North Carolina Administrative Code

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…

18 ncac 07j .0404 certification of standing A technology provider applicant shall certify in its application that it: (1) is currently registered to do business in North Carolina or has a certificate of authority to do business in North Carolina; and (2) is in current-active stat…

18 ncac 07j .0405 notary services in other jurisdictions A technology provider applicant's application shall provide the following information for each state, federally recognized tribe, or nation in which it has offered the same or similar services within the previous 10 years: …

18 ncac 07j .0406 compliance contact A technology provider applicant shall name a compliance contact on its application who shall: (1) be an employee; (2) be a key individual; (3) successfully complete the Department's electronic notary public course; and (4) successfully complet…

18 ncac 07j .0407 compliance contact duties A technology provider's compliance contact shall, for the duration of the provider's authorization: (1) have the duty to monitor the provider's compliance with: (a) Chapter 10B of the General Statutes; and (b) the rules in this Chapter;…

18 ncac 07j .0408 third-party vendors included in electronic notary solution A technology provider applicant shall list on its application any third-party vendors providing services to the technology provider in connection with the electronic notary solution for which it seeks au…

18 ncac 07j .0409 third-party vendor information A technology provider applicant shall provide the following information for each third-party vendor listed on its application: (1) the type of service that the vendor provides to the applicant; and (2) which, if any, of the third-p…

18 ncac 07j .0410 supporting vendors A technology provider applicant shall list on its application any supporting vendors providing the following services to the technology provider in connection with the electronic notary solution for which it seeks authorization: (1) cloud serv…

18 ncac 07j .0411 supporting vendor information A technology provider applicant shall specify the type of service provided by each supporting vendor listed on its application. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126; 10B-134.15; 10B-134.17; 10B-134.19; 10…

18 ncac 07j .0412 vendors with access to notarial transaction data A technology provider applicant shall disclose on its application the names of all vendors, business entities, and any of their affiliates that will have access to notarial transaction data when at rest. History N…

18 ncac 07j .0413 disclosure of certifications and compliance reports A technology provider applicant shall disclose on its application each independent third-party certification, SOC 2 Type 2 compliance report, or equivalent pertaining to the electronic notary solution for which…

18 ncac 07j .0414 disclosure of debarments A technology provider applicant shall disclose on its application if it or any of its key individuals is now or has ever been the subject of a debarment by a state, federally recognized tribe, or nation, and for each: (1) whether the deb…

18 ncac 07j .0415 disclosure of voluntary exclusions in lieu of debarment A technology provider applicant shall disclose on its application: (1) whether, within 10 years of its application, the applicant or any of its key individuals have agreed to voluntary exclusion in lieu of …

18 ncac 07J .0416 disclosure of civil legal actions A technology provider applicant shall disclose on its application all findings in civil legal actions, including arbitration: (1) made within 10 years of its application date; (2) that are against the applicant or any of its key…

18 ncac 07j .0417 content of civil legal action disclosures A technology provider's application disclosure pursuant to Rule .0416 of this Section shall include: (1) a description of each finding or admission; (2) a copy of the document containing the finding or admission; (3) a b…

18 ncac 07j .0418 disclosure of disciplinary actions A technology provider shall disclose on its application any disciplinary actions: (1) taken against it or any of its key individuals by any state, federally recognized tribe, or nation's government; and (2) concluded within 10 …

18 ncac 07j .0419 content of disciplinary action disclosures For each disciplinary action listed pursuant to Rule .0418 of this Section, a technology provider shall disclose: (1) the date of each disciplinary action; (2) the disciplinary action taken; (3) a copy of each disciplin…

18 ncac 07j .0420 disclosure of bankruptcy A technology provider applicant shall disclose on its application whether the applicant is in, or has previously exited within the past 10 years, bankruptcy proceedings pursuant to the laws of the United States or other nation. History N…

18 ncac 07j .0421 contents of bankruptcy disclosure A technology provider applicant that discloses a bankruptcy pursuant to Rule .0420 of this Section shall state: (1) the status of the matter; (2) the style of the case, including the case number; and (3) the court in which the b…

18 NCAC 07J .0422 WEBSITE INFORMATION The application of a technology provider applicant shall include: (1) the single URL link required by Rule .0607 of this Subchapter; and (2) the form required by 18 NCAC 07B .0422(6). History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 1…

18 NCAC 07J .0423 IT SECURITY AUDIT SUMMARY The application of a technology provider applicant shall include: (1) how often the applicant conducts IT security audits; and (2) the IT security audit summary required by Rule .0621 of this Subchapter. History Note: Authority G.S. 10B…

SECTION .0500 – TECHNOLOGY DEMONSTRATION 18 ncac 07j .0501 solution availability required After submitting its application, a technology provider applicant shall make its electronic notary solution available to the Department for evaluation as specified in the rules in this Subch…

18 ncac 07j .0502 demonstration content A technology provider's demonstration of its electronic notary solution shall establish that the features, functionality, and instructional materials for users comply with the rules in this Subchapter. History Note: Authority G.S. 10B-4; 10…

18 ncac 07j .0503 demonstration to include use of solution in notarial transaction A technology provider's demonstration of its electronic notary solution shall include a step-by-step exhibition of how the electronic notary solution will be used for notarial transactions. History…

18 ncac 07j .0504 additional demonstrations Upon request by the Department, a technology provider applicant shall provide additional demonstrations of its electronic notary solution to establish: (1) resolution of issues identified in a prior demonstration; and (2) compliance wit…

18 ncac 07j .0505 waiver of demonstration requirement The Department may waive the requirement that a technology provider applicant provide the demonstration required by Rule .0501 of this Section based upon the factors in 18 NCAC 07B .0108. History Note: Authority G.S. 10B-4; 10…

SECTION .0600 – TECHNOLOGY PROVIDER STANDARDS 18 NCAC 07J .0601 SCOPE The rules in this Section apply to electronic notary solutions. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10-126; 10B-134.15; 10B-134.17; 10B-134.19; 10B-134.21; 10B-134.23; Eff. January 1, 2007;…

18 ncac 07j .0602 notary account access A technology provider shall ensure that only the notary public, the technology provider, or a person authorized by law can access the notary's: (1) account information; (2) journals; (3) communication technology recordings; (4) session reco…

18 ncac 07j .0603 require notary multi-factor authentication A technology provider shall require multi-factor authentication before a notary public may access the notary's account. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126; 10B-134.15; 10B-134.17; 10B-134.1…

18 ncac 07j .0604 inactivity warning timing A technology provider's electronic notary solution shall issue a warning on screen to a notary public: (1) who is logged into the notary's account; and (2) has been inactive longer than 15 minutes. History Note: Authority G.S. 10B-4; 10…

18 ncac 07j .0605 provider action after warning No more than five minutes after the on screen warning in Rule .0604 of this Section, a technology provider's electronic notary solution shall: (1) determine whether there has been activity by the notary public in that five minutes; …

18 ncac 07j .0606 technology provider web page A technology provider shall create a publicly accessible web page or pages containing the information required by Rule .0607 of this Section. History Note: Authority G.S. 10B-4; 10B-106; 10B-125(b); 10B-126; 10B-134.15; 10B-134.17; 1…

18 ncac 07j .0607 single link and submission to department A technology provider shall ensure that the website page or pages required by Rule .0606 of this Section and website content required by Rule .0608 of this Section are accessible through a single link provided to the Depa…