Chapter 18 NCAC 07J

SUBCHAPTER 07J – Technology provider requirements SECTION .0100 – GENERAL RULES 18 NCAC 07J .0101 Definitions For purposes of this Subchapter: (1) "Break in service" means: (a) the technology provider is subject to a disciplinary action by the Department that: (i) restricts its s…

18 NCAC 07J .0102 technology providers licensed or approved Only authorized technology providers may offer electronic notary solutions to any North Carolina notary public. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126; 10B-134.15; 10B-134.17; 10B-134.19; 10B-13…

18 NCAC 07J .0103 multiple services A technology provider that seeks or has authorization for a product or service that offers one or more types of electronic notary solution shall comply with the rules in this Subchapter applicable to each solution. Note: An IPEN solution that i…

18 NCAC 07J .0104 no transfer of license or approval A technology provider shall not assign, transfer, or sell its authorization to offer an electronic notary solution in North Carolina. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126; 10B-134.15; 10B-134.17; 10B…

18 NCAC 07J .0105 permissible provider designations An authorized technology provider may use the applicable following designations for its authorized electronic notary solutions only during the period that each approval or license is effective: (1) "approved North Carolina in-pe…

18 NCAC 07J .0106 authorization does not mean endorsement A technology provider shall not state or imply that the Department endorses the services of the technology provider. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126; 10B-134.15; 10B-134.17; 10B-134.19; 10B…

18 NCAC 07J .0107 timely response required A technology provider or applicant shall respond to any inquiry from the Department in the manner and within the time set by the Department. Extensions may be requested and granted pursuant to 18 NCAC 07B .0313 and .0314, respectively. H…

18 NCAC 07J .0108 subpoena or warrant Within three business days after receiving a subpoena, warrant, or court order that is related to a notary public's records, a technology provider shall notify the notary in writing of the subpoena, warrant, or court order, unless: (1) the su…

18 NCAC 07J .0109 service level agreement A technology provider's service level agreement shall include: (1) guaranteed uptime for the electronic notary solution; and (2) terms and conditions for crediting or reimbursing a notary public for unscheduled service outages. History No…

18 NCAC 07J .0110 advertising restriction A technology provider shall not display any of the following on screen during an electronic notarial transaction: (1) its own logos or those of another; (2) its own symbols or those of another; (3) advertising for itself or others; or (4)…

18 NCAC 07J .0111 compliance with technology provider protocols required Technology providers shall comply with applicable provisions of the Department's Scientific, Architectural, and Engineering Protocols for Technology Providers. The protocols may be accessed on the Department…

18 NCAC 07J .0112 implementation of policies and plans A technology provider shall implement all plans and policies required by the rules in this Subchapter. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126; 10B-134.15; 10B-134.17; 10B-134.19; 10B-134.21; 10B-134.…

18 NCAC 07J .0113 continuity of service In the event of a break in service, a technology provider shall, pursuant to Rule .0207 of this Subchapter, ensure that notaries public using its authorized services: (1) have continuous access to the notaries' records; and (2) have assista…

18 NCAC 07J .0114 when provider may use information Facilitating a notarial transaction and mitigating fraud are the only reasons that a technology provider or its supporting vendor may use, disclose, or permit disclosure of information that has not been anonymized and that is sp…

18 NCAC 07J .0115 when provider may retain backup copies of data A technology provider may retain backup copies of data associated with the notarial transaction process longer than the retention period otherwise specified in this Subchapter only if: (1) the backup copies of the d…

18 NCAC 07J .0116 data deletion requirement A technology provider shall securely delete data upon the finalization of the notarial session record if there is no retention requirement in the rules in this Subchapter. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126…

SECTION .0200 – NOTICES REQUIRED FROM TECHNOLOGY PROVIDERS 18 NCAC 07J .0201 notice of material change to electronic notary solution (a) After authorization by the Department and before implementation, a technology provider shall notify the Department of any material change to it…

18 NCAC 07J .0202 IMPLEMENTATION OF MATERIAL CHANGES PROHIBITED PENDING DEPARTMENTAL APPROVAL No material change to an electronic notary solution shall be implemented and offered to a notary public until the technology provider: (1) files written notice pursuant to the rules in t…

18 NCAC 07J .0203 notice to department of business information changes After authorization by the Department, a technology provider shall provide written notice to the Department: (1) within five business days of changes to: (a) the information required by 18 NCAC 07B .0402(2); (…

18 NCAC 07J .0204 contents of notice of changes A technology provider's written notice pursuant to Rule .0203 of this Section shall state: (1) what has changed; and (2) the correct information after the change. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126; 10B…

18 NCAC 07J .0205 notice to notaries of planned service outages (a) A technology provider shall provide at least five calendar days' notice to its subscribers and electronic notaries public that its systems will be unavailable due to planned maintenance. (b) The notice required u…

18 NCAC 07J .0206 service outage notification to the department As specified in the Department's authorization letter, a technology provider shall notify the Department immediately of any service outage or lack of accessibility to notaries public: (1) when the outage exceeds four…

18 NCAC 07J .0207 notice to notaries of break in service A technology provider subject to Rule .0114 of this Subchapter shall notify notaries public using its authorized services within three days of the occurrence of a break in service and include: (1) the reason for the break i…

18 NCAC 07J .0208 notice of reportable incident (a) Within 72 hours of discovery of a reportable incident, a technology provider shall notify the Department. (b) For purposes of the rules in this Section of this Subchapter, a reportable incident is one that involves: (1) a techno…

18 NCAC 07J .0209 content of notification to department Notification to the Department pursuant to Rule .0208 of this Section shall include the following information when available: (1) the names of the affected notaries public including their notary commission numbers; (2) a des…

18 NCAC 07J .0210 notification to other parties Technology providers shall notify affected persons of a reportable incident as required by applicable law, rule, or regulation. Note: The Identity Theft Protection Act, Chapter 75, Article 2A of the General Statutes is an example of…

18 NCAC 07J .0211 VERIFICATION OF CONTINUING COMPLIANCE A technology provider shall: (1) annually verify its compliance with the rules in this Subchapter for each approved electronic notary solution, by submitting the form in 18 NCAC 07B .0429; or (2) submit notice that it will n…

18 NCAC 07J .0212 timing of verification of continuing compliance A technology provider's verification of compliance pursuant to Rule .0211 of this Section shall be submitted to the Department: (1) no more than 60 days before the expiration of its approval; or (2) as part of its …

18 NCAC 07J .0213 Due diligence A technology provider's verification pursuant to Rule .0211 of this Section shall be made only after the exercise of due diligence to enable the signer to comply with Rule .0214 of this Section. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(…

18 NCAC 07J .0214 signer of verification A technology provider's verification pursuant to Rule .0211 of this Section shall be signed by a person with the authority to bind the provider and who certifies under penalty of perjury that the information on the form is true and complet…

18 NCAC 07J .0215 notice to department that provider will not review At least 90 days before its existing authorization expires, a technology provider shall notify the Department in writing: (1) if it declines to apply for a subsequent authorization of its electronic notary solut…

18 NCAC 07J .0216 notice to subscribers and notaries of nonrenewaL No later than the date that a technology provider gives notice to the Department pursuant to Rule .0215 of this Section, the provider shall: (1) notify each subscriber and notary public account holder in writing t…

SECTION .0300 – GENERAL APPLICATION PROCEDURES 18 NCAC 07J .0301 application process A technology provider applicant for authorization of an electronic notary solution shall: (1) submit a complete electronic application to the Department; (2) demonstrate the electronic notary sol…

18 NCAC 07J .0302 separate applications for each solution type A technology provider shall complete an application designating each type of electronic notary solution for which it seeks authorization. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126; 10B-134.15; 1…

18 NCAC 07J .0303 Application fees (a) Each application for a platform license shall be accompanied by a non-refundable five thousand dollar ($5,000) fee pursuant to G.S. 10B-134.19(b). (b) No fee is required to accompany an application for any other electronic notary solution. H…

18 NCAC 07J .0304 binding representations in application All representations, promises and assurances of performance made to the Department by a technology provider during the application process shall be binding and made under penalty of perjury. History Note: Authority G.S. 10B…

18 NCAC 07J .0305 limit on designation of trade secret or confidential information A technology provider applicant shall not designate its entire application as: (1) a trade secret; or (2) confidential information. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126;…

18 NCAC 07J .0306 designation of confidential or trade secret information A technology provider applicant shall designate each specific item on its application, attachments, and other filings for which confidentiality or trade secret protection is claimed. Each designation shall …

18 ncac 07j .0307 redacted copy A technology provider applicant that designates information as confidential or trade secret shall submit: (1) the unredacted filing with the confidential and trade secret designations; and (2) an exact duplicate of the filing with redactions of the…

18 NCAC 07J .0308 designation of redacted copy For any redacted document submitted pursuant to Rule .0307 of this Section, a technology provider applicant shall include the word "redacted" in: (1) the document title; (2) the document digital file name; and (3) a header on each pa…

18 NCAC 07J .0309 good faith basis for confidential or trade secret designation If a technology provider designates items on its application as confidential or trade secret, the applicant shall certify on the application that it has formed a good faith opinion that the informatio…

18 NCAC 07J .0310 SOURCES OF CONFIDENTIAL INFORMATION If designated as confidential or trade secret, the Department shall presume that the following plans and documents are confidential information or trade secrets: (1) configuration management plan required by Rule .0616 of this…

18 NCAC 07J .0311 application changes prior to licensure or approval If information in a technology provider's application changes before the Department's decision on the application, the provider shall inform the Department in writing, and: (1) state what has changed; and (2) st…

18 ncac 07j .0312 application withdrawal A technology provider applicant may withdraw its application: (1) before receiving notice of the Department's decision on its application; and (2) by providing written notice: (a) with the effective date of the withdrawal; and (b) signed b…

18 ncac 07j .0313 application resubmission A technology applicant may resubmit its application without a new application fee if the resubmission is delivered within 45 days of: (1) the application initially being rejected as incomplete; or (2) the application being withdrawn. His…

18 ncac 07j .0314 notice of department decision The Department shall notify a technology provider applicant whether its application is: (1) rejected as incomplete, with: (a) information regarding the areas in which the application is incomplete; and (b) a time within which the ap…

18 ncac 07j .0315 timing of submission of application for subsequent authorization A technology provider's application for a subsequent authorization shall be submitted: (1) no earlier than 120 days before its existing authorization expires; and (2) no later than 90 days before i…

SECTION .0400 – GENERAL APPLICATION CONTENTS 18 NCAC 07J .0401 contents of all technology provider applications All technology provider applicants shall submit applications that include the information required by: (1) this Section; and (2) 18 NCAC 07B .0422. History Note: Author…

18 ncac 07j .0402 provider name All technology provider applications shall include: (1) the provider's name in its state or jurisdiction of formation as required by 18 NCAC 07B .0402(2)(a); and (2) the names required by 18 NCAC 07B .0422(3)(c) and (d). History Note: Authority G.S…

18 ncac 07j .0403 contact information A technology provider's application shall include the contact information required by 18 NCAC 07B .0402. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126; 10B-134.15; 10B-134.17; 10B-134.19; 10B-134.21; 10B-134.23; Eff. July 1…