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.
