j^PfN^Av^"-// y^i./(^^1j ^ I -i^, 'Av nMi s
The
NORTH CAROLINA
REGISTER
H JTITU
TION
IN THIS ISSUE
EXECUTIVE ORDERS
ADMINISTRATIVE ORDER
FINAL DECISION LETTERS
PROPOSED RULES
Administration
Certified Public Accountant
Cultural Resources
Human Resources
Insurance
Medical Examiners
FINAL RULES
RECPtVED
Correction NOV 1 1991
Revenue
C/IW LIbKARY
RRC OBJECTIONS
RULES INVALIDATED BY JUDICIAL DECISION
ISSUE DATE: OCTOBER 15, 1991
Volume 6 • Issue 14 • Pages 924-980
INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE
NORTH CAROLINA REGISTER
The North Carolina Register is published bi-monthly
and contains information relating to agency, executive,
legislative and judicial actions required by or affecting
Chapter 150B of the General Statutes. All proposed, ad-ministrative
rules and amendments filed under Chapter
150B 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 pro-
\'ided free of charge to each county in the state and to
\arious state officials and institutions. The North CaroHna
Register is available by yearly subscription at a cost of
one hundred and five dollars ($105.00) for 24 issues.
Requests for subscriptions to the North Carolina
Register should be directed to the Office of Ad-ministrative
Hearings, P. 0. Drawer 27447, Raleigh, N.
C. 27611-7447, Attn: Subscriptions.
ADOPTION, AMENDMENT, AND REPEAL OF
RULES
An 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; a statement of how
public comments may be submitted to the agency either
at the hearing or otherwise; the text of the proposed
rule or amendment; a reference to the Statutory
Authority for the action and the proposed effective date.
The Director of the Office of Administrative Hearings
has authority to publish a summary, rather than the
full text, of any amendment which is considered to be
too lengthy. In such case, the full text of the rule con-taining
the proposed amendment will be available for
public inspection at the Rules Division of the Office of
Administrative Hearings and at the office of the pro-mulgating
agency.
Unless a specific statute provides otherwise, at least
30 days must elapse following publication of the pro-posal
in the North Carolina Register heiore the agency
may conduct the required public hearing and take ac-tion
on the proposed adoption, amendment or repeal.
When final action is taken, the promulgating agency
must file any adopted or amended rule for approval by
the Administrative Rules Review Commission. Upon ap-proval
of ARRC, the adopted or amended rule must be
filed with the Office of Administrative Hearings. If it
differs substantially from the proposed form published
as part of the public notice, upon request by the agen-cy,
the adopted version will again be published in the
North Carolina Register.
A rule, or amended rule cannot become effective
earlier than the first day of the second calendar month
after the adoption is filed with the Office of Ad-ministrative
Hearings for publication in the NCAC.
Proposed action on rules may be withdrawn by the
promulgating agency at any time before final action is
taken by the agency.
TEMPORARY RULES
Under certain conditions of an emergency nature,
some agencies may issue temporary' rules. A temporary
rule becomes effective when adopted and remains in
effect for the period specified in the rule or 180 day:
whichever is less. An agency adopting a temporary rul
must begin normal rule-making procedures on the pe
manent rule at the same time the temporary rule
adopted.
NORTH CAROLINA ADMINISTRATIVE CODE
The North Carolina Administrative Code (NCAC)
a compilation and index of the administrative rules (
25 state agencies and 38 occupational licensing board
The NCAC comprises approximately 15,000 letter siz
single spaced pages of material of which approximat
ly 35% is changed annuallv. Compilation and public
tion of the NCAC is mandated by G.S. 150B-63(b).
The Code is divided into Titles and Chapters. Eac
state agency is assigned a separate title which is fu
ther broken down by chapters. Title 21 is designate
for occupational licensing boards.
The NCAC is available in two formats.
(1) Single pages may be obtained at a minimu
cost of two dollars and 50 cents ($2.50) for
pages or less, plus fifteen cents ($0.15) per eac
additional page.
(2) The full publication consists of 53 volume
totaling in excess of 15,000 pages. It is su
plemented monthly with replacement pages,
one year subscription to the full publication i
eluding supplements can be purchased f(
seven hundred and fifty dollars ($750.00). I
dividual volumes may also be purchased wi
supplement service. Renewal subscriptions f
supplements to the initial publication availab
Requests for pages of rules or volumes of the NC/
should be directed to the Office of Administrati
Hearings.
NOTE
The foregoing is a generalized statement of the pi
cedures to be followed. For specific statutory languaj
it is suggested that Articles 2 and 5 of Chapter 150B
the General Statutes be examined carefully.
CITATION TO THE NORTH CAROLINA
REGISTER
The North Carolina Register is cited by volume, issi
page number and date. 1:1 NCR 101-201, April 1, 19
refers to Volume 1, Issue 1, pages 101 through 201
the North Carolina Register issued on April 1, 198(
North Carolina Register. Published bi-monthly by the
Office of Administrative Hearings, P.O. Drawer 27447
Raleigh, North Carolina 27611-7447, pursuant to
Chapter 150B of the General Statutes. Subscriptions
one hundred and five dollars ($105.00) per year.
North Carolina Administrative Code. Published in
looseleaf notebooks with supplement ser\'ice by the
Office of Administrative Hearings, P.O. Drawer 27447,
Raleigh, North Carolina 27611-7447, pursuant to
Chapter 150B of the General Satutes. Subscriptions
seven hundred and fifty dollars ($750.00). Individual
volumes a\'ailable.
NORTH
CAROLINA
REGISTER
Office ofAdministrative Hearings
P. O. Drawer 27447
Raleigh, \C 27611-7447
(919) 733 - 2678
Julian Mann III,
Director
James R. Scarcclla Sr.,
Deputy Director
MoUy Masich,
Director APA Services
Staff:
Ruby Creech,
Publications Coordinator
Teresa Kilpatrick,
Editorial Assistant
Jean Shirley,
Editorial Assistant
ISSUE CONTEXTS
I. EXECLTrV E ORDERS
Executive Orders 151-152 924
II. AD.MIMSTRATrV E ORDER
Administrative Order 926
in. FINAL DECISION LETT ERS
Voting Rights Act 927
IV. PROPOSED RULES
Administration
State I'mployees Combined
Campaign 929
Cultural Resources
Archives and History 932
Human Resources
Medical Assistance 932
Insurance
Financial Evaluation Division .933
Licensing Boards
Certified Public Accountant
Examiners 935
Medical Examiners 935
V. FINAL RULES
Correction
Division of Prisons 938
Revenue
Departmental Rules 968
Intangibles Tax 969
License and Excise Tax 969
VI. RRC OBJECTIONS 971
VII. RULES EVTALIDATED BY
JUDICIAL DECISION 976
VIII. CUMULATrV E INDEX 978
NORTH CAROLINA RKGISTKR
Publication Schedule
(October 1991 - December 1992)
Issue Last Dav Last Day Earliest Earliest Last Day +
Date for for Date for Date for to Earliest
Filing Electronic Public Adoption Submit Effective
EiHng Hearing by
Agency
to
RRC
Date
+*++++++++++*+***4 N+*+*****+*++***++++++++++*+++**+*+**+++*** *+**++
10.01/91
10/15/91
11/01/91
11/15,91
12 02 91
1216/91
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
II 16 92
12,01/92
12/15/92
09 10,91
09/24,91
10/ 1 1/91
10/24,91
11/07,91
II '21/91
12/09,91
12 20 91
01/10,92
01 24 92
02 10 92
02 '24 92
03/1192
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'
1
1/92
08/25,92
09/10 92
09,24 92
10 12 92
10/23,92
11 06 92
11/24 92
09/1791
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 3192
08/18 92
09 01 92
09 17 92
10 0192
10.19 92
10/30 '92
11 13 92
12 01 92
10/31/91
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
10,3191
11/14.91
12/01/91
12/15/91
01/01/92
01 15,92
01/31,92
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
11,20,91
12 20'9I
1 2/20 '9
1
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
072092
08/20 92
08 20 92
09,'20 92
09/20 92
10
10'
II'
II
12
20,'92
20 92
20 92
20 92
20,92
12 20 92
01/20/93
01 20 '93
02/01/92
01/01/92
02/01/92
02,01/92
03/01/92
03 01/92
04,01,92
04,01,92
05 01,92
05 01/92
06 01,92
06,0192
07,01/92
07,01/92
08,01.92
08 01 92
09,01 92
09,01,92
10 01/92
10 01 92
11 01 92
II 01,92
12,01/92
12/01,92
oroi'93
01 01 93
02 01,93
02 01 '93
0301/93
03/01/93
* The "Earliest Effecti\'e Date" is computed assuming that the agency follows
the publication schedule above, that the Rules Rexiew Commission approves the
nde at the next-calendar month meeting after submission, and that RRC delivers
the rule to the Codifier of Rules fn-e (5) business days before the 1st of the next
calendar month.
EXECUTIVE ORDERS
EXECL TIVE ORDER NUMBER 151
GOVERNOR'S ADVISORY COMMISSION
ON MILITARY AFFAIRS
By the authority vested in me as Governor by
the Constitution and laws of North Carolina, IT
IS ORDERED:
Section 1. ESTABLISHMENT
The Governor's Advisory Commission on Mil-itary
Affairs is hereby re-estabHshed. It shall be
comprised of thirty (30) members. Fifteen (15)
members are to be appointed by the Governor
and serve for terms of two (2) years at the pleas-ure
of the Governor. In addition to the fifteen
(15) appointed members the following fifteen
(15) will be permanent members: The Lieuten-ant
Governor of North Carolina; the Chair-persons
of the Military Affairs Committees of the
North Carolina House of Representatives and
the North Carolina Senate; the Secretaries of the
Departments of Administration, Transportation,
Environment, Health and Natural Resources,
Crime Control and Public Safety, and Economic
and Community Development; the base
commanders of Fort Bragg, Camp Lejeune,
Cherry Point and the Elizabeth City Coast
Guard Air Station, the Wing Commanders of the
4th Tactical Fighter Wing and the 3 1 7th Tactical
Airlift Wing and the Adjutant General of the
North Carolina National Guard. The Go\emor
shall designate one of the members as Chair-person.
Section 2. MEETINGS
The Commission shall meet regularly at the call
of the Chairperson, the Governor, or the Secre-tary
of Crime Control and Public Safety.
Section 3. DUTIES
The Commission shall have the following du-ties:
(a) Provide a forum for the discussion of is-sues
concerning major military' installa-tions
in the State, active and retired
military personnel and their families.
(b) Formulate goals and objecti\es which en-hance
cooperation and understanding be-tween
the military components, the
communities, our congressional deleg-ation,
the general public, and State, fed-eral,
and local governments.
(c) Strengthen the State's role in securing de-fense
related business for North Carolina
businesses and in selling North Carolina
products to North Carohna military bases.
(d) Collect and study information related to
supporting and strengthening the military
presence within the State.
(e) Review proposed military affairs legis-lation.
(f) Advise the Governor on measures and ac-tivities
which would support and promote
defense installations and military families
within the State.
Section 4. ADMINISTRATION
Support staff for the Commission shall be pro-vided
by the Department of Crime Control and
Pubhc Safety. Members shall serve without
compensation but may receive reimbursement,
contingent upon the availability of funds, for
travel and subsistence in accordance with
N.C.G.S. 138-5, 138-6, and 120-3.1.
Section 1 EFFECTIVE DATE AND
EXPIRATION
The Order shall be effective immediately.
Done in the Capital City of Raleigh, North
Carolina, this the 1 1th day of September, 1991.
EXECUTIVE ORDER NUMBER 152
ESTABLISHING THE PERSIAN GULF WAR
MEMORIAL COMMISSION
WHEREAS, one-sixth (1/6) of the nearly
500,000 troops ser\'ing in the Persian Gulf War
were residents of, or stationed in, North
Carolina; and,
WHEREAS, a number of these servicemen and
servicewomen from North Carolina gave their
lives for their country during the Persian Gulf
War.
THEREFORE, by the authority vested in me
by the Constitution and laws of North Carolina,
IT IS ORDERED:
Section 1. ESTABLISHMENT
There is hereby established the Persian Gulf
War Memorial Commission. It shall be com-prised
of the following:
1. Two members of families who lost relatives
in the Persian Gulf to be appointed by the
Governor.
2. The base commanders of
(a) Fort Bragg,
(b) Camp Lejeune,
(c) United States Marine Corps Air Station
at Cherry Point,
(d) Seymour Johnson Air Force Base,
(e) Pope rVir Force Base,
6:14 NORTH CAROLINA REGISTER October 15, 1991 924
EXECUTIVE ORDERS
(f) The Coast Guard Station at Fort Macon,
(g) New River Aix Station, and
(h) Elizabeth City Coast Guard Air Station,
or theij designees.
North Carolina
elected bv the
the North Carolina
3. One member from the
N'eterans Council to be
Council.
4. One member from
\"eterans .Affairs Commission to be elected
by the Commission.
5. The Adjutant General of the North
CaroUna National Guard.
6. The Senior Commander of the United
States /Vrmy Reser\'e from North Carolina,
deployed to the Persian Gulf.
7. The Lt. Governor of North Carolina.
8. The Secretary of the North Carolina De-partment
of Administration.
9. The Secretap.' of the North Carolina De-partment
of Crime Control and PubHc
Safety.
10. The Director of the United States Depart-ment
of Veteran .Affairs Regional Office.
From among the membership the Governor
shaU appornt a Chairperson. The Commission
shall meet at the call of the Chairperson.
Section 2. PURPOSE
The purpose of the Commission is to select a
site for construction of a memorial, develop plans
for funding, select a design for the memorial, and
select a construction firm to construct the me-morial.
To this end the Commission shall es-tablish
itself as a nonprofit, Chapter 501c(3)
corporation for the purpose of receipt of and ex-penditure
of donated funds. At the completion
of each of the aforementioned the Chairperson
shall advise the Go\'emor of the Commission's
fmdrngs and results.
Section 3. ADMINISTRATION
.Administrative support for the Commission
shall be provided by the Department of Admin-istration's
Division of Veterans .-Affairs. There
shall be no per diem paid to members of the
Commission; however, necessary tra\'el and
subsistence allowance mav be paid in accordance
with N.C.G.S. 138-5, 138-6, and 120-3.1.
Section 4, EFFECTIVE D.ATE
This Order shall be effective immediately.
Done in the Capital City of Raleigh, North
Carolina, this the 1 1th day of September, 1991.
925 6:14 NORTH CAROLISA REGISTER October 15, 1991
ADMINISTRA TIVE ORDER
STATE OF NORTH CAROLCSA
Office of Administrative Hearings
ORDER
Pursuant to G.S. 7A-752, Julian Mann, III, Chief Administrative Law Judge of the Office of
Administrative Hearings, hereby duly designates Fred Gilbert Morrison, Jr., to ser\''e in the capacity
of Senior Administrative Law Judge with all the rights, duties and privileges as conferred in said
Section.
Witness may hand and seal this the 1st day of October, 1991.
s/Julian Mann, III
Chief Administrative Law Judge
6:14 NORTH CAROLINA REGISTER October 15, 1991 926
VOTING RIGHTS ACT FINAL DECISION LETTERS
[G.S. I20-30.9H, 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 J 965 be published in the North Carolina
Register. /
U.S. Department of Justice
Civil Rights Division
JRD:LLT:NT:gmh
DJ 166-012-3 Voting Section
91-2483 P.O. Box 66128
Washington, D.C. 20035-6128
September 13, 1991
Richard J. Rose, Esq.
Poyner & Spruill
P. O. Box 353
Rocky Mount, North Carolina 27802
Dear Mr. Rose:
This refers to six annexations (Ordmance Nos. 0-89-58, 0-90-17, 0-90-62, 0-90-63, 0-91-1, and
0-91-13); the designation of the annexed areas to election districts; and the delay in the 1991 municipal
election to May 1992 for the City of Rocky Mount in Edgecombe and Nash Counties, 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 July 15, 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 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 Attorney General
Civil Rights Division
By:
Gerald W. Jones
Chief Voting Section
927 6:14 NORTH CAROLINA REGISTER October 15, 1991
VOTING RIGHTS ACT FINAL DECISION LETTERS
U.S. Department of Justice
Civil Rights Division
JRD:LLT:TGL:mjnb
DJ 166-012-3 Voting Section
91-2735 P.O. Box 66128
Washington, D.C. 20035-6128
September 18, 1991
DeWitt F. McCarley, Esq.
City Attorney
P. O. Box 7207
Greenville, North Carolina 27835-7207
Dear Mr. McCarley:
This refers to the annexation [Ordinance No. 2327 (1991)] and the designation of the annexation
to an election district for the City of Greenville in Pitt County, North Carolina, submitted to the At-torney
General pursuant to Section 5 of the Voting Rights Act of 1965, as amended, 42 U.S.C. 1973c.
We received your submission on July 25, 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 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 Attorney General
Civil Rights Division
By:
Gerald W. Jones
Chief, Voting Section
6:14 NORTH CAROLINA REGISTER October 15, 1991 928
PROPOSED RULES
TITLE 1 DEPARTMENT OF
ADMIMSTRAIION
lyotice is hereby given in accordance with G.S.
150B-2I .2 that the Department of Administration
intends to amend rule(s) cited as I NCAC 35
.0103. .0202, .0301 - .0303, .0403.
1 he proposed effective date of this action is
February I, 1992.
1 he public hearing will be conducted at 10:00
a.m. on November 14, 1991 at Commission Room
5034, Department of Administration, 116 West
Jones Street. Raleigh, XC 27603-S003.
J\eason for Proposed Action: To amend rules
to provide for greater efficiency in the manage-ment
of the State's Employees Combined Cam-paign.
\^ omment Procedures: .Any interested person
may present hisjher comments either in writing
prior to or at the hearing or orally at the hearing.
Any person may request information, permission
to be heard or copies of the proposed regulations
by writing or calling David McCoy, Department
of Administration, 116 West Jones Street,
Raleigh. NC 27603-S003.
CHAPTER 35 - STATE EMPLOYEES
COMBINED CAMPAIGN
SECTION .0100 - PLKPOSE AND
ORGANIZATION
.0103 ORGANIZATION OF THE CAMPAIGN
The Campaign Organization is as follows:
(1) Ch;iir. F-ach year the Governor wtU may
appoint a State Combined Campaign Di-rector
from one of the E.\ecuti\e Cabinet or
University Administration agencies. TTie
Campaign Director or the Campaign Direc-tor
s designee will serve as chair of the
Campaign. The responsibilities of the Chair
include setting the dates and approving the
pubhshed materials for the Combined Cam-paign,
contracting for the Statewide Cam-paign
Manager, and serving as chair of the
S.E.C.C. advisory' committee.
(2) Statewide Combined Campaign Ad\isory^
Committee. This ongoing committee serves
as a central application point for all charita-ble
organizations applying to participate in
the S.E.C.C. »«4 . hcill dotL'nninL' 4 t-ht» c*f»-
plicant agonciiH' moot tb<* appro'. i.'d cnt e ria
\i^4^ m R«4e r0343 ef t4«* Chapter. The
Committee recommends overall policy for
the Campaign to the Governor, the Cam-paign
Director and necessary state agencies
and sets the criteria for participation by
charitable (organizations. The Committee
re\iews the recommendations made by the
Statewide Campaign .Manager and accepts
or rejects its recommendations. The Com-mittee
is composed of ten members ap-pointed
by the Campaign Director.
.Members of the Committee will initially
serve staggered terms of one, two, and three
calendar years determined by the Campaign
Director. As each member's term expires,
the replacement member will serve a three
calendar year appointment.
(3) Statewide Campaign Manager. Determines
if the applicant agencies meet the approved
criteria listed in Rule .0202 of this Chapter.
Serves as the financial administrator for the
Combined Campaign and as such is re-sponsible
for receivmg reports from the local
Combined Campaigns, for transmitting to
each local campaign its share of the state
emplovec^ pa\ToU deduction funds, and for
preparing an end of campaign report which
summarizes all fiscal campaign actnitv m-cludmg
local audits. The Statewide (Cam-paign
Manager is also responsible for the
pnnting and distribution of the pledge form,
campaign report fonn, and collection cinel-opes.
(4) (4^ Local Campaign Chair. The Governor,
if asked by the local charitable organizations
accepted in to the Combined Campaign, ¥r4U
may appoint a an area representative b+ from
either state government or the L'ni\'ersity h*
A«» a*ea to serve as the local chair. This
person will be responsible for forming a lo-cal
advisory committee for soluntocr
recruitment of volunteer state employees,
approval of local campaign literature, ap-proval,
afni the establishment of local goals
as needed, and the distnbution of any un-designated
funds made available for distrib-ution.
f4) Ma'.tLT j\ccount. Sen or. a*^ t+»t» financial
admini!. trutor f^f ih* Combined (jampaign.
i*ft4 a* such » ro 'jponr.iblo fof roocising »-
porta from t4«* local Combined Cximpiugnf.
;
fef trunt.mitting te each local campaign ite
oharo ef tk# f.tat e employeori payroll 4t»-
duction fundo: aftd fof preparing aft eft4 f4~
campaign report which r. unimarij'eL. all fiscal
campaign acti'i ity including local lUidit -.
.
i^ master account i* ake- responsible fe*
tl» printing aft4 distribution ei tbe pledge
929 6:14 NORTH CAROLINA REGISTER October 15, 1991
PROPOSED RULES
form, campaign R'port form, aft4 coUoction
en^'olopos.
(5) Local Campaign Manager. Once applica-tions
for acceptance into the campaign have
been recommended to the Committee by the
Statewide Campaign Manager, approved, a
list of all accepted organizations will he pre-pared
by the Stato>'i'ido Combinod Com
paign AdvirfOPr
f Committoo Statewide
Campaign Manager and distributed to all
applicants. The State Campaign Manager
will submit to the State Combined Cam-paign
Director the name of an agency to
serve as the local campaign manager. The
Campaign Director will approve or reject
the State Campaign .Manager's recommen-dation
and has the right to name the Local
Campaign .Manager. 44*& oraanizations wiU-decide
among thomnQlvoc which agonoy wiji
ooPi O a* tfee local campaign manager. Pef
Ae purpose &f deciding e«- tlw manager, Ae
accepted agencies wiU- be divided iftto three
groups, each »f ' '
i hich wiili have e«# vote.
¥be groups vrili h^
(a) Unitod Wayt
fb^ National Health: sif^
fe^ Independent i\genoies.
The local campaign manager is responsible
for the printing and distribution of campaign
literature, the collection of pledge reports
and en\elopes from the state agency volun-teers,
the development of campaign reports,
and the forwarding of one copy of each
payroll deduction pledge to the Statewide
Campaign Manager master account. 4ft ad-dition,
aft end of campaign report shall be
seft* te tl*e master account for inclusion in
the required fiscal reports.
Note: A contract between the state and the
Statewide Campaign Manager, and the state and
local manager, will be executed in order to de-velop
an acceptable audit trail. The contract
contracts will allow a reasonable charge for cam-paign
expenses to be claimed by the Statewide
Campaign Manager and the local manager. This
amount ><^ h% approved by the state. AU terms
and conditions of these contracts are subject to
re\iew and approval by the Campaign Director.
Statutoty Authority G.S. 1438-10; 143-3.3.
SECTION .0200 - ELIGIBLE ORGANIZATIONS
.0202 CRITERIA FOR ACCEPTANCE
Organizations must meet the following criteria
to be accepted as participants in the Combined
Campaign:
(1) The organization must be licensed to so-licit
funds in North CaroUna.
(2) Must be directed by an active Board of
Directors, which meets regularly and whose
members serve without compensation.
(3) Have tax exempt status for both the IRS
and N.C. tax purposes.
(4) Must prepare and make available to the
general public an annual financial report,
which vs certified by aft independent public
accountant, or IRS Form 990. An excep-tion
to this requirement is provided for any
organisation which has filed its Articles of
Incorporation with the Secretary' of State's
Office as of March \^ of the preceding year
of the current campaign.
(5) If fundraising and administrative expenses
are in excess of 25 percent of total revenue,
must demonstrate to the satisfaction of the
SECC that those expenses for this purpose
are reasonable under all the circumstances
of the case.
(6) Must certify that all publicity and promo-tional
activities are truthful and non-deceptive.
(7) Must agree to the confidentiality of the
contributor list, and must promise no unau-thorized
use of this list.
(8) Must permit no payments of commissions,
kickbacks, finders fees, percentages, bonuses,
or overrides for fundraising, and permit no
paid solicitations of the public.
(9) Must have a policy of non-discrimination
on the basis of race, color, religion, sex, age,
national origin or physical or mental hand-icap
for clients of the agency, employees of
the agency and members of the governing
board. Agencies which have been organized
along religious Lines, or which are organized
to serve persons of a particular sex or race
may be considered for eligibility if a bona
fide purpose for organizing along such lines
can be shown.
(10) Must pro\ide benefits or services within
the local community, meaning that employ-ees
in the solicitation area or their families
should be able to receive services from the
agency within a reasonable distance, or re-ceive
benefits from voluntary agencies. Ex-amples
of services are:
(a) research and education in the health and
welfare or education fields;
(b) family and child care services;
(c) protective services for children and adults;
(d) services for children and adults in foster
care;
(e) services related to the management and
mamtenance of the home;
6:14 NORTH CAROUNA REGISTER October 15, 1991 930
PROPOSED RULES
(f) day care scnices for adults and children;
(g) transportation sen.'ices, information refer-ral
and counseling sersices;
(h) the preparation and deliNcr." of meals;
(i) adoption ser\ices;
(j I emergency shelter care and relief ser%ices;
(k) safety services;
(1) neighborhood and community organiza-tion
services;
(mj recreation services;
(n) social adjustment and rehabilitation ser-
\ices;
(o) health support senices; or
(p) a combination of ser\'ices designed to meet
the needs of special groups such as the el-derly
or handicapped.
Ho\ve\'er, an international organization
which provides health and welfare services
overseas, whose acti\ities do not require a
local presence and which meet other eligi-bihty
criteria, may be accepted for partic-ipation
in the campaign.
Statutotj Authority G.S. 143-10: 143-3.3.
SECTION .0300 - .\PPI.IC\TION PROCESS .\ND
SCHEDLLE
.0301 SCHEDLLE
Complete applications must be submitted to the
State Campaign Committee by March 4- Febru-arv
j_5 annually to be Included m the fall cam-p.
ugn. Incomplete applications v4ii mav not be
considered by the Committee. The Chair wiU
forward all application materials to the Statewide
Campaigi Manager within three working days
after the closin'.: deadline. The Statewide Cam-paign
.Manager wiU report to tlie Committee its
recommendation on each application within
three weeks o\_ the closmg deadline. The Com-mittee
shall affirm or reiect the recommendation
bv the Statewide Campaign Manager and wiU
inform the Statewide Campaign Manager of its
decision.
tion under 150B-23 within iO 15 davs of notiti-cation
dispatch date rocoi'i ing notice of the
appeal determination. An appeal wiU not be al-lowed
to delay the start of the campaign.
Statutory! Authority G.S. 1438-10; 147-62.
.0303 FORM AND CONTENT OF
.\PPLIC.\TION
AH organizations seeking funding must submit
an application to the state campaign. The ap-plication
must include the State Emplo\ees
Combined Campaign Certificate ot^ Compliance.
Included in or attached to the Certificate of
Compliance must be:
(1) A letter from the Board of Directors indi-cating
interest.
(2) A complete description of services provided,
and the ser\ice area of the organization.
(3) The most recent audited fmancial statement
prepared bv a CPA. An exception to this
requirement is provided for anv organization
which has tiled its .-Vrticles of Incorporation
with the SecretaPv' States Office of
(4)
(5)
(6)
(7)
March _L of the preceding Near of the current
campaign, fof (4*e prt."> iou 'j
;
» L'ar. including
tbe moot recent audit.
A board statement of assurance of non-discrimination.
.A description of the origin, purpose and
structure of the organization.
A list of the current members of the Board,
including addresses.
A letter certifying compliance with the el-igibility
standards listed m Rule .0202 of this
Chapter including tax exempt status, licens-mg,
and showing the percentage of funds
expended in the categories of Program and
Service, Management and General (.Admin-istrative)
and Fundraising.
Statutory Authority G.S. 143B- 10; 143-3.3.
SECTION .0400 - GENERAL PRO\ ISIONS
Statutory Authority G.S. 143B-10: 143-3.3.
.0302 RESPONSE
.AH apphcants will be notified bv the Statewide
Campaign Manager of the ir accjptanco e* Fe-joction
the Committee s decision within 30 days
of the closing deadhne. An applicant who is
dissatisfied with the determination of its applica-tion
may file an appeal to the State .Advisory
Committee within 10 da\s of the notification
dispatch date. .An apphcant who is dissatisfied
w ith the appeal determination of the Committee
may commence a contested case by filing a peti-
.0403 PA^ ROLL DEDUCTION
Payment mav be made bv pavroU deduction,
cash, pledge, or personal check. If an employee
chooses to use the payroll deduction method of
contributing, he she must agree to having the
deduction continue for one year with equal
amounts being taken from each check (montlily
or biweekly depending on the payroU), All de-ductions
will start with the January payroll and
continue through December. If the emplo\"ee
discontinues employment, or actively chooses to
discontinue payment, the state will not be re-sponsible
for the collection of the unpaid pledge.
9n 6:14 SORTH CAROLINA REGISTER October 15, 1991
PROPOSED RULES
No deduction will be made for any period in
which the employee's net pay, after all legal and
pre\iously authorized deductions, is insufficient
to co\er the allotment. No adjustments will be
made in subsequent periods to make up for de-ductions
missed.
Stalnloty Authority G.S. I43B-I0; 143-3.3.
TITLE 7 - DKPAR IMENT OF CULTURAL
RESOURCES
iSotice i.% hereby given in accordance with G.S.
1508- 2 1. 2 that the Cultural Resources!Archives
and History intends to adopt rule(s) cited as 7
NCAC4P'.00l6.
1 he proposed effective date of this action is
February I, 1992.
(3) Materials may not be removed from the
offices of the Civil War Roster Branch.
Thhe public hearing will be conducted at 10:00
a.m. on November IS, 1991 at Room 305, Ar-clmes
and History, State Library Bldg., 109 E.
Jones Street, Raleigh.
Ixeason for Proposed Action: To provide for
public use of research fdes in the Civil War Roster
Branch and to implement a fee for photocopies of
these research materials.
C ommcnt Procedures: Written comments to
Dr. Wm. S. Price Jr.. 109 E. Jones Street.
Raleigh 27601-2807 by 5:00 p.m., Friday, No-vember
15. 1991.
CHAPTER 4 - DIMSION OF ARCIH\ ES AND
HISTORY
SUBCHAPTER 4P - HISTORICAL
PI BI.ICAIIONS SECnON
.0016 CI ML WAR ROSTER RESEARCH
FILES REGULATIONS
Regulations governing public use of the research
fdes in the othces of the ('nil War Roster Branch
are as follows:
( 1
)
Direct access to the service record materials
in the tiles of the (ri\il War Rosier Branch
shall be bv appointment only at reasonable
limes under the supcr\ision of the head of
the Civil War Rosier Branch.
(2) Direct access shall be granted i£ in the
judgment of the head a[ the Ci\il War Ros-ter
Branch, the research to be undertaken
cannot be duplicated in the search room of
the stale archnes.
(4) Photocopies will be made on an ^as you
wait" basis if the equipment and an operator
are available. The costs of such photocopies
shall be the same as those charged by the
state archives as contained in Subchapter
4.\1, Section .01 UP, Rule .011)5(8), cM this
Chapter.
Statutory Authority G.S.
121-6(a); l43B-62{ 1 )a..g.
I2I-4(4).(5).(I4):
TITLE 10 - DEPARTMENT OF HUM.AN
RESOURCES
I\ otice is hereby given in accordance with G.S.
150B-21.2 that the Department of Human
ResourcesI Division of Medical .4 ssislance intends
to amend rule(s) cited as 10 NCAC 26H .0504.
1 he proposed effect'n>e date of this action is
Febmary 1, 1992.
1 he public hearing will be conducted at 1:30
p.m. on November 14, 1991 at the North Carolina
Division of .Medical Assistance. 19S5 L'mstead
Drh'e. Room 297. Raleigh. North Carolina 27603.
I\eason for Proposed .Action: The Dhision now
has hospital lower le\'el skilled care and interme-diate
care payment rates available.
Coomment Procedures: Written comments con-cerning
this amendment must be submitted by:
November 14, 1991, to: Division of .Medical As-sistance,
19S5 Umstead Drive, Raleigh. N.C.
27603, ATTN.: Bill Hottel. APA Coordinator.
Oral comments may be presented at the hearing.
In addition, a fiscal impact statement is available
upon written request from the same address.
CHAPTER 26 - MEDICAL ASSISTANCE
SLBCHAPTER 2611 REIMBURSEMENT PLANS
SECTION .0500 - REIMBl RSEMENT FOR
SERMCES
.0504 INPATIENI HOSPITAL:
INAPPROPRIAIE LE\ EL OF CARE
(a) No 44ti* i .tulu agency may grant a maximum
ef threo administrative days will be granted to
arrange for discharge of a patient to a lower
le\'el-of-care. Willi piior approval bv tl» State
.Medicaid jNgency. 1 lowever. the hospital may be
reimbursed fof day;. » eKCLVi Cj ef y*** three rt4-
6:14 NORTH CAROLL\A REGLSTER October L\ 1 991 932
PROPOSED RULES
miniotrati'i L' days at the state-wide average rate
for tfee particular Ici ol of caro intermediate nurs-ing
care, skilled nursing care or \entilator-depcndcnt
nursing care needed in the event a
lo'iver lu'i ul ol caro bed in a Medicaid approved
health care institution is not available. The hos-pitd
must, however, make e\er\- effort to place
the recipient in an appropriate institution, ^'ithin
i}pte tliroij 4ȴ admini -.tratis e time aUowanco.
Prior appro \al bv the State Medicaid agency for
the lower lc\el of care is required m accordance
with ]n N( AC 26B .11 IPS and K) NCAC 26B
.(U14.
(b) This policy applies to:
(1) acute care hospitals;
(2) mental hospitals:
(3) speciality hospitals.
Authoriiv G.S. 10SA-25(b); 42 C.F.R. 447.253;
S.L. !9S5. c. 479, s. 86.
TITLE 1 1 - DEPARTMENT OF
INSL RANGE
l\otice is hereby given in accordance with G.S.
150B-21.2 that the S.C. Department of Insurance
intends to adopt ruleisl cited as 11 SC.-iC 1 IC
.0130.
Thhe proposed effcctix-e date of this action is
Fcbruai-v 1. 1992.'
1 nstructions on hmv to demand a public hearing
{must be requested in writing within 15 days of
notice): Submit in writing, by certified mail, re-turn
receipt requested, the request to William K.
Hale. Dcpt. of Insurance, P.O. Box 26387,
Raleigh. .\.C. 27611.
iXeason for Proposed .Action: The nde replaces
statutes that were inadvertently repealed she
montlis before the effecti\-e date of the statutes
that will replace the repealed statutes.
Coommenl Procedures: Written comments may
be sent to Ray .Martinez, P.O. Box 26387,
Raleigh. SC 2~'611. Anyone having questions
should call Rav Martinez'at (919) 733-2002, or
Ellen Sprenkeiat (919) 733-4529.
LLditor's Sote: This Rule was filed as a tempo-rary-
rule effecti\-e September 12. 1991 for a period
of'ISO day's to expire on .March 10. 1992.
CH.\PIKK 11 - UNANCIAL EV.ALL.\TION
DIMSION
SUBCHAPTER IIC - ANALYSIS AND
EXAMIN.\T10NS
SECTION .0100 - GENERAL PROVISIONS
.0130 CREDrr FOR REINSURANCE
(a] As used m this Rule and in G_S. 5S-7-30
and G.S. 58-7-32:
( 1) "Insurance risk" means an uncertaintv re-garding
the ultimate amount of anv claim
pa\ment (underwnting nsk) or an uncer-tainty
regarding the timing of such pa\-
ments (timing risk).
(2) 'insurer" includes an underwriting mem-
01
Hi
her of an insurance exchange.
'LiabUitN" includes all reserves.
"Reinsurance" means a transfer of insur-ance
nsk from a ceding insurer to an as-suming
insurer.
(5) "Same standards of soh encv" means, at a
minimum, the capital and surplus re-quirements
applicable to a domestic
insurer transactmg the same lines of irv
surance or reinsurance.
(b) Credit for reinsurance shall be allowed a
domestic ceding insurer as either an asset or a
deduction from liability on account of reinsur-ance
ceded only when:
rhe reinsurance is ceded to an assuming
insurer that is hcensed to transact insur-ance
or reinsurance or otherwise accred-ited
as a reinsurer in this State: or licensed
in aX least one state that employs stand-ards
regarding credit for reinsurance sub-stantially
similar lo_ those applicable under
this Paragraph and the assuming insurer
conforms to the same standards of
solvency that would be required of the
insurer if it were hcensed in this State: or
(2) The reinsurance is ceded to an assuming
insurer that maintains a trust fund in a
Inited States bank or trust company for
the payment of the \alid claims of its
I nited States polic\'holdcrs and ceding
insurers and their assigns and successors
in interest. To enable the Commissioner
to detenninc the sufticiencv of the trust
fund, the assuming insurer shall annualh'
report to the Commissioner infonnation
substantially the same as that required to
be reported bv licensed insurers on the
National .Association of Insurance Com-missioners
annual statement fonn. In the
case of a single assuming insurer, the trust
shall consist of a trusteed account repres-enting
the assuming insurer s liabilities at-tnbutablc
to business wntten in the
I nited States and. in addition, shall in-clude
a trusteed surplus of not than
933 6:14 NORTH CAROLIN.A REGISTER October 15, 1991
PROPOSED RULES
twenty milUon dollars ($20.000,000). In
the case of a group of individual
unincorporated underwriters, the trust
shall consist of a trusteed account repres-enting
the group's liabilities attributable
to business written in the United States
and, in addition, shall include a trusteed
surplus of not less than one hundred
million dollars ($100.000.000); and tjie
group shall make available to the Com-missioner
an annual certification of the
solvency of each underwriter by the
group's domiciliary regulator and its inde-pendent
public accountants. This trust
shall be established in a form approved
by the Commissioner in a United States
bank or trust company that is a member
of the Federal Reserve System. The trust
instrument shall provide that contested
claims shall be \'alid and enforceable upon
the final order of any court of competent
jurisdiction in the United States. The
trust shall vest legal title to its assets in the
trustees of the trust for its l.'nited States
(4)
policyholders and ceding insurers and
their assigns and successors m interest.
The trust and the assuming insurer shall
be subject to examination as determined
by the Commissioner. I he trust de-scribed
in this Subparagraph must remain
in effect for as long as the assuming
insurer has outstanding obligations due
under the reinsurance agreements subject
to the trust. No later than I-ebruar\' 28
of each year the trustees of the trust shall
report to the Commissioner in wnting, set
forth the balance of the trust, and list the
tRist's investments at the preceding year's
end; and shall certify the date of termi-nation
of the trust, if so planned, or certify
that the trust shall not expire prior to the
following December 31; or
(3) The reinsurance is ceded to an assuming
insurer not meeting the requirements of
Subparagraphs (b)( 1) or (b)(2) of this
Rule, but only with respect to the insur-ance
of risks located in jurisdictions other
than the United States where such rein-surance
is required by applicable law or
regulation of that jurisdiction: and
The reinsurance is documented by a pol-icv,
certificate, treaty, or other fonn of
of his authority to assume reinsurance for
and on behalf of the assuming insurer.
The evidence shall consist of either an ac-ceptable
letter of authority executed by an
authorized officer of the assuming insurer
or a copy of the actual agency agreement
between the underwriting manager or
agent and the assuming insurer; and the
evidence shall be specific as to the classes
of business within the authority and as to
the term of the authority.
(c) If the assuming insurer is not licensed or
accredited to transact insurance or reinsurance in
this State, the credit permitted by Subparagraphs
(b)(1) and (b)(2) of this Rule shall not be allowed
unless the assuming insurer agrees in the reinsur-ance
agreements:
(1) That in the event of the failure of the as-suming
insurer to perform its obligations
under the terms of the reinsurance agree-ment,
the assuming insurer, at the request
of the ceding insurer, will submit to the
jurisdiction of any court of competent ju-risdiction
in any state of the United States,
will comply with all requirements neces-sary
to .give that court jurisdiction, and
will abide bv the final decision of that
court, or of any appellate court in the
event of an appeal; and
(2) "1 hat the assuming insurer will designate
the Commissioner as its true and lawful
attorney upon whom may be served any
lawful process in any action, suit, or pro-ceeding
instituted bv or on behalf of the
ceding company.
This Paragraph shall not conflict with the obli-gation
of parties to a reinsurance agreement to
arbitrate their disputes, if such an obligation is
created in the agreement.
(d) A reduction from liability for reinsurance
ceded to an assuming insurer that does not meet
the requirements of Paragraphs (a) through (c)
of this Rule shall be allowed in an amount that
does not exceed the liabilities carried by the ced-ing
insurer for funds held bv or on behalf of the
cedmg insurer, including funds held in trust for
the ceding insurer, under a reinsurance contract
with the assuming insurer as security for the
payment of obligations under the contract, if that
security is held in the United States subject to
withdrawal solely by, and under the exclusi\e
agreement that is properly executed by an control of the ceding insurer; and, in the case of
authorized officer of the assuming iasurer.
In the e\ent that the reinsurance is ceded
through an underwriting manager or
agent, the manager or agent shall pro\ide
to the domestic ceding insurer evidence
a trust, held in a United States bank or trust
company that is a member of the Federal Re-sen'e
System. "I his secunty may be in the form
of
Q} Cash;
6:14 NORTH CAROLINA REGISTER October 15, 1991 934
PROPOSED RULES
(2) Securities that are listed by the Securities
\aluation OtTicc of the National Associ-ation
of Insurance Commissioners and
that are qualified as admitted assets;
(3) ("lean. irre\ocable, unconditional letters
of credit, issued or confirmed bv a bank
or trust companx that is a member of the
{ ederal Reser\e System: or
(4) .\n\' other form ot secunty that is accept-able
to the Commissioner.
(e) A foreign or alien insurance company may
be admitted and authorized to do business when
it satisfies the Commissioner that it is m sub-stantial
compliance with the pro\isions of this
Rule. G.S. 5S-7-31). and G.S. 58-7-32.
Statulory Auihoniy G.S. 5S-2-40{ Ij; 5S-7-I.
TITLE 21 - OCCl PATIONAL LICENSING
BOARDS
Nootice is hereby given in accordance with G.S.
150B-21.2 that the \.C. Stale Board of Certified
Public .-iccountant Examiners intends to amend
ruk(s) cited as 2/ .\CAC 8G .0306; and adopt
ruleis) died as 21 SC.-iC SG .03/3.
Thhe proposed effective dale of this action is
.March I, 1992.
Thhe public hearing will be conducted at 10:00
a.m. on December 16, 1991 at the \.C. State
Board of CP.4 Examiners, 1 10 J Oberlin Road.
Suite 104, Raleigh, SC 2"605.
IXeason for Proposed Action: The Board was
requested by licensees for amendment to the rules.
K^ ommenl Procedures: Any person interested in
these rules may present oral comments relevant to
the action proposed at the public rule-making
hearing or deliver written comments to the Board
office not later than 5:00 p.m., Monday, Decem-ber
2, 1991. .4 nyone planning to attend the hear-ing
should notify the Board office by 5:00 p.m. on
.Monday, December 2, 1991. whether they wish to
speak on the proposals and whether they will
speak in favor or against them. Anyone speaking
on the proposals will be limited to 10 minutes.
Editors .\oie: 21 .\CAC SG .0313 has been
filed as a temporaiy adoption effective September
25. 1991 for a period of ISO days to expire on
March 22, 1992.
CFIAPTER 8 - BO.\RD OF CERTIFIED PUBLIC
ACCOLNTANT EXAMINERS
SLBCHAPTER 8G - PROFESSIONAL ETHICS
AND CONDUCT
SECTION .0300 - OTHER RESPONSIBILITIES
.0306 FIRM NAME OR STYLE OF A
PRACTICE
Any person, partnership, professional corpo-ration
or professional association engaged in the
practice of public accountancy (as defined in 21
NCAC 8A .0307 and .0308), other than existing
firms practicing in the name of current or former
partners or shareholders, must use the uords
"Certified Pubhc Accountant(s)" or "CPA(s)"
as part of or with their firm name. Use by a
CPA practicing public accountancy by himself
of any name other than his own name, or use by
a partnership, a professional corporation or a
professional association engaged in the practice
of public accountancy of any name other than
the names of one or more of its current or former
partners or shareholders, must be approyed in
advance by the Board.
Statutory .Authority G.S. 55B-5; 93-12(9).
.0313 FIRM NAME
Notwithstanding any other provisions of these
Rules, any existing firm practicing m the name
of current or former p^irtners or shareholders is
not required to use the words "Certified Public
-\ccountant(s)" or "CF'.\(s)" as part of or with
its firm name.
Statutory Authority G.S. 55B-5; 93-12(9).
'k'k-k'k'k'k-k-k'k'k'k'k-k-k'k-k'k-k
ly Otice is hereby gi\en in accordance with G.S.
150B-21.2 that the Board of Medical Examiners
of the State of S'orih Carolina intends to amend
rule(si cited as 21 \CAC 32B .0101, .0305, .0314
- .0315.
1 he proposed effective date of this action is
February 1, 1992.'
1 he public hearing will be conducted at 8:00
a.m. on Sovember 14. 1991 at the Embassy Suites
Hotel. 4700 Creedmoor Road. Raleigh. S.C.
JXeason for Proposed .Action: Rule .0101 - De-finition
is added to define a term included in
amendments to titles within Subchapter 32B. Rule
.0305 - To provide other avenues for licensure.
935 6:14 SORTH CAROLIS.A REGISTER October 15, 1991
PROPOSED RULES
Rule .0314 - To reflect amendment to Rule .0305.
Rule .03/5 - Allow the Board discretion in ac-cepting
continuing medical education as a quali-fication
for licensure.
(^ omment Procedures: Persons interested may
present oral statements relevant to the actions
proposed at a hearing to be held as indicated
above. Written statements not presented at the
hearing should be directed to the following ad-dress:
Administrative Procedures, NC Board of
Medical Examiners. P.O. Box 26808, Raleigh,
NC 27611-6808.
CHAPTER 32 - BOARD OF MEDICAL
EXAMINERS
SLBCHAPTER 32B - LICENSE TO PRACTICE
MEDICINE
SECTION .0100 - GENERAL
.0101 DEFINITIONS
The following definitions apply to Rules within
this Subchapter:
(1) ACGME - Accreditation Council for
Graduate Medical Education.
(2) AOA - American Osteopathic Association.
(3) Board - Board of .Medical Examiners of the
State of North Carolina.
(4) ECP'.MG - Educational Commission for
Foreign Medical Graduates.
(5) Fifth Pathway - an avenue for licensure as
defmcd in the Directory of Accredited Resi-dencies
1977-1978, /Vmcrican .Medical Asso-ciation,
pp. 30-32. The Directory is adopted
by reference under G.S. 1 SOB- 14(b).
(6) FLEX - Federation Licensing Examina-tion.
(7) LC.ME - Liaison Commission on Medical
Education.
(8) SPEX - Special Purpose Examination.
(9) A.MA Physician's Recognition Award -
A.MA recognition of achievement by physi-cians
who have voluntarily completed pro-grams
of continuing medical education.
(10) .American Specialty Boards - specialty
boards approved by the American Board of
.Medical Specialties.
Statutory! Authority G.S. 90-6.
SECTION .0300 - LICENSE BY ENDORSEMENT
.0305 EXAMINATION BASIS FOR
ENDORSEMENT
(a) To be eligible for license by endorsement
of credentials, graduates of medical schools ap-proved
by the LCME or AOA must supply cer-tification
of passing scores on one of the
following written examinations:
(1) National Board of Medical Examiners;
FLEX - under R«te M4i Rule .0314 of
this Section;
(2)
(3) Written examination other than FLEX
from the state board which issued the or-iginal
license by written examination; or
(4) National Board of Osteopathic Examiners,
aU parts taken after January J^ 1990.
(b) Graduates of medical schools not approved
by LC.ME or AOA must supply certification of
passing scores on one of the following written
examinations:
(1) FLEX - under forie J^Ui Rule .0314 of
tliis Section; aft4 or
(2) Written examination other than' FLEX
from the state board which issued the ap-plicant's
original license by written exam-ination
together with American Specialty
Board certification.
(c) A physician who has a valid and unre-stricted
license to practice medicine in another
state, based on a written examination testing
general medical knowledge, and who within the
past five years has become, and is at the time of
application, certified or recertified by an /Vmeri-can
Specialty Board, is eligible for license by
endorsement.
(d) Applicants for license by endorsement of
credentials with l" I EX scores that do not meet
the requirements of Rule .0314 of this Section
must meet the requirements of Paragraph (c) of
this Rule.
Statutory Authority G.S. 90-/0; 90-/3.
.0314 PASSING FLEX SCORE
Physicians who have boon liconsod i» another
fitato »» y«» basis ef a taken the FLEX exam-ination
may be eligible to apply for a license by
endorsement of credentials if they meet the fol-lowing
score requirements:
(1) FLEX taken before January I, 1983 - A
FLEX weighted average of 75 or more on a
single three day examination is required.
(2) FLEX taken after January I, 1983 - A
FLEX weighted average of 75 or more on a
single three day examination, with a score
not less than 70 on Day 1, a score not less
than 75 on Day 11, and a score not less than
75 on Day III, is required.
(3) FLEX taken after January 1, 1985:
(a) A score of at least 75 on FLEX Compo-nent
I and a score of at least 75 on FLEX
Component II is required.
(b) Components may be taken in tandem.
Any component that is failed may be re-
6:14 NORTH CAROLINA REGISTER October 15, 1991 9.U
PROPOSED RULES
(c)
taken; however, Component II may not
be taken alone unless the applicant has
passed Component I within the last se\'en
years.
Both components must be passed within
seven years of the date of taking the initial
examination.
Statutory Authority G.S. 90-6; 90-/0: 90-/3.
.0315 TEN YEAR QUALIFICATION
(a) To be eligible for license by endorsement
of credentials, an applicant who has not met one
of the following qualifications within the past ten
years of the date of the application to the Board,
must take the SPEX, or other examination as
determined by the Board, and attain a score of
at least 75:
(1) National Board of .Medical Examiners
certification;
(2) FLEX scores as required under Rule .0314
of this Section;
(3) SPEX score of at least 75;
(4) certification or re-certification from a spe-cialty
board recognized by the American
Board of Medical Specialties; or
(5) complotod completion of formal postgrad-uate
medical education as required under
Rule .0313 of this Section.
(4^ i\Mj\ Phycician's Rocognition Award.
(b) The SPEX requirement may be waived
upon receipt of a current AMA Physician's Re-cognition
Av\3rd.
(c) This requirement is in addition to all other
requirements for licensure and may be applied as
the Board deems appropriate.
Statutory Authority G.S. 90-//; 90-/3.
937 6:14 NORTH CAROLINA REGISTER October 15, 1991
FINAL RULES
/\. dopted rules filed by the Department of Revenue are published in this section. This department
is not subject to the provisions o/G.S. I50B, Article 2 requiring publication in the N.C. Register of
proposed rules.
Ejffective October /, 1991, the Departments of Con-ection and Revenue are subject to G.S. ISOB,
Article 2A. The rules appearing in this section were filled prior to October 1 , 1991 and are not subject
to the notice requirements.
LJpon request firom the adopting agency, the text ofi rules will be published in this section.
TITLE 5
DEPARTMENT OF CORRECTION
CHAPTER 2 - DIVISION OF PRISONS
SUBCHAPTER 2A - ORGANIZATION AND PERSONAL CONDUCT (REPEALED)
SECTION .0100 - ORGANIZATION OF THE DIVISION OF PRISONS
.0101 GENERAL
.0102 SECTION CHIEFS \MTH SPECIFIC MANAGEMENT FLECTIONS
.0103 SECTION CHIEFS WTFH AUTHORITY OVER FACILITIES
History Note: Statutory Authority G.S. I43B-10; 148-4; 148-11; 148-19; 148-22;
Efifi February /, 1976;
Repealed Eff November I, 1991.
SECTION .0200 - CONDUCT OF EMPLOYEES
.0201 GENERAL
.0202 CONDITIONS OF EMPLOYMENT
History- Note: Statutory Authority G.S. 14S-3; 148-11; 148-23;
Efifi February 1, 1976;
Amended Efifi July 1, 1987; May 1, 1987; August 1, 1983;
Repealed Efifi. November 1 , 1991
.
SECTION .0300 - APPEARANCE REGULATIONS
.0301 GENERAL
.0302 APPEARANCE
History Note: Statutorv Authority G.S. 143B-262; 148-11;
Efifi November 1, 1976;
Repealed Efifi. November 1 , 1991.
SECTION .0400 - EMPLOYEE PERFORMANCE APPRAISAL
.0401 GENERAL
.0402 PROCEDURES
Histoiy Note: Statutory .Authority G.S. I43B-261.1; 143B-36I.1;
Efifi December 12. 1977;
Repealed Efifi. November 1 , 1991
.
6:14 NORTH CAROLINA REGISTER October 15, 1991 938
FINAL RULES
SECTION .»>5(M) - CERTIFICATION REQUIREMENTS FOR EDUCATIONAL PERSONNEL
.0501 GENERAL
.0502 DEFINITIONS AND EMPLOYMENT STANDARDS
.0503 PROMSIONAL CERTIFICATION
.0504 CERTIFICATION AND CERTIFICATION RENEWAL
.0505 FAILURE TO MAINTAES CURRENT CERTIFICATION
.0506 CERTIFICATION RENEWAL PROCEDURE
.0507 IN-SERMCE TRAFSFSG FOR TEACHERS
.05(»8 SALARY SCHEDULES OF CERTIFICATED PERSONNEL
.0509 STATEMENT OF JOB DUTIES AND RESPONSIBILITIES
.0510 HIRFSC. PROCEDURES
History Note: Statutory Authoritv G.S. II5C-II0: II5C-295: II5C-296; II5C-297:
Eff. July I, I9S5;
Repealed Eff. November I, 1991.
SUBCHAPTER 2B INMATE CONDUCT RULES: DISCIPLESE
SECTION .0100 - GOOD TIME AND GAIN TIME
.0101 PURPOSE
(a) The General Statutes authorize the awarding of various sentence reduction credits to selected in-mates.
The awarding of such credits ser\'es as an incentive for inmates to be productive and act
responsibly. Effective and efticient allocation of good time and gain time awards is a critical element
for maintaining order, security, and appropriate management of the inmate population.
(b) Tliis policy establishes a method of computing sentence reduction credits in the form of Good
Time for satisfactory behavior. Gain Time for participation in work or program assignments, and
meritorious time for behavior or specific acts not normally required of an inmate. This policy applies
to inmates confined in any facility in the Division of Pnsons of the North Carolina Department of
Correction, a jail, a regional confinement facility, a "County Farm", or any other local confinement
facility established for the incarceration of con\icted offenders.
History Note: Statutoty Authoritv G.S. I4S-II: 148-13; J5A-/340.7;
Eff Febniarv I. 1976;
Amended Eff November I. 1991; September I, I9S3; February I, 1982;
February 23. 1981.
.0102 GOOD TIME
(a) Award of Good Time. With the exception of those inmates serving sentences as specified in Rules
.0106, .0107, and .0108 and those inmates con\icted of Class A and B felonies committed after the Fair
Sentencing Act became effective, all inmates shall be awarded good time credits at the rate of one day
deducted from the inmate's prison or jail term for each day the inmate spends in custody without a
major infraction of prison conduct rules.
(b) Forfeiture. Good Time shaJl be subject to forfeiture through disciplinan,^ action for con\'iction
of major infractions as the result of violations of prison conduct rules.
(c) Restoration of Forfeited Good Time. Good Time forfeited through disciplinary action may be
restored by unit superintendents, area administrators, institution heads, and, in the case of inmates
confined to local confinement facilities, the sherifi" or administrator of a regional confinement facility.
Such restoration shall be based upon documented incidents of improved behavior by the inmate.
History Note: Filed as a Femporary Amendment Eff. April I , I9S3 for a
Period of 60 Days to Expire on June f J983:
Statutory Authority G.S. 148-11; 148-13: ISA- 1 340.7;
Eff February I. 1976:
Amended Eff November I, 1991: April I, 1985; September I. 1983: June I, 1983.
.0103 GAIN IIME
939 6:14 NORTH CAROLINA REGISTER October 15, 1991
FINAL RULES
(a) Regular Gain Time. Inmates other than those convicted of felonies committed after the effective
date of the Fair Sentencing Act who perform work, whether full-time or part-time, or participate in
specific training programs which would assist their productive re-entry into the community, shall be
allowed sentence reduction credits which shall be regulated as Regular Gain Time I, II, and III. Reg-ular
Gain Time shall not be subject to forfeiture for misconduct and shall be administered as follows:
(1) Regular Gain Time I. In addition to Regular Good Time credits, inmates who perform short-term
work assignments and/or who participate in specific training programs requiring a mini-mum
of four hours of productive activity per day shall receive credit at the rate of two days per
month.
(2) Regular Gain Time II. In addition to the Regular Good Time credits, all inmates who satis-factorily
perform job assignments and/or who participate acceptably in specific training pro-grams
requiring a minimum of six hours per day shall receive credit at the rate of four days per
month.
(3) Regular Gain Time III. In addition to Regular Good Time credits, all inmates performing as-signed
jobs with requirements for special skills or specialized responsibilities such as specialised
maintenance, cook, equipment operator, canteen operator, or inmates participating in fulltime
specific training programs requiring a minimum of six hours per day shall receive credit at the
rate of six days per month.
(b) Fair Sentence Gain Time. Inmates convicted of felonies committed on or after the effective date
of the Fair Sentencing Act shall be allowed sentence reduction credits which shall be regulated as Fair
Sentence Gain Time I, II, and III. The credit received shall be calculated for work performed as listed
in Rule .0103(a)(1), (2), and (3). Credit shall be received for participation in study and rehabihtative
programs after June 3, 1985, as calculated by using the categories in Rule .0103(a)(1), (2), and (3).
(c) Meritorious Time. The Director of the Division of Prisons or the Director's designated repre-sentative
may award additional sentence reduction credits to deserving inmates. Such awards shall not
exceed 30 days per month for work pertormed nor 30 days for each act of exemplary conduct. Con-sideration
for meritorious time awards will be based upon the following categories;
(1) Work Performed.
(A) Overtime. Overtime is defmed as satisfactory performance in a job and/or program activity
beyond a regular forty-hour work week. Inmates assigned to the Work Release Program are
not eligible to receive overtime based on a work release job. Fair Sentence inmates are not eli-gible
to receive overtime based upon a program assignment. Fair Sentence inmates may receive
overtime based on work performed.
(B) Adverse Working Conditions. Inmates are eligible for additional sentence reduction credit for
work performed during inclement weather. Inclement weather is defmed as a chUl factor of
below 20 degrees Fahrenheit or a temperature above 95 degrees Fahrenheit. Such conditions
may include rain, sleet, snow, or other unusual or abnormal circumstances as determined by the
appropriate approving authonty.
(C) Fmergency Conditions. Inmates are eligible for additional sentence reduction credits for work
performed during emergency conditions. Facility Superintendents will determine when an
emergency condition exists. Such emergency conditions may include power failures, forest fires,
work stoppages, riots, state-wide emergencies established by the State Emergency Response
network or other similar emergency conditions.
(2) Exemplary Conduct.
(A) Exemplary Acts. Inmates are eligible for additional sentence reduction credits, not to exceed
30 days for each act, based upon the performance of exemplary acts. Exemplary acts are defmed
as unusual deeds or acts performed by an inmate.
(B) Exceptional Educational Achievements. Inmates attaining an educational degree are eligible
for additional sentence reduction credits at a rate of 30 days per achievement. These awards are
limited to successful completion of the General Educational Development Test (GED), receipt
of a vocational trades license or trades certification based on successful completion to a formal
program of vocational course work and supervised training, the attainment of a Associate of
/Vrts or Science Degree (i\A. AS), or the achievement of a Bachelor of /Vrts or Science Degree
(BA, BS) or Graduate Degree (MA, MS, Ph.D., etc.). Inmates identified as Exceptional Stu-dents
Program participants or other irmnates identified as special students by educational au-thorities
may be awarded an additional five days per month for documented positive progress
towards established educational goals in keeping with their individual education plans.
(3) Prison Population Reduction. Irmiates may be eligible for additional sentence reduction credits
for good conduct during prison population reduction pursuant to G.S. 148- 13(b) and (d).
6:14 NORTH CAROLINA REGISTER October 15, 1991 940
FINAL RULES
History Sole: Filed as a Femporary Amendment Fff. March 21 , 1987
For a Period of 43 Days to Expire on Slav 1 , 1987;
Statutory Authority G'.S. 148-11; 148-13;' I5A-I340.7;
Fff. February I, 1976;
Amended Fff. Smember 1, 1991: May I. 1987; October I, 1983; September I, 1985.
.0104 PROCEDURE
(a) Recording Sentence Reduction Credits.
( 1
)
Recording. Ciood lime will he computed automatically on the inmate's record. Gain Time,
.Meritorious Time, and Restored Good Time awards must be initiated by the unit superinten-dent
or institution head upon the designated reduction credit form and shall be approved as
provided in Paragraphs (b) and (c) of this Rule. Transfers automatically terminate Regular and
I'air Sentence (jain lime status for inmates in the custody of the Division of Prisons.
(2) Accumulation. Meritorious Time awards will be accumulated and recorded on an hour for hour
basis including credits accumulated for part-time assignment or for multiple part-time activity
participation and submitted in whole days, except such credits may be authorized for an
exemplary act at a rate not to exceed 30 days for each act to the appropriate approving authority.
A whole day is defined as eight hours.
(3) Local Confinement Facilities. In the case of inmates confined to local confinement facilities,
pursuant to court commitment, the sheriff or administrator of a local confinement facility shall
establish procedures for granting, approving, and documenting sentence reduction credits. In
the case of inmates confined to local confinement facilities, pursuant to a contractual agreement
with the Department of Correction, the sheriff or administrator shall forward recommendations
for granting sentence reduction credits to the Di\isian of Prisons' designated approving authority
as listed in .0104(b). The Division of Prisons' approvmg authority will cither approve, modify,
or disapprove the award. All Di\ision of Prisons' authoriized credits shall be recorded upon the
sentence reduction credit form.
(4) Recommendations and Submission. Sentence reduction credits will be submitted only by the
unit of pennancnt assignment for inmates in the custody of the Division of Prisons. Rec-ommendations
for sentence reduction credits for such inmates housed temporarily at a prison
facility other than the regular unit of permanent assignment will be forwarded to the unit of
permanent assignment for approval and recording documentation.
(b) /Vppro\ing Authorities. Sentence reduction credit awards are subject to approval as foUows:
(1) Unit superintendents shall have authority to approve Gain Time awards and to approve Meri-torious
Time awards and to make lost good time restoration awards not to exceed 10 days per
month per inmate.
(2) Institution heads shall have authority to approve Gain Time awards and to approve Meritorious
lime awards and to make lost good time restoration awards not to exceed 30 days per month
per inmate.
(3) Area administrators shaU have authority to approve Meritorious Time awards and to make lost
good time restoration awards not to exceed 30 days per month per inmate.
(4) ,AU .Meritorious Time awards and restoration of lost good time awcirds which exceed 30 days in
a month must be approved by the Director of the Division of Pnsons.
llisioty Sote: Statutory Authority G.S. 13A- J 340.7; 148-11; 148-13;
Fff February 1. 1982;
Amended Fff Sovember 1. 1991; August I. 1986: September 1, 1983.
SECTION .0200 - DISCIPLINARY PROCEDURES
.0201 GENERAL
(a) Initial. vVny member of the state correction service or other authorized person who witnesses
what appears to be an act of misconduct by an Lnmate should take appropriate action to pre\ent con-tinuation
of any actual misbehavior by that inmate. Counseling may be suilicient and should be tried
when no additional action appears necessary to stop the misbehavior and prevent a recurrence. As-sistance
should be obtained from other persormel when needed to enforce discipline with minimum risk
941 6:14 NORTH CAROLINA REGISTER October 15, 1991
FINAL RULES
to persons or property. The inmate may be placed in administrative segregation when this action ap-pears
to be necessary to control that inmate or to prevent further disorder.
(b) Reports. When an observer of apparent misconduct by an inmate concludes that counseling wLU
not be sufficient action because the suspected offender does not appear responsive or because of the
seriousness of the suspected offense or when an inmate observes serious misconduct, the observer
should report the matter to the officer designated by the superintendent to investigate offenses com-mitted.
(c) Investigations
(1) The designated officer should begin his investigation as soon as possible, and in any event within
24 hours after being notified of a suspected offense, unless criminal prosecution is contemplated,
in which case the criminal investigators should initiate their investigation before the investigation
for disciplinary procedures begins. He should discuss the matter with the person reporting the
incident and with the inmate or inmates accused. Where necessary to ascertain the true facts,
he should interview other witnesses, make searches, and employ other appropriate investigatory
techniques.
(2) When the investigating officer is satisfied he has learned the relevant facts, he may dismiss the
charges if he concludes that the facts do not justify further proceedings. In that event, he should
explain his action to the person reporting the suspected offense and also to the inmate accused.
(3) If the investigating officer concludes that the facts found do justify further proceedings, he should
obtain written and signed statements from the p>erson reporting the suspected offense, from the
suspected offender, and from the other persons providing pertinent information.
(4) The accused inmate should be advised by the investigating officer that:
(A) He has the right to submit names of requested defense witnesses and have them caUed to
testify provided the calling of witnesses does not jeopardize or threaten institutional or individual
security.
(B) The number of witnesses vvUl be Limited to avoid useless repetition of the same evidence to
be presented at the hearing. Physical evidence will only be preser\'ed upon written request of
the inmate and provided that retaining or presenting the evidence does not threaten institutional
or an individual's security.
(5) The investigating officer should take written statements from aU witnesses. If statements are not
taken from all witnesses, the investigating officer should record their names with an explanation
for not taking their statements.
(6) The investigating officer should make written notes of any observations made by him during the
course of the investigation which directly relate to the alleged offense, and he should take under
his control any physical evidence available. Upon completion of the investigation, this officer
should make such changes in the status of the accused as seem warranted by the facts found.
(7) The results of the investigation should be presented to the superintendent as soon as possible.
If more than 48 hours are required to make the investigation and present the results, authority
to extend the time should be obtained in writing from the unit superintendent or institution head
who should establish the time period of extension. Before the superintendent grants the exten-sion
of time, he should indicate on the DC-138A whether the inmate wiU be placed or continued
on administrative segregation and the reasons for this decision.
(d) Defmitions. The word "umt" used in this Section is to be understood to refer to any confinement
facihty of the Division of Prisons. The term "superintendent" will be interpreted as including the
warden at Central Prison.
History Sole: Statutory Authority G.S. I4S-I I
;
Eff. February I, 1976;
Amended Eff. November I, 1991; December I, 1986; June I, 1984.
.0202 DISPOSITION BY SLPERINTENDFAT OR DESIGNEE
(a) The superintendent should first determine whether the investigation report indicates that he may
dispose of the matter by counseling the inmate or inmates concerned. The investigation report in such
cases should be filed at the unit together with a signed statement regarding the superintendent's action.
(b) If the superintendent or his designated representative decides formal disciplinary^ action is required,
he should fill out an offense report. He should make such changes in the status of the accused as he
feels appropriate pending a hearing on the matter. The superintendent, or his designated representative,
should indicate on the DC-138A whether the inmate wiU be placed or continued on administrative
segregation pending the disciplinar>^ hearing and the reasons for this decision.
6:14 NORTH CAROLINA REGISTER October 15, 1 991 942
FINAL RULES
(c) The superintendent or his designated representative should make a preliminan.' determination as
to whether the alleged offense should be classified as minor or major. He should be guided in this re-gard
by the classification of offenses in 5 NCAC 2B .0300. If he decides that an offense classified as
minor in 5 NCAC 2B .0300 should be dealt with as a major offense in a given case, he should state in
writing the matters in aggravation that he deems to justify such handling; if he decides that an otTense
classified as major in 5 NCAC 2B .0300 should be dealt with as a minor offense, he should state in
writing the matter in mitigation that he deems to justify this decision. He should sign this statement
and include it in the case records.
(d) When the superintendent or his designated representative decides that an accused is to be dealt
with by formal discipliniiry action, he should give the accused notice in writing of the charge including
a statement of the misconduct alleged and of the rules this conduct is alleged to violate. If the offense
charged is classified as minor by the superintendent or his designated representative, he should ask the
accused whether he admits guUt. If so, the superintendent or his designated representative, should allow
the offender to make a statement. The substance of the statement should be summarized in the record.
The superintendent or his designated representative, should then decide on the disposition. He may
impose any measure authorized as a disposition for minor offenses, or he may suspend such imposition
on condition of good behavior for a stated period of time not to exceed three months. He should note
his decision on the offense report.
(e) If the accused denies guilt where a minor offense is charged, the superintendent should order the
accused to appear before a unit disciplinar,' committee. Where major rnfractions are alleged, the matter
will be referred to an area disciplinars' committee. Referrals to a disciplmar\" committee should be made
by the superintendent or his designated representative within 48 hours after he receives the investigation
report. In any case where this is not possible, the reason for the delay should be explained in uriting
by the superintendent or his designated representati\e, and his signed statement respecting this should
be made a part of the case record.
HistOfT Xote: Statutory Authoritv G.S. I4S-1 1;
Eff. Februarv I. 1976;
Amended Eff. Xovember I, 1991; June 1, I9S4.
.0203 DISCIPLrSARV COMMITIEES
(a) Unit Disciplinary Committee
(1) The superintendent should appoint one or more disciplinar.' committees from the staff of his
unit to hear and determine the disposition of minor offenses charged against inmates assigned
to his unit. These committees should be composed of three members chosen so as to pro\ide
a balanced and impartial tribunal. No person who initiates the charges to be heard or who is
a witness in the case may be a member of the committee to which the case is referred. The
superintendent should designate one member to serve as chairman. The appointments and
designations should be made subject to the approval of the area administrator.
(2) The chairman of a unit disciplinary committee to which a case has been referred should arrange
for a hearing on the charge within 48 hours after the referral. The accused should be brought
before the committee and confronted with the facts established by investigation reports which
tend to support the charge against him. The accused should be permitted to assert a defense
or otherwise explain his conduct. The chairman may summon to testify any witnesses or other
persons with relevant knowledge of the incident, and may allow the accused to question an\'
person so summoned.
(3) If guilt is established by substantial evidence, the unit disciplinar} committee ma\' impose one
or more measures authorized as a disposition for minor offenses. The committee ma>' suspend
such imposition on condition of good behavior for a stated period of time not to exceed three
months. Its decision should be noted in the record and certified by the chairman.
(b) x\jea Disciplinary Committee
(1) Each area administrator should appoint one or more area disciplinan" committees from per-sonnel
within his command if a balanced and impartial tribunal can be pro\'ided in this manner.
There should be not less than three nor more than five members. When the offense occurred
at a unit, no person who initiates the charges to be heard, or who is a witness in the case, or
who is on the staff of the unit to which the accused is assigned may be a member of the area
disciplinar." committee to which the case is referred. WTien the offense occurred at a major in-stitution,
no person who initiates the charges, or who is a witness in the case, or who is in a
position of direct supervision over the accused may be a member of the area disciplinar)" com-
943 6:14 \ORTH CAROLL\A REGISTER October 15, 1991
FINAL RULES
mittee to which the case is referred. The Director of Prisons should provide that such hearings
be held by a disciplinary' committee appointed by the Institution Head or his designated repre-sentative.
TTie area administrator institution head should designate one member to serve as a
chairman.
(2) Cases referred to an area disciplinary committee should be scheduled for a hearing within
fourteen days of the referral. The accused should receive not less than 72 hours prior to the
hearing, written notice of the charges against him, unless such 72 hour notice be waived in
writing by the accused. If a delay for any other reason is desired by the unit superintendent or
his designated representative or the accused, the one desiring the delay should state his reason
in a written request to the area administrator who may grant such a delay for good cause.
(3) The unit superintendent should insure that the investigation report, all written statements and
any other pertinent items of information or evidence are properly compiled for presentation to
the committee, and that the accused and all needed witnesses are available at the time and place
of the hearing.
(4) The chairman of the disciplinary' committee should document reasons for declining to call re-quested
witnesses and declining to present items of physical evidence on the DC- 138. The fac-tors
that the chairman may consider when ruling on an inmate's request to call witnesses or
present items of physical evidence should include but not be limited to:
(A) Relevance;
(B) Cumulative Testimony;
(Cj Necessity; and
(D) Hazards presented by an individual case.
(5) The unit superintendent may appoint a member of his staff to present the case to the area dis-ciplinary
committee. The accused may request that a particular member of his unit's staff be
appointed to assist him. The unit superintendent should allow this request unless the accused
requests one of his accusers or other inappropriate person, in which event the superintendent
should appoint another staff member. Yht chosen or appointed representative should assist the
accused both in preparing for the hearing and at the hearing. The staff assistant does not serve
as an advocate. His role is only to assure that the inmate has an opportunity to present his
version of the facts. The representative should document on a DC-138B the way in which he
assisted the accused either before or during the hearing.
(6) If the chosen or appointed representative has prior knowledge that the accused is gudty, he
should inform the accused of that fact so that another staff member may be chosen if desired.
Still, an appointed or chosen staff member can and should aid the accused in gathenng and
presenting evidence, even though he thinks that the accused is probably guilty.
(7) The chairman of the area disciplinary committee should begin the hearing by reading the charges
to the accused and asking him whether he admits to committing the offense. If the accused
denies guilty, the evidence bearing on this issue should be presented. The accused should be
given an opportunity to refute or explain e\idence against him and to present evidence and make
a statement in his own behalf. Witnesses presenting rele\ant testimony on his behalf may testify
in person or by telephone. WTienever the presentation of live testimony or physical evidence
would jeopardize or threaten institutional or individual security, written statements of the facts
of the incident gathered by the in\estigatLng officer may be used. Written statements of the
ad\erse witnesses, including the accuser, may be used. The inmate should not be permitted to
cross-examine witnesses. If the chairman deems it necessary' to withhold the identity of the
primary accuser or any other witness due to the threat of reprisal, the accused should be in-formed
of the part of testimony or statement of the accused which can be revealed without dis-closing
his identity.
(S) rVfter all evidence relating to guilt or innocence has been presented, the chairman v\ill ha\e the
room cleared of all persons who are not voting members of the committee, except uninvolved
people permitted to observe committee deliberations for educational or training purposes. If the
committee does not feel that a proper decision can be reached on the basis of the information
at its disposal, the chairman may reopen the hearing for additional questiomng, postpone the
hearing for one week in an attempt to obtain additional information, or dismiss the charges.
(9) Lpon reaching a decision as to the guilt or innocence by majority vote, the chairman should
enter the committee's fmdings and rationale on the record and reopen the hearing to advise the
inmate of the decision. If he has been found guilty or if he admits guilt when the charges are
read, the committee should hear any matter pertinent to the issue of proper disposition and then
close the hearing for deliberation on this issue. Upon reaching a decision by majority \'ote as
6:14 NORTH CAROLINA REGISTER October 15, 1991 944
FINAL RULES
to the disposition and having noted the reasons for this determination on the record, the chair-man
should reopen the hearing to advise the inmate of the decision, inform him of the fact that
it will be reviewed, and permit him to have entered on the record any objections he may have
to the decision. The chairman should explain to the inmate that if he voices an objection, any
punitive aspect of the decision wLU not take effect until the case is reviewed and the punishment
is approved by the reviewing authority, while if no objection is made the decision wlU take effect
immediately but be subject to being overturned or amended by the reviewing authority.
(10) If the accused admits guilt or if he is found guilty of a minor offense by the area disciplinar,'
committee, the committee may impose one or more of the measures authorized for minor of-fenses.
If he admits guilt or if he is found guilty of a major offense by the area disciplinar}'
committee, the committee may impose one or more of the measures authorized for minor of-fenses
and in addition or in lieu thereof one or more of the measures authorized for major of-fenses.
The committee may suspend such imposition on specified conditions for a stated period
of time not to exceed six months. When an inmate is found guilty of possessing funds in a form
other than that authorized by Division of Prisons policies or in excess of the authorized amount,
the chairman should make a separate ruling that the unauthorized funds should be permanently
confiscated and placed in the Weffare Fund.
(11) The chairman of the committee should be responsible for insuring that all forms are properly
completed. The inmate should be entitled to a copy of a written statement of the evidence relied
on by the committee and the reasons for the disciplinarv' action. Certain items of evidence may
be excluded if necessar\" to protect a witness or informant from reprisal. When information
supplied by confidential informants is relied upon, the chairman should document in the record
the reasons why the information provided was trustworthy or that the informant has provided
reliable information in the past. Copies of Forms DC- 138 and DC- 138(c) should be forwarded
to combined records and placed in the inmate's headquarter jacket. The originals of these forms
wiU be placed in the inmate's field jacket.
History Xote: Statutory Authoritv G.S. 148-1 1;
Eff. February I. 1976;
Amended Eff. Sovember I. 1991; December I, 1986; June 1, 1984.
.0204 REMEW PROCEDl RES
(a) A re\iew of all actions by disciplinary committees should be made by the appointed authorities
within seven days of the committee's decision.
(b) The review should be directed to the consideration of whether the record indicates that the proper
procedures were foUowcd during the course of the in\'estigation and hearing, and whether the inmate
received a substantively full and fair hearing. The reviewing authority should not substitute his judge-ment
for that of the committee's unless it is necessary to do so in order to correct a prejudicial abuse
of procedures or to remedy a clearly erroneous and unfair decision.
(c) The reviewing authority is authorized to;
(1) approve the committee's decision;
(2) order a re-hearing in whole or in part:
(3) disapprove the committee's decision and dismiss the case;
(4) reduce, but not increase, any punitive aspect of the committee's decision;
(5) modify any administrative or treatment decision made by the committee.
(dj The reviewing authority wlU enter on the record his reasons for taking any action other than ap-proving
the committee's decision.
(e) The unit and the inmate concerned should be notified of the reviewing authority's decision with-out
delay.
(f) The full record of the case wiU be filed at the location of the reviewing authority.
(g) The decision of the reviewing authority may be appealed in writing directly to the Director of
Prisons or his designee. His decision is not subject to further review.
Histoiy Xoie: Statutory^ .Authority G.S. 148-11;
Eff February 1, 1976;
.4 mended Eff Sovember /, 1991
.
.0205 AUTHORIZED DISCIPLINARY PROCEDURES
(a) For minor offenses arising out of a single incident, one or more of the following are authorized:
945 6:14 NORTH CAROLINA REGISTER October 15, 1991
FINAL RULES
(1) reprimand;
(2) suspension of one or more privileges for a period not to exceed 30 days. No privileges may be
suspended which the facility superintendent cannot on his or her own authority grant, such as
work release. Privileges which may be suspended include, but are not limited to, access to the
movies, telephone, yard privileges, and recreational activities. Visitation privileges may be sus-pended
when a disciplinary offense occurred during visitation;
(3) extra duties; The total hours of extra duty should not exceed 40 and no more than four hours
should be performed on any working day and no more than eight hours on other days. The
total period over which the extra duty extends should not exceed 30 days.
(b) For major offenses arising out of a single incident one or more of the measures authorized for
minor offenses may also be imposed and in addition or in lieu thereof one or more of the following:
(1) confinement in disciplinary segregation for a period of 1 to 30 days. If the disciplinary committee
imposes a maximum and minimum term of confinement, the Superintendent/Institution Head
wUl have the discretion to release the inmate at any time within and including the minimum and
maximum term. The irunate will receive day-for-day credit for time spent on administrative
segregation pending a disciplinary hearing towards his total period of confinement in disciplinary
segregation;
(2) loss of up to 30 days time eamed by previous good conduct;
(3) loss of any or all minimum custody privileges (work release, study release, home leave, com-munity
volunteer leave, and all authorized outside activities) or loss of minimum custody status;
Only the area disciplinary committee may make punitive level adjustments. The appropriate
review date of level adjustment may be determined by the area classification committee accord-ing
to the inmate's behavior foUowing the infraction. If the inmate is to be demoted out of
minimum custody, he wUl be referred to an area classification committee for reassignment in
accordance with departmental procedures.
(c) For each unrelated offense charged on the same hearing day, additional punishment may be im-posed
in accordance with these Rules.
(d) Inmates who commit infractions on segregation may be confined in disciplinary segregation for
additional periods of 1 to 30 days.
History Note: Statutory Authority G.S. 148-1 1
;
Eff. February I, 1976;
Amended Eff. November 1, 1991; December I, 1990; July I, 1984; June I, 1984.
.0206 MODIFICATIONS
The Director of the Division of Prisons may authorize modifications of this procedure consistent with
its fundamental principles, provided any modification should be in writing, approved by the Secretary
of Correction, and incorporated in the policies and procedures of the Department.
History Note: Statutory Authority G.S. J48-/ J;
Eff February /. 1976;
Amended Eff. November I, 1991; June 1, 1984.
SUBCH.4PTER 2C - CLASSIFICATION
SECTION .0500 - PROMOTION OF FELONS TO MINIMUM CUSTODY
.0504 PROCEDURE
Each time the unit/institution classification committee formally reviews a case, a recommendation will
be made. Form DC-121 wiU be completed and referred to the superintendent for review and approval
or disapproval. After the final approving authority has acted on the case (whether approved or disap-proved),
proper distribution of all copies will be made (combined records, area records, unit or insti-tution
records).
History Note: Statutory Authority G.S. 148-4; 148-11;
Eff February 1, 1976;
Amended Eff November 1 , 1991
.
SUBCHAPTER 2D - PUBLIC COMMUTSTCATIONS
6:14 NORTH CAROLINA REGISTER October 15, 1991 946
FINAL RULES
SECTION .0300 INMATE USE OF THE .MAILS
.0301 GENERAL
.0302 CORRESPONDENCE
.0303 PROCEDURES FOR CENSORSHIP
.0304 PACKAGES AND OTHER ITEMS
.0305 MAIL RECORDS
History Note: Filed as a Temporary Amendment Eff. February 1 , 1988
For a Period of 30 days to Expire on March 1 , 1988;
Statutory Authority G.S. 148-1 1;
Eff. February I, 1976;
Amended Eff March /, 1988; January 1, 1985; March 1, 1984; February I, 1984;
Repealed Eff November I, 1991.
.0306 GENERAL
(a) Inmates may write to anyone, but an individual inmate's privileges to write to a particular person
or persons may be withdrawn by the superintendent warden of the correctional facility to which the
inmate is assigned, upon request of the recipient, or if the recipient is a minor, at the request of his or
her parents or legal guardian. Writing privileges also may be terminated for any of the reasons stated
in Rule .0307(e) of this Section. The reason for withdrawal must be stated in a written notice to the
inmate that should refer specifically to the letters previously returned.
(b) It is the purpose of the mail policy to protect citizens in the community from offensive or
threatening letters and prevent criminal activities and escape plots from developing through corre-spondence.
To accomplish this, it is the responsibility of each facility mail room to stamp the outside
of each piece of outgoing inmate mail (including packages) with the name of the correctional facility,
(e.\., Mailed from Columbus Correctional Center). The stamp should be affixed to the front of the
envelope above the address and between the return address and the postage stamp. This is not required
at community residential facilities, i.e., Wilmington Residential Facility for Women.
(c) The superintendent warden will be responsible for developing and implementing facility mail
procedures consistent with this policy. The facility procedures must be reviewed annually to assure
compliance with current Division of Prisons policy.
History Note: Statutory' Authority G.S. I48-I I;
Eff November 1, 1991.
.0307 CORRESPONDENCE
(a) Legal Mail.
(1) Definition: Mail to or from attorneys, state and federal courts, the judiciary, the Industrial
Commission, or legal aid services and Para-legals.
(2) Legal mail from inmates shaU not be opened for inspection or impeded in its transmission. If
there is any question as to whether an addressee is one of these persons, the mail can be held
for not more than 24 hours to resolve the question.
(3) Postage for legal mail from inmates will be paid from the Operating Fund provided the inmate
is indigent. No other eligibility requirements apply to postage for legal mail. The 10 letter
limitation on personal mail does not apply to legal mail.
(b) Department of Correction Officials.
(1) Definition: The Secretary of Correction, the Director of Prisons, any member of the Grievance
Resolution Board or its staff, any member of the Board of Correction, the Parole Commission
or its staff, or any official of the Department of Correction in the chain of command above the
superintendent, warden to which the inmate is assigned, are defined as DOC officials.
(2) Mail to DOC ofticials wiU be accepted within our system without postage.
(3) Mail to DOC officials shall not be opened for inspection or impeded in its transmission. If there
is any question as to whether an addressee is one of these persons, the mail can be held for not
more than 24 hours to resolve the question.
(c) Other Go\emmcnt Officials.
(1) Definition: Any member of the Congress of the United States or any member of the General
Assembly of North Carolina; the President of the United States or the Governor of North
947 6:14 NORTH CAROLINA REGISTER October 15, 1991
FINAL RULES
Carolina; the Attorney General of the United States or the Attorney General of North Carolina;
the Director or any agent of the Federal Bureau of Investigation are defined as other government
officials.
(2) Mail to other government officials will be considered as personal mail for the purpose of postage.
(3) Mail to other government officials shall not be opened for inspection or impeded in its trans-mission.
If there is any question as to whether an addressee is one of these persons, the mail
can be held for not more than 24 hours to resolve the question.
(d) Personal Mail.
(1) Definition: Any mail to or from an inmate that is not defmed in Paragraphs (a), (b), or (c) of
this Rule.
(2) Postage for personal mail from inmates without funds will be paid from the Operating Fund
provided the inmate is indigent.
(3) Postage for personal mail from indigent inmates shall be limited to the cost of 10 first-class one
ounce letters per month per indigent inmate.
(e) Other Outgoing Mail. Personal mail from inmates may be sealed when placed in the outgoing
mail and shall not be opened and censored unless the superintendent/warden or his designee has good
cause to beUeve that:
( 1
)
The mail contains threats of physical harm against any person or threats of criminal activity.
(2) The mail threatens blackmail or extortion.
(3) The mail concerns sending contraband in and out of the correctional facility.
(4) The mail concerns plans to escape.
(5) The mail concems plans to violate departmental rules and policies necessary to maintain security
and control.
(6) The mail concems plans for criminal activity or violation of state or federal laws.
(7) Tlie mail concems information which if communicated would create a clear and present danger
of violence and physical harm.
(f) Incoming Mad.
(1) Inspection: The superintendent/warden shall provide for the inspection of all incoming mail
by qualified members of the correctional facility. The inspection shall serve to prevent inmates
from receiving through the mail contraband or any other material that threatens to undermine
the security and order of the facility or which cannot be lawfully sent through the mail. Mail
to inmates which appears to be from one of the persons Usted in Paragraphs (a), (b), or (c) of
this Rule, shall be opened by correctional staff, who shall see that the contents are free of
contraband and are in fact official or legal correspondence from the person whose name and
return address appears on the outside of the envelope or package. The correspondence shall
not be read beyond what is necessary to make this determination.
(2) Censorship: Incoming personal mail may be opened and read by the superintendent/warden
or his designee only if he has reason to believe that the contents of the letter fall into one of the
categories listed in Paragraph (e) of this Rule. This Paragraph and Paragraph (e) of this Rule
allow for inspection and censorship of mail only when necessary to protect the security of the
facility and prevent criminal activity. No letter is to be opened or censored in order to eliminate
critical opinions of Departmental policy or the Department's employees. All incoming personal
mail is to be inspected but not read unless it falls in one of the categories listed in Paragraph (e)
of this Rule. Under normal circumstances, incoming mad should not be read.
(g) Mass MaiUng. Any massive attempt to use the mails to reach the inmate population or facility
is inherently suspect. If the superintendent/warden has good cause to believe that such an attempt has
been initiated in order to cause dismption or otherwise threaten the order and security of the facihty,
the mail involved will be censored. If necessary, due to the security consideration stated in this Para-graph,
the superintendent/warden may refuse delivery of this mail without notice to the inmate ad-dressee.
(h) Rules on Letter Content and Stmcture.
(1) Letters to and from inmates must be written in English unless an exception to this requirement
is made by the superintendent /warden.
(2) Letters may be typewritten, printed, or written legibly in longhand.
(3) Letters to inmates should be addressed so that the full name of the inmate appears on the en-velope.
The inmate shall instruct his correspondents to use the correct address as posted on the
inmate's buUetin board.
(4) Letters from inmates must have their fuU name and return address of the facility in the upper left
comer of the envelope.
6:14 NORTH CAROLINA REGISTER October 15, 1991 948
FINAL RULES
History Note: Statutory Authority G.S. 148-1 1;
Eff. November I, 1991.
.0308 PROCEDURES FOR CENSORSHIP
If the superintendent/warden or designee decides that an inmate should be prohibited from sending
or receiving any personal mail, the inmate should be notified in writing within 24 hours of the reason
for censorship. The inmate shall be afforded the opportunity to appeal the decision in writing, within
seven days, directly to the Director of the Di%'ision of Prisons. 7 he Director of Prisons or designee shall
have the authority to reverse the prior decision if it is believed there is insufficient cause for the prohi-bition.
The Director must take action on the appeal in seven days from the time the inmate's appeal
is received.
History Note: Statutory' Authority G.S. I4S-I I;
Eff. November I, 1991.
.0309 P.ACKAGES AND OTHER ITEMS
(a) Sent by Inmates. Packages and large envelopes addressed to persons other than one of those listed
in Rule .0307(a), (b), or (c) of this Section, may not be sealed for mailing by an inmate until inspected
by a correctional officer and found free of contraband or material which constitutes a threat to the order
and security of the facihty or which cannot be lawfully sent through the maU. This inspection shall
be done in the presence of the inmate. If cleared for mailing, the item shall be sealed and placed in the
mail by the sender in the presence of the inspector.
(b) Sent to Inmates. Additional items sent to inmates shall be subject to inspection and handling
by a correctional officer. The inspection shall be done in a secure location in the facility and shall not
be done in the presence of the inmate. If the officer determines that the package or envelope contains
contraband or other material that threatens the order and security of the facility, this material shall be
confiscated.
(c) Additional Items Sent to Inmates. In addition to letters, the following items may be received by
an inmate through the mail, and are always subject to inspection and handling as provided in these
Regulations:
( 1) clothing approved for use while incarcerated;
(2) clothing to be used upon release (if received within 15 days of a scheduled release date);
(3) musical instruments (when approval is secured in advance from the superintendent/warden);
(4) unframed photographs, not to exceed 8" x 10";
(5) legal papers;
(6) publications which may be received under 5 NCAC 2D .0100;
(7) religious items;
(8) money shall be sent by postal or bank money order or cashiers or certified checks. Cash sent
by mail shall be returned to the sender with an explanation of the requirements for money orders
and/or certified checks. Cash that is concealed or hidden within other mailed items in an at-tempt
to avoid detection shall prompt an investigation and appropriate disciplinary action. Such
cash will be confiscated if the inmate is found guilty of a disciplinary offense. Otherwise, it will
be returned to the sender. If no return address is provided, cash received will be confiscated as
contraband and deposited in the Inmate Welfare Fund.
(d) Inmate Request for Other Items. Any inmate may request in writing permission from the
Command Manager to receive through the mail a specific item that is not otherwise authorized. This
request shall be forwarded through the chain of command to permit the views of area staff to be ex-pressed.
Seasonal exceptions may be authorized by the Director of Prisons in addition to the List of
items an inmate may receive through the mail.
(c) COD Packages Sent to Inmates. No COD packages shall be accepted for any inmate and no
inmate shall be authorized to send mail COD. Unauthorized items arriving by mail shall be returned
to the sender at the expense of the inmate addressed. If the inmate is without funds, the package shall
be returned at the state's expense or the inmate may donate it to a charitable organization or request
it to be destroyed. A copy of the mail regulations shall be enclosed in the package to be returned.
Packages that postal authorities will not accept for return to the sender shall be delivered to some
charitable organization, or to a law enforcement agency in appropriate cases, and a receipt shaO be
obtained for the same.
949 6:14 NORTH CAROLINA REGISTER October 15, 1 991
FINAL RULES
History Note: Statutory Authority G.S. 148-11;
Eff. November 1. 1991.
.0310 MAIL RECORDS
The mail officer shall keep a record on Form DC-218 showing the source and destination of all legal
mail, packages and items of monetary value mailed by an inmate. Check and money order numbers
shall also be recorded on Form DC-218. The mail officer opening packages and items of monetary
value mailed by or to an inmate shall sign his name at the beginning of each day's entries and place
his initials beside each entry. Tlie mail officer distributing such mail to inmates shall sign his name at
the beginning of each day's entries and place his initials beside the signature of each inmate receiving
such mail.
History Note: Statutory Authority G.S. 148-1 1;
Eff. November 1, 1991.
SUBCHAPTER 2E - TREATMENT
SECTION .0200 - HEALTH CARE POLICY
.0202 FACILITY RESPONSIBILITY
.0203 STAFF RESPONSIBILITY
.0204 CLFSTCAL RESPONSIBILITY
Histon' Note: Statutory Authority G.S. 148-1 1; 148-19;
Eff February 1, 1976;
Amended Eff. September 23, 1980;
Repealed Eff. November 1 , 1991.
.0205 MEETESGS AND REPORTS
.0206 ANN-UAL RE\ lEW
.0207 SKILLED NURSESG FACILITIES
.0208 FACILITIES: EQUIPMENT: AND SUPPLIES
.0209 FIRST AID KITS
History Note: Statutory Authority G.S. 148-1 1; 148-19;
Eff September 231 1980;
Amended Eff. February 1 , 1983;
Repealed Eff November 1, 1991.
.0211 EMERGENCY SERVICES
.0212 SPECIALTY CARE
.0213 MENTAL HEALTH
.0214 PROFESSIONAL LICENSURE
.0215 NURSrSG SERVICES
.0216 TRAESrSG OF HEALTH CARE STAFF
.0217 TRAFSTNG OF CORRECTIONAL STAFF
.0218 STANDCSG ORDERS AND PROTOCOLS
.0219 USE OF STUDENTS AND INTERNS
.0220 USE OF INMATES ES HEALTH CARE
History Note: Statutory Authority G.S. 148-11; 148-19;
Eff September 23, 1980;
Amended Eff March 31, 1981; December 15. 1980;
Repealed Eff. November 1, 1991.
.0222 ESTAKE PHYSICAL EXAMINATION
History Note: Statutory Authority G.S. 148-11; 148-19;
Eff September 23. 1980;
6:14 NORTH CAROLINA REGISTER October 15, 1991 950
FINAL RULES
Repealed Eff. Nmember I. 1991.
.0224 MENTALLY DISTURBED INMATES
.0225 CONTINl ITV OE CARE
History Sole: Statutory Authority G.S. 148-11; 148-19;
Eff. September 23, 19S0;
Repealed Eff. November 1, 1991.
.0230 SPECIAL HEALTH PROBLEMS
.0231 DETOXIEICATION
.0232 PROSTHETICS
.0233 TRANSEERS EOR TREATMENT
History Note: Statutory Authority G.S. 148-11; 148-19;
Eff September 23. 1980;
Repealed Eff November 1, 1991.
.0236 rSEORMED CONSENT
.0237 NO riEICATION ES CASE OE ILLNESS: INJURY OR DEATH
.0238 PROCEDURES IN CASE OE DEATH
.0239 PHARMACEUTICALS
.0240 HEALTH RECORDS
History Note: Statutory .Authority G.S. 148-11; 148-19;
Eff September 23, 1980;
Repealed Eff November 1, 1991.
SECTION .0700 - WORK RELEASE
.0703 WORK RELEASE CONDITIONS
The following specific requirements must be met in order to grant work release for each eligibility
categop,' listed m Rule .0702:
(I) Misdemeanants court ordered for work release.
(a) The commitment or court order from the sentencing court should provide:
(i) The date work release is to begin;
(ii) The prison or local confmement facility to which the offender is
to be committed;
(iii) A provision that work work release terminates the date the offender
loses his job or violates the conditions of the work release program
established by the Department of Correction; and
(iv) A determination as to whether the earnings of the offender are to
be disbursed by the Department of Correction or by the clerk of the
sentencing court in the manner that the court in its order directs.
(b) A misdemeanant court ordered for work release wiU be housed at the prison facility specified
by the court. However, if the facility specified cannot house work release inmates due to over-crowding
or other administrative purposes, inmates can be assigned to some other appropriate
prison facility. For the purposes of this Rule, "overcrowding" refers to a population count
above the designated capacity for the facility. "Administrative purposes" are defmed as man-agement
practices which determine the classification, custody, programs and security at each
unit.
(c) Tiie inmate must not be awaiting trial on felony charges or have any felony detainers pending.
(d) The inmate will be in minimum custody level III by the date work release is ordered to begin.
(e) A misdemeanant court ordered for work release will be processed as outlined in Rule .0706(a).
(fj If court ordered work release is delayed or disapproved, the classification authority will document
the reasons for such action on the DC- 121. The inmate should be notified by a letter which
shall set forth the reasons for the delav or denial.
951 6:14 NORTH CAROLL\'A REGISTER October 15, 1991
FINAL RULES
(g) If an inmate who is court ordered for work release and has suitable employment is disapproved,
the Area Administrator/ Institution Head or his designee will notify the sentencing judge by letter
noting the reasons for disapproval.
(2) Irmiates sentenced to a total sentence length of five years or less who are court recommended for
work release and therefore requiring immediate work release placement.
(a) The inmate must not be awaiting trial on felony charges or have any felony detainers.
(b) The inmate must have suitable employment at the time of commitment in an area where there
is a field unit or other facility suitable for housing the inmate.
(i) "Suitable employment" shall require that:
(A) The employer must pay at least the current minimum wage;
(B) The employer must participate in an insurance program, preferably the Worker's Com-pensation
Program, which will compensate the inmate for injury by accident arising out of
and in the course of employment;
(C) The work setting must provide an appropriately supervised environment. Employment
by a family member is prohibited. A family member is defmed as father, mother, brother,
sister, husband, wife, child, aunt, uncle, grandparents, in-laws, foster parent or other persons
who acted in place of parents where such relationship can be verified.
(D) Inmates disciplined by a regulatory body established by laws for conduct related to their
work will not be placed in the same or similar work without consultation with the regulatory
body and prior approval of the Secretary of Correction.
(ii) The processing diagnostic center will confirm the job offer. Verbal verification will be fol-lowed
up with a letter of confirmation except with a regular work release employer. The proc-essing
diagnostic center will notify the proposed unit of housing for work release directly by
telephone and win request an investigation of the work release job plan. Information concerning
the uimate, the crime, the job plan particulars, Jind the other information as appropriate will be
provided. The receiving unit will conduct the job investigation and will provide return notifi-cation
to the referring diagnostic center by telephone within three working days. Diagnostic
center staff wiU send a notification to the receiving area via a DCI terminal transmission stating
a request for an investigation has been made.
(iii) If a suitable facility is not within normal commuting distance of the inmate's employment, a
contract may be negotiated with the county sheriff for housing the inmate at a local confinement
facility.
(iv) If suitable employment is not available at the time of the commitment, all other provisions
in this Subsection do not apply until such employment is secured. The following procedure
shall be followed:
(A) The staff of the diagnostic center shall counsel and assist the inmate in his job search. The
assistance shall include contacts with prospective employers on behalf of the inmate.
(B) If suitable employment is not secured at the completion of the regular diagnostic process,
the inmate shall be assigned to an appropriate field unit by the classification authority. The
assignment should be made to facilitate the inmate's search for employment. The classifica-tion
authority should consider promoting the inmate to minimum custody level III for work
release only if otherwise eligible to further facilitate work release development and placement.
The following is a suggested priority list of assignment locations.
(I) i\n appropriate unit close to the inmate's home:
(II) /\n appropriate unit within commuting distance of a promising job market;
(III) An appropriate unit which is a reasonable compromise of the above priorities.
(C) The program staff of inmate's field unit shall counsel and assist the inmate in his job search.
The assistance shall include contacts with prospective employers. While seeking work release
employment, the inmate may be given any appropriate duty assignment by the classification
authority but the duty assignment shall not impair the inmate's opportunity for work release.
When suitable employment is obtained, the inmate shall immediately be processed in ac-cordance
with this Subsection.
(c) The following custodial and correctional considerations, as defmed in (i) of this Rule, will pre-clude
the inmate's participation in the work release program,
(i) Even though an inmate is court recommended for work release, the inmate may be denied work
release privileges by the classification authority under the following conditions:
(A) The inmate has a prior criminal or prison record of escape or assaultive behavior which
would normally result in the denial of work release privileges to an irmiate who had not been
recommended by the court;
6:14 NORTH CAROLINA REGISTER October 15, 1991 952
FINAL RULES
(B) The inmate has committed infractions subsequent to commitment under the sentence re-commending
work release which would normally result in the denial of work release privileges
to an inmate who had not been recommended by the court;
(C) The inmate has a serious health problem, mental or physical, which warrants immediate
treatment or obser\'ation on a continuing basis. ITiis problem shall be fully documented on
the DC-121R;or
(D) The inmate has committed major rule violations during a previous term of confinement
during work release participation of sufficient magnitude to give cause for current program
disapproval.
(ii) If there is reason to beUeve that an inmate is subject to denial of work release privileges, his
placement on the work release program may be temporarily delayed by the classification au-thority
pending further study of his case and the fmal decision of the classification authority.
(iii) If court recommended work release is delayed or disapproved, the classification authority wOl
document the reasons for such action on the DC- 121. The inmate should be notified by a letter
which shall set forth the reasons for the delay or denial.
(iv) If an inmate who is court recommended for work release and has suitable employment is
disapproved pursuant to the conditions of Rule .0703(2)(c)(i)(A) through (D), the Area
Administrator Institution Head or his designee wiU notify the sentencing judge by letter noting
the reasons for disapproval.
(d) Subject to the considerations set forth in Rule .0703(2)(c), all inmates with court recommen-dations
for work release are immediately to be placed in a minimum custody level III, for the
purpose of work release only. The inmate wlU not have any other community privileges unless
approved as provided in the existing policy relating to outside activities (5 NCAC 2F .0600).
(e) Transfer to the appropriate field unit will be processed by the classification authority. Court
ordered, recommended inmates approved for work release shall receive fust priority for housing
assignments and transfers. A priority hst shall be estabhshed within each area. Court recom-mended
and approved inmates shall receive the top priority based on the length of time in the
prison system. TTie remainder of the list shall be composed of other inmates approved for work
release in order of length of time since receipt of approval.
(f) Inmates with a court recommendation for work release should be processed, transferred and
placed on work release within ten working days of admission unless custodial and correctional
considerations clearly preclude such an assignment or a work release facility is unavailable in the
area of proposed employment.
(g) A court recommendation which states work release is recommended or which states immediate
work release is recommended wiU be interpreted as requiring immediate work release placement.
(3) Inmates sentenced for crimes committed after July I, 1981, who are not court recommended for
work release.
(a) Inmates ser\'ing sentences totaling five years or less are eligible for immediate work release con-sideration.
Those sentenced to greater than five years must be within three years of the maxi-mum
release date or parole eligibility date except as approved by the Director of Prisons.
(b) The inmate must not be awaiting trial on felony charges or have any felony detainers pending.
(c) Suitable employment as defmed in Rule .0703(2)(b)(i) must be available prior to work release
placement but approval for the work release program can be granted before an employment plan
is developed.
(d) If a suitable facility is not within normal commuting distance of the inmate's employment, a
contract may be negotiated with the county sheriff for housing the inmate at a local confinement
facility.
(e) The inmate must be in minimum custody level 111 by the date work release is to begin.
(f) 1 he inmate must not have had either an escape within six months or a major infraction within
three months of work release approval.
(4) Inmates sentenced for crimes committed prior to July 1, 1981, with sentences greater than five
years.
(a) The iiunate must be within three years of the maximum release date or parole eligibility date,
except as approved by the Director of Prisons.
(b) The inmate must have approval of the Parole Commission. For those inmates on approved
MAPP Agreements with a total sentence length of less than 30 years, the MAPP Agreement
represents work release approval by the Parole Commission.
(c) The inmate must not be awaiting trial on felony charges or have any felony detainers pending.
953 6:14 NORTH CAROLINA REGISTER October 15, 1991
FINAL RULES
(d) Suitable employment, as defined in Rule .0703(2)(b)(i) will be required for placement and may
be required for Parole Commission approval as stated in Rule .0707(f).
(e) If a suitable facility is not within normal commuting distance of the inmate's employment, a
contract may be negotiated with the county sheriff for housing the inmate in a local confmement
facility.
(f) The inmate must be in minimum custody level III status on the date he is to begin participating
in work release. However, approval for work release may be requested through the Parole
Commission prior to attaining minimum custody level III.
(g) The inmate must not have had either an escape within six months or a major infraction within
three months of work release approval.
History Note: Statutory Authority G.S. 148-1 1; 148-33.1;
Eff. February I, 1976;
Amended Eff. November I. 1991; December I, 1986; April 1, 1986; December 1, 1985.
SECTION .1300 - STUDY RELEASE
.1304 APPLICATION PROCEDURE
.1305 REINSTATEMENT
History Note: Statutory Authority G.S. 148-11; 148-13;
Eff December 1, 1986;
Repealed Eff. November 1 , 1991
.
.1307 CHANGE IN EDUCATION PLAN
.1308 PLACEMENT ON STUDY RELEASE
.1309 REMOVAL FROM OR COMPLETION OF STUDY RELEASE
History Note: Statutory Authority G.S. 148-11; 148-13;
Eff December 1, 1986;
Repealed Eff. November 1, 1991.
SECTION .1500 - SAFETY AND HEALTH
.1501 PURPOSE
.1502 SUPERVISORY AND EMPLOYEE RESPONSIBILITY
.1503 CONTRACTCSG AGENCY RESPONSIBILITY
History Note: Authority G.S. 95-129.1; 95-130.1; 95-148; 148-11; Executive Order Number 6;
Eff October 1, 1989;
Amended Eff October 1, 1990;
Repealed Eff November 1. 1991.
SUBCHAPTER 2F - CUSTODY AND SECURITY
SECTION .0100 - SEARCH AND SEIZURE
.0101 GENERAL
(a) In the searching of iimiates, all correctional officers and staff are required to act reasonably and
professionally and within reason, employ a "common sense approach". Every effort should be made
to assure that inmates are not unnecessarily embarrassed or humiliated.
(b) The superintendent/warden will be responsible for developing and implementing a facility search
and seizure procedure consistent with this policy. Facility procedures must be reviewed armually to
assure compliance with the current policy of the Division of Prisons.
(c) To control contraband, searches of inmates are authorized at the discretion of staff. Refusal to
submit to a search may result in a forced search and disciplinary action against the inmate.
History Note: Statutory Authority G.S. 14S-4; 148-11;
Eff February 1, 1976;
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FINAL RULES
Amended Eff. November 1 , 1991
.
.0102 SEARCH
History Sole: Statutory Authority G.S. 14-258.1; I5A-404; 148-4; 148-11;
Eff. February I, 1976;
Amended Eff. January 1, 1986; March I. 1985;
Repealed Eff S'ovember 1 , 1991
.
.0103 SEARCHES OE IN>EATES
(a) Complete Searches. A complete search shall include a strip search (the removal of all of the in-mate's
clothing), a search of the inmate's effects, and a visual search of the inmate's body cavities to
look for contraband. The following rules apply to complete searches:
(1) Posts that routinely involve complete searches should be staffed by correctional officers of the
same sex as the inmates under their super-'ision. Under normal operations, complete searches
of inmates should be conducted by trained staff of the same sex as the inmate. During an
emergency operation, the commander may order complete searches of inmates by Criminal
Justice Certified staff regardless of sex.
(2) The receiving facility will conduct a complete search on ail inmates upon commitment to the
Department of Correction, on return from escap>e or court, upon transfer from another facility,
or placement on segregation (disciplman,', administrative, maximum custody, etc.).
(3) .All inmates entering or leaving maximum, close or medium security facilities will be completely
searched.
(4j Inmates classified as maximum custody wiU be completely searched before and after visiting.
General population inmates in close or medium custody wiQ be completely searched after visit-ing.
(5) Minimum custody inmates assigned to facilities other than minimum security facilities will be
completely searched after visiting.
(6) Upon the discretion of the Superintendent or Officer-In-Charge and as indicated in the unit's
Standard Operating Procedures, all or a random selection of minimum custody inmates wiU be
searched daily upon the return from community based program activities. Such acti\ities in-clude
but are not limited to Work Release. Study Release, Home Leave, Community Volunteer
Lea\e, and Outside Work xA-Ssignments, etc.
(b) Routine Searches. Routine searches are pat and frisk searches with the person clothed. A routine
search may also include searches of personal effects. The following rules apply to routine searches:
(1) Correctional staff of either sex may conduct routine searches of male and female inmates.
(2) WTiere complete searches are not required, routine searches of minimum custody inmates shall
be conducted upon the inmates leaving and returning to the facility for authorized outside ac-tivities.
(3) Where complete searches are not required before or after visiting, routine searches shall be con-ducted.
(c) Body Cavity Searches. Body cavity searches are the probing of body orifices in search of
contraband. These searches are authorized by the supcnntendent 'warden or his her designee when
there is probably cause to believe an inmate has concealed contraband in a body orifice. Body cavity
searches are authorized only if a complete search has not produced the suspected concealed contraband.
Body cavity searches shall be done by medical personnel of the Division of Prisons in a medical setting
pursuant to procedures in the Health Care Procedures Manual. If medical personnel of the Di\ision
of Prisons are not a\ailable, the procedure may be done by outside medical providers. An Incident
Report (DC-432) must be completed to document a body cavity search.
(d) Searches of Inmate's Quarters and Effects. Complete shakedown searches of inmate quarters and
effects are authorized, regardless of whether there is reason to suspect any particular inmate of
concealment of contraband. Searches of inmate quarters and effects are to be conducted randomly
daily. Staff conducting the search should a\'oid any urmecessaPv' scattering, disruption, or disarray of
the inmate's personal possessions during the search. Inmate's living quarters may be searched without
the mmate being present. Normally, inmates will be present when their locker is searched.
Histon- Sote: Statutory Authority G.S. 14-258.1; I5A-404; 148-4; 148-11;
Eff November 1, 1991.
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FINAL RULES
.0104 SEARCHES OF VISITORS AND OTHER PERSONS
(a) Before and after every visiting period within the confines of a facility, a search of the room or area
where the visits are held wlU be made to assure that no contraband has been concealed in or under any
structure, equipment or furniture.
(b) All visitors and all other persons who seek entry to any facility for any purpose may be subjected
to a routine search of their person or their effects upon entering or leaving a facility or any time they
are within the confmes of a facility. Such searches are authorized at the discretion of the Officer-In-
Charge. Appropriate documentation shall be made to the Superintendent.
(c) A routine search may also include the search of personal effects. Personal effects such as
handbags, boxes, briefcases, or other items under the immediate control or access of the visitor, should
remain outside the confmes of the facihty. When in the judgment of the Officer-In-Charge that it is
necessary for any of these personal effects to be carried within the Institution, such personal effects will
be subject to a thorough search. Visitors who refuse to agree to a search of personal effects will not
be authorized to visit.
(d) Routine searches of visitors and other persons see