Section .0100 ‑ Rule‑Making Procedures

Link to law: http://reports.oah.state.nc.us/ncac/title 20 - state treasurer/chapter 01 - departmental rules/subchapter f/subchapter f rules.html
Published: 2015

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SUBCHAPTER 1F ‑ PROCEDURAL RIGHTS

 

 

SECTION .0100 ‑ RULE‑MAKING PROCEDURES

 

 

20 NCAC 01F .0101           ESTABLISHMENT OF PROCEDURAL RIGHTS

The following rule‑making procedures are established

for the Department of State Treasurer and are applicable to each division

within the department unless a division has set out different rule‑making

procedures in its own rules, within this Title.

 

History Note:        Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

20 NCAC 01F .0102           CORRESPONDENCE

All correspondence within the Department of State Treasurer

should be addressed to the division within the department.

 

History Note:        Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0103           PETITIONING FOR RULE‑MAKING

(a)  Any person wishing to submit a petition requesting the

adoption, amendment, or repeal of a rule may address a petition to the chief

officer of the division.

(b)  The petition must contain the following information:

(1)           either a draft of the proposed rule or a

summary of its contents;

(2)           reasons for proposed change;

(3)           any data supporting proposal;

(4)           effect of the proposed rule on existing

practices in the area involved, including cost factors;

(5)           names of those most likely to be affected

by the proposed rule, with addresses if reasonably obtainable;

(6)           name(s) and address(es) of petitioner(s).

(c)  The chief officer will determine, based on

consideration of the facts stated in the petition and any additional

information he deems relevant, whether the public interest will be served by

granting it.

(d)  Within 30 days of submission of the petition, the chief

officer will render a final decision.  If the decision is to deny the petition,

the chief officer will notify the petitioner(s) in writing, stating the reasons

for denial.  If the decision is to grant the petition, the division will,

within 30 days of the submission of the petition, initiate a rule‑making

proceeding by issuing a rule‑making notice, as provided in these rules.

 

History Note:        Authority G.S. 150B‑16; 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0104           NOTICE OF RULE‑MAKING HEARING

(a)  Upon a determination to hold a rule‑making

proceeding, either in response to a request or otherwise, the division will

give the notice as provided in G.S. 150B‑12.

(b)  Any person or organization desiring to be placed on the

mailing list for rule‑making notices may file a request in writing

furnishing their name and mailing address to the chief officer.  The request

must state the subject areas within the authority of the division for which

notice is requested.

(c)  Persons desiring information in addition to that

provided in a particular rule‑making notice may submit a letter to the

chief officer requesting such.

 

History Note:        Authority G.S. 150B‑11; 116B‑42;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Amended Eff. July 1, 1987.

 

 

 

20 NCAC 01F .0105           LOCATION OF HEARING

Unless otherwise stated in a particular rule‑making

notice, hearings will be held in the State Treasurer's conference room located

in Room 100 of the Albemarle Building, 325 North Salisbury Street, Raleigh,

North Carolina.

 

History Note:        Authority G.S. 150B‑12; 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0106           ORAL PRESENTATION

(a)  Any person desiring to present oral data, views, or

arguments on the proposed rule must, at least five days before the hearing,

file a notice with the appropriate official and include with the notice the

person's telephone number and return address.  Failure to give such notice may

be excused by the presiding officer, within his discretion.

(b)  A request to make an oral presentation must contain a

brief summary of the individual's view's, and a statement of the length of time

the individual desires to speak.  Presentations may not exceed 15 minutes

unless, upon request, the chief officer grants an extension of time.

(c)  Upon receipt of a request to make an oral presentation

the chief officer will acknowledge receipt of the request and inform the person

requesting the imposition of any limitations deemed necessary to the end of a

full and effective public hearing on the proposed rule.

(d)  Any person permitted to make an oral presentation is

required to submit a written copy or a summary of the presentation to the chief

officer prior to or at the hearing.

 

History Note:        Authority G.S. 150B‑12; 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0107           WRITTEN SUBMISSION

(a)  Any person may file a written submission containing

data, comments or arguments concerning the proposed rule up until and including

the day of the hearing.  Written submissions must clearly state the rule(s) or proposed

rule(s) to which the comments are addressed and, except when otherwise stated

in a particular rule‑making notice, should be addressed to the chief

officer.

(b)  Upon receipt of such written comments prompt

acknowledgement will be made including a statement that the comments therein

will be considered fully by the division.

 

History Note:        Authority G.S. 150B‑12; 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0108           PRESIDING OFFICER

The presiding officer at the hearing shall have complete

control of the proceedings, including:  extension of time restrictions,

recognition of speakers, time allotments for presentations, direction of the

flow of the discussion and the management of the hearing.  The presiding

officer shall take care that each person participating in the hearing is given

a fair opportunity to present views, comments, and data.

 

History Note:        Authority G.S. 150B‑12; 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0109           REQUEST FOR STATEMENT OF REASON

(a)  Any interested person desiring a concise statement of

the principal reasons for and against the adoption of a rule and the factors

that led to overruling the considerations urged against its adoption, may

submit a request to the chief officer.

(b)  For purposes of this Rule, an "interested

person" shall be any person whose rights, privileges or duties might be

affected by the adoption of the rule in question, or any group or organization

representing person(s) whose rights, privileges or duties might be affected by

the rule.

(c)  The request for a statement of the principal reasons

for and against the adoption of a rule must be made in writing and submitted

either prior to adoption of the rule or within 30 days thereafter.

 

History Note:        Authority G.S. 150B‑12; 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0110           RECORD OF PROCEEDINGS

A record of all rule‑making proceedings will be

maintained for as long as it is of administrative value in the office of the

chief officer; then it will be transferred to the State Record Center for the

Archives.  This record will contain:  the original petition (if any), the

notice, all written memoranda and information submitted, a summary of any oral

presentations and reasons for and against adoption of the rule and reasons for

overruling consideration against its adoption (if a request for such reasons is

made).

 

History Note:        Authority G.S. 150B‑12; 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

 

 

SECTION .0200 ‑ DECLARATORY RULINGS

 

 

20 NCAC 01F .0201           ESTABLISHMENT OF PROCEDURAL RIGHTS

The following declaratory ruling procedures are established

for the Department of State Treasurer and are applicable to each division

within the department, unless a division has set out different procedures

concerning declaratory rulings in its own rules, within this Title.

 

History Note:        Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0202           REQUESTS FOR RULING

Any person substantially affected by a statute administered

or rule promulgated by the division may request a declaratory ruling as to

whether or how the statute or rule applies to a given factual situation or

whether a particular rule is valid.

 

History Note:        Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0203           FORM OF REQUESTS

All requests for a declaratory ruling must include the

following information:

(1)           name, address and telephone number of petitioner;

(2)           statute or rule to which petition relates;

(3)           concise statement of the manner in which petitioner

is aggrieved by the rule or statute, or its potential application to him;

(4)           a statement of whether an oral hearing is desired,

and if so, the reasons for such an oral hearing.

 

History Note:        Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0204           WHO MAKES RULING

The chief officer shall have the power to make such

declaratory rulings. All requests for declaratory rulings shall be written and

mailed to the chief officer.

 

History Note:        Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0205           REFUSAL

Whenever the chief officer believes for good cause that the

issuance of a declaratory ruling is undesirable, he may refuse to do so.  When

good cause is deemed to exist, the chief officer will notify the petitioner of

his decision in writing, stating the reasons for denial of a declaratory

ruling.

 

History Note:        Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0206           ISSUANCE

Where a declaratory ruling is deemed appropriate, the chief

officer will issue the ruling within 60 days of the petition.

 

History Note:        Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

20 NCAC 01F .0207           RULING PROCEDURES

Declaratory ruling procedures may consist of written

submissions, an oral hearing, or such other procedures as may be appropriate in

a particular case.

 

History Note:        Authority G.S. 150B‑17;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977.

 

 

 

 

 

SECTION .0300 ‑ CONTESTED CASE PROCEDURES

 

 

20 NCAC 01F .0301           PROCEDURES FOR CONTESTED CASES

Contested cases shall be heard as provided in G.S. 150B.

 

History Note:        Authority G.S. 143A‑31;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Amended Eff. August 1, 1988.

 

 

 

20 NCAC 01F .0302           REQUEST FOR A CONTESTED CASE HEARING

20 NCAC 01F .0303           NOTICE

20 NCAC 01F .0304           WAIVER OF OPPORTUNITY FOR A HEARING

20 NCAC 01F .0305           HEARING OFFICERS IN CONTESTED CASES:

DISQUALIFICATIONS

20 NCAC 01F .0306           PLACE OF HEARING

20 NCAC 01F .0307           INTERVENTION

20 NCAC 01F .0308           FAILURE TO APPEAR

20 NCAC 01F .0309           WRITTEN ANSWERS TO NOTICE

20 NCAC 01F .0310           SIMPLIFICATION OF ISSUES

20 NCAC 01F .0311           SUBPOENAS

20 NCAC 01F .0312           DEPOSITIONS

20 NCAC 01F .0313           PROPOSAL FOR DECISION

20 NCAC 01F .0314           FINAL AGENCY DECISIONS

 

History Note:        Authority G.S. 143A‑31; 150B‑23;

150B‑24; 150B‑25; 150B‑27; 150B‑28; 150B‑31; 150B‑32;

150B‑34; 150B‑36; 1A‑1, Rules 26‑33;

Eff. February 1, 1976;

Readopted Eff. September 15, 1977;

Repealed Eff. August 1, 1988.