 143-323; I43B-I0; 24 C.F.R.
570.4S9.
.0404 GR.\NT C.VTEGORY ALLOCATION
(a) Each program year funds will be reser\'ed
for each grant category'. Eunds awarded to local
6:2 1 NOR TH CAROLINA REGIS TER February 3, 1992 1581
PROPOSED RULES
governments will be reserved for each grant cate-gory
as follows: Up to five percent of the grant
will be awarded for Housing Development aft4
Do'i ulc^pmont Planning grants, ef which a max
imum trf i iixty th(m'
. .and dollar;
'
. (^60,000) mw
!*«» a^sarded fof Dci olopmont Plunnmg grant a.
In addition, up to five percent will be set aside for
Urgent Needs grants and Contingency awards
and up to twenty percent will be set aside for
Economic Development grants each year. The
remaining funds will be distributed by the Divi-sion
of Community Assistance to Community
Revitalization grant apphcations.
(b) Awards will be made for Interim Assistance
from funds available in the state's allocation in
accordance with Rule . 1 504 of this Subchapter.
(c) Up to one milhon dollars ($1,000,000) of
funds that are rocapturc recaptured from previous
CDBG grants by the state r.huU may be used to
make additional grants in the llousmg Develop-ment
category.
Authority G.S. / 43-323: 143B-I0; 24 C.F.R.
570.489; 24 C.F.R. 570.491.
.0407 GENER.M. .VF'PLICATION
REQIIKEMENTS
(a) Local governments arc required to submit
applications in a manner prescribed by the De-partment
in order to be considered for funding.
Selection of applications for funding wiU be
based primarily on information contained in the
application; thus applications must contain suffi-cient
information for the Department to rate
them against the selection criteria. All apphcants
are required to address their projects to one of
the foUowing grant categories: Community
Revitalization, Economic Dc\elopment, Devt'
l
opmunt Planning, Housing Development, In-terim
Assistance, Urgent Needs, or Commumty
Investment for Economic Opportunity. Apph-cants
may apply in more than one grant category,
apply for several projects in the same grant cate-gory,
and have more than one project approved,
providing the total grant apphcation and award
does not exceed the maximum limits described in
Paragraphs (a) and (b) of Rule .0403 of this Sec-tion.
Applicants shaU submit an application that
describes each project in detail.
(b) Apphcations must be received by Depart-mental
administrative offices in Raleigh before
5:00 p.m. on the submission date or sent by mail
and postmarked on the submission date.
(c) Applicants must provide citizens with ade-quate
opportunity for meaningful involvement in
the development of Community Development
Block Grant applications. The applicant shall
provide adequate information to citizens and
hold a pubhc hearing at the initial stage of the
plarming process. Pnor to the submission of the
application the apphcant must hold a second
public hearing. Specific citizen participation
guidelines are described further in Rule .1002 of
this Subchapter. If the Department is aware of
an apphcants failure to meet these citizen par-ticipation
requirements, the Department may not
rate the apphcation.
(d) The Department may submit all CDBG
applications and environmental review records
as required by the National Environmental Pol-icy
Act and the State Environmental Policy Act
to the State Clearinghouse of the Department of
Administration for review and comments. The
Department may require each applicant to sub-mit
a written description of how the apphcant
proposes to address each comment received from
the State Clearinghouse.
(e) The apphcant shall certify to the Depart-ment
that it will comply with all apphcable fed-eral
and state laws, regulations, rules and
Executive Orders. Copies of these federal and
state requirements are available for public in-spection
from the Division of Community As-sistance.
(f) Apphcants must comply with the Housing
and Community Development Act of 1974 as
amended, all applicable federal and state laws,
regulations, rules. Executive Orders and guide-lines
issued by the Department.
(g) Apphcation requirements described in this
Rule .0407 do not apply to Urgent Needs grants,
except for Paragraphs (a), (d). (f) and (g).
(h) Apphcations submitted for Economic De-velopment
projects under Section .1400 of this
Subchapter may be rated or funded for up to 90
days from the date of original submission. In
addition, for applications that met the require-ments
of .0407(c) and .1002 of this Subchapter
at the time of original apphcation submission and
in which the original project has not been
changed significantly, there shall be no additional
pubhc hearing requirements during the 90 days.
The Department shaU detcrmme whether signif-icant
changes have been made in a proposed
project.
(i) Apphcations for CDBG assistance under the
Economic Development category must be sub-mitted
with adec^uate e\idence that both public
hearings were held in accordance with Rule
.1002(b) of this Subchapter.
Authority G.S. 143-323: 143B-I0: 42 L'.S.C.A.
5304(a); 24 C.F.R. 570.489.
SECTION .0700 - DEVELOPMENT PLANNING
PROJECTS
1582 6:21 iXORTH CAROLINA REGISTER February 3, 1992
PROPOSED RULES
.0701 DEFINITION
DL"i L'lopmL'nt Planning grunts are provided te
ariL . i -jt le«ti govommL'nt'j te dovt'lop appropriato
Planning grants ohall tn* w«»4 ©ftiy te support
those udminiotrativo aH4 planning acti'iitioo tfeat-witt
rL' sult ift projocls that afe oligiblo fof CPDG
funding ift tl*e futurL*
.
Authoritv G.S. 143-323; I43B-I0; 42 U.S.C.A.
5301: 24 C.F.R. 570.489.
.0702 ELIGIBILITY REQLIREMENTS
f*^ Applications fof DuvoloprriL'nt Planning
funds must show Aa4 a project dovolopod aft4
fundod i» tfet» futuro as a rosult ©fa Dovolopmont
Planning grant v4H- pnmarily bL'OL' fit low aft4
modoratL' income persons. Applicants that- de
fiet- mijut tfe requirement vriii m»t- t*e rated »*
funded.
ffe4 i\ppLicants shall have tth* capacity te- a4-
minister a Community Do'i elopment Block
Grant program. 4-he Department may oxamino
tl*e folloviiing areas *« detennine performance :
f4-^ audit aft4 monitonng rindings ©«• pre'. i
ously funded Community Devolopmont
Block Grant programs, aftd Ae appU
ccmt's fiscal accountability a* demon
strated m other state e* federal programs
»f local govemment financial reports; aft4
(4f th<» fa4<* ©f expenditure ef funds aft4 a<5-
compHshments m previously funded
Community Development Block Grant
programs.
Applicants (4»t- sho'.v a k«?k- »f capacity wiii ftet-
K* rat ed ©f funded.
fef Appliccmts must certify t© tfee Department
Aat development planning funds received witt
result m a future CDBG application submitted
vii ithin ^ months ©f t4te dati* ©f t^ development
planning a
'
sard. I pon completion ©f a devel
opment planning proj ect, the Department may
detemiine Aat- a resulting CDRG application i«
»©<• feasible ©f appropriate. !« such case , tfee
Department may waise tke rec]uireinent fof a»
application » t4*e fift4 sentence ©f tte Section.
Authority G.S. 143-323: I43B-I0: 42 U.S.C.A.
5301: 24 C.F.R. 570.4S9.
.0705 SELECTION CRITERI.V
Development Planning proj ects vwii W evalu
ated against other Development Planning project
proposals. jVpplications wtli be evaluated aft4
rated based ©«• the proj ect design. Three meas
«fes wtH- l*e considered m evaluating project de-
&igft fof a maximum score ©f 44>ft-
(44 local commitment aft4 capacity;
(-3) development feasibility; aft4
f^ degree t© which the project treats oovoro
oommunity development noedo that have
ft©t previously been addressed.
Authority G.S. 143-323: 143B-10; 42 L.S.C.A.
5304(a)(1): 24 C.F.R. 570.489.
SECTION .0900 - GRANT ADMIMSTR.ATION
.0904 ESCROW ACCOUNTS
Recipients may draw down CDBG funds and
deposit them into an escrow account for private
property rehabditation in order to encourage the
participation of small and minority owned con-tracting
frrms. Recipients shall meet the re-quirements
of HUD implementing regulations
contained in 24 C' . F . R . 570. Escrow accounts
may he established when direct giants ©f loans
aw made t© owners ©f pnvale property fof the
purpose ©f property rehabdrtation. Cash with
drawals fof thk purpose must he made under the
foUo'ivmg terms;
(4-) 44*e recipient must execute a writt en grant
©f loan agreement with the owner e4 the
privat e property scheduled fof rehabilitation.
f34 Recipients shall comply with Chapt er t^^rV
©f the General Statutes ©f North Carolina,
entitled Tmsts aft4 Trustees. Under this
Chapter recipients afer among other things,
expreosly prolubited from maldng loans
from aft escrow ticcount t© another account.
f^ 44»e timing aft4 amount ©f a drawdown fof
deposit iftto aft escrow account w4th respect
t© aftv foaft ©f grant shall he subject t© the
following lunitations;
(a) Cash disbursements fo aa oscrovv account
must meet the timine requirements set
forth ift Paragraph fa^'©f R^^ 4W^
(h) 44*e deposit shall ft©t he made unless a
construction contract has been executed
hf the contractor selected t© 4© the reha
bUitation work, affo ah work aft4 dis-bursements
m payment ©f the contract afe
scheduled t© he completed within 4^
months ©f less from the date e4 the de-posit.
(e^ ¥he depos. it shall ft©t he made if it would
result ift a» amount m the escrow account
ift excess ©f disbursement needs fof Hf* t©
& months from the date ©f the depo '. it.
(4f 44ie drawdown ©f CDBG funds fof 4e-posit
iftt© aft escrow account shall ft©t
exceed the CDBG funded portion ©f the
construction costs ift the rehubililiition
contract, af^ shall ft©t mclude amounts
fof contingencies ©f administration.
6:21 NORTH CAROLINA REGISTER Febmmy 3, 1992 I5S3
PROPOSED RULES
(+)• Such L'ooro'iV accountr. may afce includo
c.upplL'mL' ntul fundr. noodud to complotg the
rohubilitution work 'juoh a* commitiriL'nts
from a- rL'L'ouni;'.od lending in iititution, e* »
grunt »f lomi from other t^edoral, Stuto. »f
local rohubilitation progrumfi »^ vveli ae cu'ih
providL'd l*y y*# borrower. 44*e escrow ae-count
-. hall fe>e ^'Oparatij aft4 diotinct from aH-other
account'j maintained hf A# block
grant recipient, aft4 be fof tfee 5*4* purpose
&i depo '.iting rehabilitation loan ef grant
funds pk» afty such supplemental funds.
(-H I' '
- 'Crow accounts may be established »» aft
individual ef master account basis. A mao
tef account shall provide fof adequate ae-counting
t4 each owner's equity.
(4) Interest income &fl- tl»e deposit '
ivhich i» Het
t© be applied te- payment trf tfee contractor
ef credited to the borrower ef a rehabili
tut ion loan under the tenns ef the le*» e*
grant agreement v^th the prope rty o'lvner,
shall be treated a^ program income ef^ the
block grant recipient.
Authoritv G.S. 143-323: 143B-I0; 159-7 through
159-38; 24 C.F.R. 570.494; 24 C.F.R. 570.496;
42 U.S.C.A.5304fb).(dJ.(e).
SECTION .1200 - COMINGENCV PROJECTS
.1202 ELIGIBII ITV REQL IREMENTS
Applicants must meet the respective eligibility
requirements (described in either Rule .0502,
.mO^ JmOr .1302, or .1402) that relate to the
type of project proposed by the applicant.
Authoritv G. S. 143-323: I43B-I0; 24 C.F.R.
570.489; 24 C.F.R. 570.496.
SECTION .1300 HOLSING DE\ELOPMENT
PROJECTS
.1301 DEFfNITION
Grants under this category' will demonstrate
Hew- aft4 innovati'i O approaches te- housing
problems &f de\'elop affordable housing oppor-tunities
for low- and moderate-income persons.
Authoritv G.S.
570.489.
TITLE 10
143-323; 143B-I0; 24 C.F.R.
DEPARTMENT OF HLM.W
RESOURCES
lyotice is hcrebv given in accordance with G.S.
I50B-2I.2 that^' the Social Sen-ices
Commission Division of Facilitv Services intends
to amend rule(sj cited as 10 .\CAC 3J .2801,
.3401, .3403, .34/6 and .34/8; /O NCAC 4/1
.0304, .0408, and .04/0; adopt rule(s) cited as 10
NCAC 4/1 .04/1; repeal nde(s) cited as /O
NCAC 3J .3405.
1 he proposed effective date of this action is June
/, /992.
1 he public hearing will be conducted at /0:00
a.m. on S/arch 4, /992 at the Disability Determi-nation
Building. Room / , 322 Chapanoke Road,
Raleigh. NC.
'
JXeason for Proposed .Action:
Rules in J^ NCAC 3J .2801, .340 1 , .3403, .3405,
.34 1 6 and .34 1
8
- To repeal an unnecessary rule
and amend others to reflect changes presented to
the Jail Standards Task Force.
Rule J_0 NCAC 411 .0304 - The amendment to this
rule removes a restriction on the sharing of infor-mation
when law enforcement agencies cooperate
with departments of social services in the conduct
of child protective sen'ices investigations. The
amendment to the nde makes it consistent with
current legislation.
Rules J^ NCAC 411 .0408. .0410 and .0411 - These
rules are being proposed Jor amendment and
adoption to strengthen t/ie initiati\-e regarding
community child protection teams mandated by
Executive Order n/42. The tides clarify expec-tations
for record keeping and confidentiality
which have been identified as problematic since the
formation of the teams. T/ie nde on minutes sets
forth the requirement that teams comply with G.S.
/32-/-9, Open .\/eetings.
Ccommeni Procedures: Comments may be pre-sented
in writing any time before or at the public
hearing or orally at the hearing. Time limits for
oral remarks may be imposed by the Commission
Chairman. Any person may request copies of this
nde by calling or writing to Donna Creech. Divi-sion
of Social Senices. 325 A . Salisbury Street,
Raleigh. \C 2''6//. 9/9.733-3055.
Fiscal \ote: Rules /O \CAC 3J .280/. .340/.
.3403, .3405, .34/6 and .34/8 affect the expendi-tures
or revenues of localfunds. .4 fiscal note was
submitted to the Fiscal Research Division on Jan-uary
8. /992, OSB.M on January 8. /992. .V.C.
League of Mimicipalities on January' 8. /992. and
N.C. .Association of Countv Commissioners on
Januaty 8. /992.
C11.\PTER 3 - FACILITV SER\ ICES
1584 6:21 NORTH CAROLINA REGISTER February 3, 1992
PROPOSED RULES
SL BCHAPTER 3J - THE OPERATION OF
LOCAL CONFINEMENT FACILITIES
SECTION .2800 - SUPERVISION
.2801 SUPERVISION
(a) Officers shall make supen'ision rounds and
directly observe each inmate in person at least
twice per hour on an irregular basis. The super-vision
rounds shall be documented. If remote
electronic monitoring is used to supplement
supervision, it shall not be substituted for super-vision
rounds and direct visual observation.
(b) Officers shall maintain voice »f vioual con
taet- with ail inmateo at aW timos, aft4 it shall be
through either direct oboepi ation »f by- means ei
electronic nuneiilanco. In addition to the super-vision
rounds required in Paragraphs (a) and (c)
of this Rule, each jail shall utilize one or both of
the following methods of supervision:
(1) Direct or remote two-way voice commu-nication
with all confinement units.
(2) Visual contact either through direct ob-ser\'
ation or bv means of electronic sur-veillance
with all confinement units.
(c) There shall be more frequent observation
of inmates who are assaultive, suicidal,
intoxicated, mentally iU or who have other spe-cial
needs or problems.
(d) Officers shall remain awake at all times.
(e) Officers shall not be assigned other duties
that would interfere with the continuous super-vision,
custody or control of inmates.
(f) Female officers shall be on duty when fe-male
inmates are confmed.
(g) The sheriff or the administrator of the re-gional
jail shall develop a contingency plan for
the supervision and control of inmates during an
emergency, and that plan shall provide for the
ready availability of extra personnel.
(h) Inmates shall not be allowed to supervise
or assume any control over other inmates.
Statutory Authority G.S. I53A-22I.
SECTION ..3400 - STANDARDS FOR NEW JAIL
DESIGN AND CONSTRUCTION
.3401 APPLICABILITY - CONSTRUCTION
(a) North Carolina State Building Code - Jails
must meet the requirements of the North
Carolina State Building Code in elTect at the time
of construction, additions, alterations or repairs.
(b) New Jails - The construction standards es-tabhshed
in Section .3400 shall apply to all jail
construction for which the final working
drawings have been approved by the Branch alter
the effective date of this Rule. The operational
standards in Sections .2300 through .3200 of this
Subchapter will affect design options and shall
be reviewed prior to submittal of working
drawings.
(c) Existing Jails - Existing jails shall continue
to be governed by the existing construction
standards which are now in Section .3700 and the
same standards shall apply to new jails which
have had fmal working drawings approved by the
Branch prior to the effective date of this Rule.
Existing jails or new jails which have had final
working drawings approved by the Branch prior
to the effective date of this Rule may choose to
comply with any of the new construction stand-ards
in Section .3400 as a substitute for existing
standards on the same subject in Section .3700.
(d) Additions - The construction standards es-tablished
in Section .3400 shall apply to any
construction that adds square footage to the
building and for which the fmal working
drawings are approved after the effective date of
this Rule.
(e) Alterations or Repairs - WTien alterations
or repairs are made to an existing jail building
which affect its structural strength, exits, fire
hazards, electrical systems, mechanical systems,
or sanitary conditions, such alterations or repairs
shall comply with the standards for new con-struction
established in Section .3400. Unaltered
portions of the building shall be required to
comply with the new construction standards in-dicated
in Section .3400 only under the circum-stances
specified in Paragraphs (f)-(h) of this
Rule.
(f) Extensive Armual Alterations or Repairs -
If within any 12 month period, alterations or
repairs costing in excess of 50 percent of the then
physical value of the building are made to an ex-isting
jaU, the entire jail shall conform to the
construction standards for new jails established
in Section .3400.
(g) Reconstruction After Damage - If an exist-ing
jail is damaged by fire or otherwise in excess
of 50 percent of the then physical value of the
building at the time of damage, the jail shall be
reconstructed in conformance with the con-struction
standards for new jails estabhshed in
Section .3400.
(h) Physical Value - For the purpose of this
Rule, the physical value of the jail building shall
be determined by the local building inspection
department.
Statutory Authority G.S. I53A-22I.
.3403 COMPLIANCE REVIEW AND
APPROVAL
6:21 NORTH CAROLINA REGISTER February 3, 1992 I5S5
PROPOSED RULES
(a) The governing body shall submit copies of
the following to the Branch before it begins con-struction
of a new jail and before it makes addi-tions
or alterations to an existing jail as defined
by the North Carolina State BuUding Code:
(1) three sets of schematic drawings and out-line
specifications;
(2) three sets of preliminary working drawings
or design de\'elopment drawings and out-line
specifications; and
(3) three sets of completed final working
drawings and specifications.
(b) Upon receipt of the drawings and specifi-cations
at each stage, the Branch shall send one
set each to the following for their review and ap-proval:
the Department of Insurance to insure
compliance with the North Carolina State
Building Code, and the Division of ['nviron-mental
Health in the Department of Environ-ment,
Health, and Natural Resources to insure
compliance with the rules governing sanitation
as codified in W N.C.A.C. ^-WAt Soction Mm
1 5A NCAC ISA. Section . 1 50(1 and which are
hereby adopted incorporated b\' reference purou
iiftt- te- G.S. 15(IB M(c). including subsequent
amendments and editions of the referenced ma-terials^
A copy of this matenal can be obtained
free of charge from the State Division of He:dth
Ser\ices. 1 nxironmental Health Section, Post
Olfice Box 27687. Raleigh, North C:aroIma
27(^1 1-7^S7. The Branch shall keep one set for
Its own review and approval to insure compliance
with the minimum standards for the operation
and construction of jails as contained in this
Subchapter. Review and comment on the
drawings and specii"ications at each stage shall be
made no later than 30 days after their receipt by
the Branch.
Staluton Authority G.S. 153.4-22/.
.3405 CENTR.\L CONTROL ST.\TION
te jail* AtK- ha>o <* central control station
.
Ae
station fi hull:
f44 t>e fi tratogically locatod a«4 equipped t€^
regulate aft«i monitor tfee niosenient ef tn-mutei
f ttftti o nicerLi: ^ have a cocurity ver.tibule a*- it^ entrance:
(44 have direct two ' '
.dy voice communication
with aH- confuienu' iit unito:
(rh ha'i e direct tvso '
.say voice communication
' vilh all- (^Ificei '' a* needed k+ mmnlain 'Uifety
aft4 security;
(^ ^ equipped v4tfe a release mechanism i»
open aH- confinement HHrt dooTLi ift aft
emergenc;. :
(4^ have a toilet aft4 sink.
Statutory .Authority G.S. I53A-22I.
.3416 SAFETY EQUIPMENT
In each jail the safety equipment, including in-tercoms,
fire extinguishers, smoke detectors, and
sprinkler heads, shall be tamper-resistant if nec-essar}"
for security. Two-way voice communi-cations
shall complv with Rule .2801 of this
Subchapter.
Statutory Authority G.S. I53A-22I
.
.3418 PLUMBING SYSTEMS
(a) Each jail shall have a plumbing system that
complies with the Commission for Health Ser-vices
ft«k» 44 N.C.A.C. WA Rules 1 5A NCAC
18A, Section . 1 500 and the North Carolina State
Plumbing Code, both of which are hereby
adopted incorporated by reference pursuant te
G.S. 1 5( I B 1 l(cj. including subsequent amend-ments
and editions of the referenced matenals.
A copy of J2A NCAC 18.\. Section 1500 can
be obtained free of charge from the state Division
of Health Services. I-n\ ironmental Health Sec-tion.
Post Office Box 27687. Raleitih, North ^ Carolina 27611-7687. A copy of the North
Carolina State Plumbmg Code (\'olume H of the
North Carolina State Building Code) can be ob-tamed
for twent\" dollars (t20.(IO) from the North
Carolma Department of Insurance. Post Office
Box 26387. Raleigh. North Carolina 27611.
(b) Each jeul shall have a hot water supply for
lavatories and showers designed to meet the usual
needs of the number of inmates confmed in the
jail.
(c) The master control valves for the plumbing
system shall be located outside the confinement
units and shall be accessible to officers during an
emergency.
Statutory Authority G.S. IS3A-22I.
CH.APTER 41 - CHILDREN'S SERMCES
SUBCH.APTER 411 - PROTECTS E SERVICES
SECTION .0300 - CHILD PROTECTH E
SERMCES: GENER.\L
.0304 RECEIMNG INFO: INITIATING PROMPT
IN \ESTIGA LIONS OF REPORIS
(a) The county director shall receive and initi-ate
an investigation on all reports of suspected
child abuse or neglect, including anonymous re-ports.
(b) The county director shall make a dihgent
effort to obtain the foOowing infonnation from
the person making the report:
15S6 6:21 NORTH CAROLINA REGISTER February 3, 1992
PROPOSED RULES
(1) the name and address of the parent,
guardian or caretaker and the name of the
alleged perpetrator;
(2) the name and actual or approximate age
of the child;
(3) the nature and extent of the alleged neglect
or abuse;
(4) the present whereabouts of the child if not
at the home address;
(5) other information that the reporter has
which might be helpful in establishing the
need for protective services;
(6) the name and address of the individual
making the report.
(c) When a county director receives a report
on suspected abuse and decides that a law
enforcement agency should be notified, the
county director shall provide the law enforcement
agency with the information obtained from the
person making the report as outlined in (b) of
this Rule, oxoopt the namo aft4 addrooo &f tb#
individual malcing tke raport.
(d) The county director shall promptly initiate
an investigation of suspected abuse or neglect and
in all cases shall initiate an investigation of sus-pected
abuse within 24 hours after receiving a
report and shall initiate an investigation of sus-pected
neglect within 72 hours after receiving a
report.
(e) The investigation shall include a visit with
the child and to the place where the child resides.
(f) When abuse or neglect is alleged to have
occurred in an institution, in addition to obtain-ing
information as described in (b) of this Rule,
the county director shall initiate the investigation
by contacting the individual who is administra-tively
responsible for on-site operation of the in-stitution
and solicit the cooperation of the
administration of the institution.
(g) The county director must have an internal
two level review, including at a minimum the
worker and the worker's supervisor, prior to
making a decision that information received does
not constitute a report of abuse or neglect.
(h) The county director must establish a proc-ess
by which the person providing this informa-tion
may obtain a review of the agency's decision
not to accept the information as a report of abuse
or neglect. The process shall include;
(1) informing the person providing the infor-mation
that the agency will not conduct
an investigation, the basis for that deci-sion,
and their right to and the procedures
for obtaining such a review; and
(2) designating the persons by whom and the
manner in which such reviews will be
conducted.
Statutory Authority G.S. 7A-543; 7A-544;
1438- 153.
SECTION .0400 - COMMLMTY CHILD
PROTECTION TEAMS
.0408 RECORDS
(e) Ne community child prot ection t eam
mombor wiH retain ef maintain any rooordo f^f-taining
\» indisidual chonto.
(^ (a) The county director shall maintain lists
of participants for each team meeting and
confidentiality statements signed by the team
members and any invited participants. Such re-cords
win be maintained according to the stand-ard
administrative record retention schedule.
{^ (b) Cases receiving child protective services
at the time of review shall have an entry in the
child's protective services record to indicate that
the case was reviewed by the team. Additional
entry in the record shall be at the discretion of the
Director of Social Services.
Statutory Authoritv G.S. 7A-544; 7A-675; 132-1;
132-3; I43B-153.
.0410 CONFIDENTIALITY
(a) The county director is authorized to share
with the community child protection team any
information available to him that is needed by
the team in the execution of their duties as de-fmed
by Rule .0402 of this Section.
(b) Each team member and invited participant
shall sign a statement indicating their under-standing
of and adherence to confidentiality re-quirements
including the possible civil or
criminal consequences of any breach of
confidentiahty. Rules regarding confidentiahty
shall apply to any personal tiles that are created
or maintained by any team member or invited
participant. This does not preclude any agency
representative from sharmg with his agency, on
a need to know basis, information acquired at a
community child protection team meeting re-garding
a current client or referred case.
(c) .Members of the team who have access to
client information and fail to comply with the
mles in this Section shall be denied access to
confidential information and subject to dismissal
from the team.
(d) Any invited participant who is given access
to client information during the team review and
fails to comply with the rules in this Section shall
be denied future participation in team reviews.
(e) The county director shall not share any in-formation
which discloses the identity of indi-viduals
who have reported suspected abuse or
6:21 NORTH CAROLINA REGISTER February 3, 1992 15S7
PROPOSED RULES
neglect to the county department of social ser-vices.
Statutory Authority G.S. 7A- 544; 7A-675;
IOSA-80; I43B-I53.
.0411 MINLTES
(a) I-\er\' community child protection team
shall keep minutes of all official meetings, ex-cluding
e\ecuti\'e sessions, in compliance with
the open meetini^s law. These minutes shall be
permanent public records and shall be main-tained
according to the standard administrative
record retention schedule.
(b) Infonnation regarding indi\idual clients
shall be discussed in e.\ecuti\c session. Any
minutes generated from any exccuti\e session
shall be sealed from public inspection.
Statutory Authority G.S. 132-1: 132-3; 132-6;
132-9; 143-31S.9-I2.
•k'k'k'k'k'k-k'k'k'k'k'k'k'k'k-k-k-k
Nootice is hereby gi\'en in accordance with G.S.
I50B-2I.2 that the Medical Care Commission
(Division of Facilitv Services) intends to adopt
rules cited as 10 \CAC 3L .0901 - .0907, .1001 -
.1007, ,1101 - .1111, .1201 - .1202. .1301 - .1303.
J40 J - .1402 and repeal ndes cited as 10 SCAC
3L .0111 - .0116, .0205 - .0210, .0305 - .0314,
,04/8 - .0421, .0504 - .0506. .0604 - .0605.
1 he proposed effective date of this action is July
I, 1992.
1 he public hearing will be conducted at 9:30
a.m. on March 13, 1992 at the Council Building,
Room 201, 701 Barbour Drive. Raleigh, ,VC
27603.
Rereason for Proposed Action: To adopt ndes for
licensure of home care agencies to become effec-ti\-
e July I, 1992 pursuant to House Bill 168.
Repeal of the Home Health rules is necessary be-cause
new home care licensure ndes will cover
home health agencies (refer to House Bill 168).
comment Procedures: Written comments
should be submitted to Jackie Sheppard, 701
Barbour Drive. Raleigh, \orlh Carolina 2^603 by
.March 12, 1992. Oral comments may be given at
(he hearing.
CH.APTER 3 - F.\CII.ITV SERVICES
SUBCHAPTER 3L - THE LICENSING OF
HOME C.\RE AGENCIES
SECTION .0100 - GENERAL
.0111 DEFINITIONS
Ti» following dofinilionfi wtU apply throughout
tfei* Subchaptor:
f44 "i\goncy director" moano t4*e poroon hav
tftg adminir.tratiii (? rij '.pon'. ibility fof A^ ©p-oration
(>f Ae home health agency.
f^ "Care plan' moanfj t4*e propociod muthod
developed i» writing t*y vrhich tbe agency
staff piano to pro'.'ide patient ease cenice s.
(4^ "Dopartmont" means tlw North Carolina
Dopartmont frf Human Rooourcoo.
f4) "Governing body" moans the poroon ef
group &f poroou 'f ha'i ing foil legal authority
afi4 ownor^.hip rer.pon'
- . ibility fe* the opera
tieft »f the home health agency.
(4^ "Homo hoalth aide" moanCf aft individual
whe rende rs as'
. .islanco tt* patients fof pef-sonal
6afeafi4 other duties a* spocifiod fo t4*e
f6) "Licensed practical nurse" means a person
duly licensed a« such . holding a curront fo
cense a* required by North Carolina statute.
f?) "Occupational therapist" means a person
duly licensed as such, holding a curront li-cense
as required h\- North Carolina statute.
fSi "Physical therapist" means a person 4«l¥
licensed a* such, holding a current license as
required by North Carolina statute.
fl| "Physician" means a person licensed as
such, holding a current license as required
for North Corohna statut e .
f+O^ "Plan »f treatment" means the written
orders »f a pliysicicui fof the home eafe »f
the physician's patient developed fo consul
tation with agency staff
fl4^ "Public agency" means aftv go'i emmental
Hfttt including fo+t wM- limited te^ the federal
go'i omment. the state, aftv subdivisions »f
the state, counties, »f municipalities.
f4-3^ "Registered nurse" means a person 4t4y
hcensed as such, holding a current license as
required for North Carolina statut e .
f444 "Social worker" means a person Vi ith a
masters degree from a school ef social work
approved for the Council »» Social \\'ork
F ducat ion who '» eligible fof certification hy
the North Carolina Certification Board fof
Social Work as a Ceilified Master Social
Worker.
f+4) "Speech pathologist" means a person >fofo
hcensed as such, holding a current license as
required l*y North Carolina statut e .
ffo) "Speech therap> " means prolessional
vices provided for a speech pathologist.
15SS 6:21 NORTH CAROLINA REGISTER Eebiuary 3, 1992
PROPOSED RULES
Statutoty Authority G.S. I3IE-I36(2): 13IE-I40. liconso.
ment at afty timo as a condition ef holding ouch
.0112 LICENSE
Homo health agoncion nhall be liocnnod j» as-cordance
with G.S. HIP 138. Public aaencioo
aft4 county aft4 district hualth dt'partmantf' shall
b# exempt from liconriuro aft4 liccnr.uro ruleri i»
accordance with th« provioiona ©f G.S.
13 IE 136(3).
Statutoty Authority G.S. I3IE-I40.
.0113 APPLICATION FOR AND ISSLANCE
OF LICENSE
fa) Aft application fef th» operation »f a homo
health aoency shall t»e ubmittod t© the depart
ment prior to a license being issued.
fl*| ¥he application shall include:
f4^ tjhe name aft4 address &f each person hav
iftg aft ownership intere st (directly m- m-directly)
ef ^ percent ©f more ef the homo
health agency;
(-3^ tfee name afi4 address &f each oflicor aft4
director ©f tfee corporation if the homo
health agency is organju^od as a corpo
ration; aftd
(4^ tfa» name aft4 address ef each partner ^ the
home health agency i* organLwd as a
partnership.
fe^ rve- nevf applicant shall be issued a license
untU representati'i es »t the department have
conducted aft inspection »f the home health
agency fof determination »f compliance with the
rules contained ift this Subchapter.
V *-* / 1 IIV.' UT-'J.^il 1 1 1H.TH JliLllI l"i;'LIC CT HV^Tl 1 ST^ ITT ^TtT.^1
home health agency annually. Fach license shall
e.xpire at- midnight »» the e xpiration date »» the
hcense afi4 is renewable upon application.
(e) The licenoo shall he posted i» a prominent
location accessible te- pubho view within the
premises.
(4^ The license shall he issued fof the premises
afi4 persons named i» the application aft4 shall
ftet he transferable. AW names »pi4 street a4-
dresses under which the agency operates shall
appear ©ft the license.
k^ Prior t© change ©f ovs'nership ©f the estub
lishment ©f a Hew home health auenc. . aU certif
icate ©f need requirements must he satisfied.
Statutory Authority G.S. I31E-140.
.0114 INSPECTIONS
(a^ Aftv home health agency licensed hv the
department shall he subject t© proper inspections
hy aft authorized representative ©f the depart
fh^ I'Vny organbiation subjoct t© licensure which
presents itsotf te tfee public as a home health
agency, which doos set hold a lioonso, aft4 is ©f
fftay he ift violation ©f -W NCAC ^ .0112 aft4
Gt^ 131E 138 shall he subjoct te proper ift-spections
at afty time by authori^^ed repreoen
tativoo ©f the department.
(«) Afty authorized repre sentative ©f the de-partmont
shall make his identity known t© the
porson ift charge prior t© inspection.
(4) Inspection ©f medical records shall be &af-
He4 ©Ht ift accordance with G.S. 131E Ml(b).
fe^ Aft inspection shall be considered proper
wheno'i or the purpose ©f the inspection is t© de-termine
whether the agency complies w4th the
provisions ©f this Subchapter ©f ' vhonever there
is reason t© believe that some condition e xists
which is ft©t ift accord with accepted pubhc
health standards aft4 practices.
Statutory Authority G.S. 131 E- 140.
.0115 COMPLIANCE WITH LAWS
fa} The home health agency shall he » com
pliunco with aU applicable state aR4 local laws,
rules aft4 regulations.
(b) Staff ©t tbe home health agency shall be
currently licensed ©f registered ift accordance
wtth applicable laws ©f the State ©f North
Carolina.
Statutory Authority G.S. I3IE-I40.
.0116 ADVERSE ACTION
The department may deny, suspend, rovoko,
recall e* amend a license ift accordance with (j.S.
13 Hi 139 fe* aftv home health awncv which sts-nificantly
foWs t© comply Vi ith tbe rules contained
ift this Subchapter ©f Vi hich fails t© implement
aft approved plan ©f correction fef deficiencies
cited by the department. A home health agency
H»y appeal »Pi^ adverse decision made by the
department concerning its license by making such
appeal ift accordance Vrith the Administrative
Procedure Act, G.S. 150i\ aft4 departmental
F©les 4^ NCAC 44» Sim et se^ As provided f©f
ift G.S. 1311' 112, the department ma;i' seek-injunctive
relief t© prevent a privat e agency from
establisliing ©f operating a home health agency
without a license.
Statutory' Authority G.S. 131E-140.
SECTION .0200 - ADMINISTRATION
.0205 AGENCY MANAGEMENT AND
SLPERMSION
6:21 NORTH CAROLINA REGISTER February 3, 1992 I5S9
PROPOSED RULES
f*+ -fhe go'i oming body ohall gstabliuh ^vritten
policiL' G go>L'ming aH af.pcctij ef agoncy opora
lion. iSuch policioo ahall fe»e asaUablo fof is-opoction
by the dupartmont.
(4*^ 4-^h» home ht' iilth agency 4K4i do'.ignato aft
individiiul to i.ent' a« agL'ncy director. -fh^
agoncy director shall have tfee authority aft4 bs-r.
ponf' ibility fof adminictrati'i' L' dirL'ction trf 4»
homo hoalth agoncy.
(-e+ 4-ht» homo hoalth agones •. hall d e'.ignato a:
physician tvf rogir.torod nurriO to 'lupoPi i 'jO profoo
oional actisitioo » pros'lduig homo hoalth oonicos
ift accordanoo Vi ith Ae orde rs trf ti*e phyr.ician
re-.pon^' ible f»f e«ft» »f Ae pationt aftd under a
plan e4' troatmont e;.tablif.hod by such physician.
(4| 1 hero shall be writton documentation ttet-spociilos
tb© rosponsibilitios aft4 authonty ef tbe
agency director aft4 professional supersi 'i or.
fe-^ tf eith e r fvf t4+e positions (4 agoncy director
»f prolossional supeniaor hocomes s'acant. At*
department sliaU bt^ notified ssithin ^ hours »
wnting f»f such vacancy along with tbe name &f
t4+e roplacomont. tf a'i 'ailablo.
fft- -t4*e agoncy director a«4 professional super
s isor may be tbe same indi'i idual.
fg-^ Xt4 homo health agency shall delegate k«
admmistrativo a«4 supoPi isopi
' functions to as-othor
agonc> 64^ organisation.
fb| 4-bt» homo health agency shall ha>o ^vritten
policioo vi' Kich identify tbe specific geographic
area ift which tbe agoncy provides sen. ices.
Whore iipplicablo. these geographic afe« policies
shall be con^ustent '
.vith tbe certificate e+" need Fe-stnctions
»» geographic area.
Statutory Authority G.S. J31E-/40.
.0206 FINANCIAL AND STATISTICAL
RKCOKDS
(a) Tbe home health agency sbali e stablish,
maintain aft4 make available fof inspection Fe-cords
t4 operating costs, amtual budgets aftd *i-tistical
records.
(4h -fte records shaU include at- a minimum:
hours i
is-orkod by a«4 salapi
' paid to agoncv efti-ployoes:
pationt census info nnat ion including
numbers (-4' referrals, admissions, discharges, pa-tient
diagnoses aft4 other stati 'i ticcd tiatrt as pe-quired
fof Ae operation »f tbe agoncy ef by tbe
department.
f«H Records shall be retained fr>f a period ef Bet-le^^
than frve ye ars.
(4+ When a home health agoncy operates a^ a
part ei' a health eafe lacility hcensed under Article
^ (4f ^ rf Gt^ l.^lb, tbe agency -^bwU niaintiiin
records t4 activities afi4 o.yponditures tbat- afe
separate aft4 identifiiiblo.
Statutory Authority G.S. I3IE-I40.
.0207 PERSONNEL
(«+ Written policies sbali be established aft4
implemented which control tbe exposure ef tbe
patient aft4 omployoos to porsono Vritfe
communicablo diseasos. Employoe health es-aminations
shall include tuberculosis screening
upon employment aft4 annually thereafter
througliout tbetf penod ei emplo'i mont.
(b) Written policioo sbaii be established afi4
implemented which include orientation aft4 ifi-sersico
education. Records eft tbe subjoot ef m-sonice
education m^ attendance shaU be
maintained by tbe agency aft4 rotained fef at- least
Bfte year.
(-e-)- J+*b descriptions fe* osopi' position shaU be
established m- wnting sshich include qualifica
tions aft4 speoifio re sponsibilities. Individuals
shall be assigned only to duties fof which tbey
afe trained rtft4 competent to periorm afttb when
applicable. tt+F sshich thoy afe properly hcensed.
f44 I'orsonnol records shall be established afi4
maintained fo+ oach employee which mclude ed-ucation:
tniining: previous e .\penence: venfica
to»ft ef liconso. when applicable: other
qualifications: annual performance o'. aluationo;
a«4 evidence oi hoalth screening.
Statutory .Authority G.S. 1 31 E- 140.
.0208 ADMSOR^ GROLP OK PROFESSIONAL
PERSONNEL
fa^ Aft advisory group t*f professional person
ftei including at- least efte phv' sician aft4 efte feg-ist
ered nurse aft4 appropnato ropresontati'. ea
from other professional disciplines shall:
(4-f review afi4 evaluate annually agoncy poll
eie* governing tfee scope ef senicos e^
ferod. admission aftd- discharge policioo,
medical supervision aft4 plan ef treat
mont. emergency care, clinical records,
personnel quahficationo aft4 program
evaluation;
(-3^ advise tbe agency eft professional issues:
(4) assist tbe agoncy m maintaining haioon
'
ivith other hoalth eafe providers ift tbe
community.
(-b4 Tbe group • hall meet at least quarterly.
MinutO'. ef adsisoPi group moetuigs shall be
maintained by tbe agency.
Statutory Authority G.S. I3IE-140.
.0209 EVALUATION
1590 6:21 .\ORTH CAROLINA REGISTER February 3, 1992
PROPOSED RULES
total operation nhall be carriod e+ri- at- loaot aft-nually
by^
(4-^ the advinory group ef professional pef-sonnel
doocribod i» Rule .0308 »f this
Subchaptor,
(5) agency staff aft4 consumoro, &f
(4) appropriato professional persons outside
t}«* agency ' vorlcing with consumers.
?4ie evaluation shall assure tbe appropriateness
aftd quality ef the agency's services with findings
used te- '
I'orify poUoy implementation, t» identify
problems, aft4 te- establish problem resolution
aft4 policy rosioion as necessary.
fb-^ The evaluation must consist e( em osorall
policy smd administration review. Statistical data
te be assessed shall include the foUosving as a
minimum:
f4-^ number ef patients receiving each service;
f3) number ef sisits by discipline;
f^ patient diagnosis;
f4) sources »f referrals;
(4) numbers and reasons fof nonacooptanco
(4-^ reasons fof discharge.
(©) Aft evaluation »f the agency's clinical te-cords
shall be carried »«t- at least quarterly by
appropriate health professionals representing the
scope »f the agency's program. The evaluation
chnical records te ensure that agency policies afe
followed i« providing sonices, both direct aftd
tTTTTTCT II I I 111 I 5-,^- 1 1 1V 1 1 1 , CTTTCr tTT CTTTTmrC TTTTTT mC <-! tlUll IT
ef seriico is satisfactor) aftd appropriate. The
re'i iow shall consist ef a representative sample »f
aH sopiices provided by the agency.
(4^ Documentation ef the evaluation shall ift-clude
the names »f persons curriing B+ft the
evaluation, the criteria aod methods used t© ae-complish
it7 aftd the action taken by the agency
as a result »f the findings.
Statutory Authority G.S. I3IE-I40.
.0210 HOSPICE CARE
ff a home health agency offers ef provides a
hospice program ef care , such ser< icos shall be m
compliance w4th ail provisions ef -W NCAC ¥f-
(Hospice licensing Rules), with the exception
©f rules requiring a separate hospice license.
Should the home health agency's hospice p*©-
gram be found » non compliance svith hospice
licensure rul e s »ft4 statutes, that shall be a vie-lation
el their homo health agency Uconso. Ad-verse
action shall be taken i» accordance with
Section .0100 ef this Subchapter aH4 injunctive
relief fsay be sought m accordance with North
Carolina General Statute 13 IE 206.
Statutory Authority G.S.
I3/E-203: I3IE-206.
I31E-20I: I31E-202;
SECTION .0300 - SCOPE OF SERVICES
.0305 SERVICE REQUIREMENTS
must provide at least »fte other therapeutic se*-
vico; ker physical, spoooh, &f occupational thor
apyy social work sonices, e* home health aide
sopiicos. The agency shall provide »f make af-rangoments
fof obtaining afty necessary medical
supplies, equipment ef prosthetic devices needed
by the patient at homo. The agency shall be Fe-quired
to provide , at least , on call skiUed nursing
senicos eft a 34 hour basis, se^^en days pef week.
Statutory Authority G.S. I3IE-140.
.0306 ACCEPTANCE OF PATIENTS
The home health agency shall implement aftd
follow written policies governing the acceptance
©f patients. Considerations relevant te- the ae-ceptanco
»f patients include :
fi) adequacy aft4 suitability ©f agency person
Hel aft4 resources t© prosido the services f%-
quirod by the patient;
(3) reasonable expectation that- the patient's
modical, nursing, aft4 social needs ©aft be
H*et adequately at home ;
(4) adequate physical facditiee i» the patient's
homo fof h» proper care ; aftd
(4) availability ©f family ©f substituto famdy
patient's care .
Statutory Authority G.S. I31E-I40.
.0307 NURSING SERVICES AND DUTIES
fa^ Nursing soriiceo shall be provided by ©f
under the supoPiision ©fa registered nurse a«4 ift
accordance w4th the North Carolina Nurse Prac
tke A«