North Carolina Administrative Code

18 NCAC 10 .0302 PUBLIC KEY TECHNOLOGY CERTIFICATION AUTHORITY: CERTIFICATE ISSUANCE AND MANAGEMENT - OVERVIEW (a) Overview. The Rules in this Section specify minimum requirements for issuance and management of certificates that may be used in verifying digital signatures. The di…

18 ncac 10 .0303 PUBLIC KEY TECHNOLOGY: CERTIFICATE POLICY GENERAL PROVISIONS (a) Certification Authority Obligations. The Certification Authority is responsible for all aspects of certificate issuance and management, including control over: (1) the application / enrollment proce…

18 ncac 10 .0304 PUBLIC KEY TECHNOLOGY; IDENTIFICATION AND AUTHENTICATION (a) Initial Registration: (1) Subject to the requirements of this Rule, certificate applications may be communicated from the applicant to Certification Authority or Registration Authority, and authorizatio…

18 ncac 10 .0305 PUBLIC KEY TECHNOLOGY: OPERATIONAL REQUIREMENTS (a) Certificate Application. A certificate applicant shall complete a certificate application in a form prescribed by the Certification Authority Certificate Policy and enter into a subscriber agreement with the Cer…

18 ncac 10 .0306 PUBLIC KEY TECHNOLOGY: PHYSICAL, PROCEDURAL, AND PERSONNEL SECURITY CONTROLS (a) Physical Security -- Access Controls. (1) The Certification Authorities, and all Registration Authorities, Certificate Manufacturing Authorities and Repository Services Providers, sh…

18 ncac 10 .0307 PUBLIC KEY TECHNOLOGY: TECHNICAL SECURITY CONTROLS (a) Key Pair Generation and Installation. (1) Key Pair Generation. Key pairs for Certification Authorities, Registration Authorities, Certificate Manufacturing Authorities, Repository Services Providers, and subs…

18 NCAC 10 .0308 PUBLIC KEY TECHNOLOGY: CERTIFICATE AND CERTIFICATE REVOCATION LIST PROFILES (a) Certificate Profile: (1) Certificates referencing the Rules in this Chapter shall contain public keys used for authenticating the sender of an electronic message and verifying the int…

18 NCAC 10 .0309 PUBLIC KEY TECHNOLOGY: RULE ADMINISTRATION (a) List of Items. Notice of all proposed changes to the Rules in this Chapter under consideration by the Department of the Secretary of State, that may affect users of the Rules (other than editorial or typographical co…

SECTION .0400 - BIOMETRICS (RESERVED) Editor's Note: Temporary Rules .0401 and .0402 effective February 23, 1999 were recodified as Rules .0801 and .0802.

SECTION .0500 - SIGNATURE DYNAMICS (RESERVED) Editor's Note: Temporary Rule .0501 effective February 13, 1999 was recodified as Rule .0901.

SECTION .0600 - RESERVED FOR FUTURE CODIFICATION

SECTION .0700 – ALTERNATE TECHNOLOGIES 18 ncac 10 .0701 ALTERNATE TECHNOLOGIES AND PROVISIONAL LICENSING Alternate Technologies: Any person may petition the Electronic Commerce Section to initiate rulemaking to recognize a technology not currently recognized under the rules in th…

SECTION .0800 – SANCTIONS AND ENFORCEMENT 18 ncac 10 .0801 CIVIL SANCTIONS (a) If, upon investigation, the Electronic Commerce Section finds that a Certification Authority has violated any provision of the Electronic Commerce Act or the rules in this Chapter, or finds that the Ce…

18 NCAC 10 .0802 CRIMINAL PENALTIES AND INJUNCTIVE RELIEF History Note: Authority G.S. 66-58.6; 66-58.8; 66-58.10; Temporary Adoption Eff. February 23, 1999; Recodified from Rule .0402; Codifier determined on November 23, 1999 that agency findings did not meet criteria for tempor…

section .0900 - reciprocity 18 ncac 10 .0901 RECIPROCAL AGREEMENTS AND LICENSURE BY RECIPROCITY (a) Certification Authorities licensed by other jurisdictions may request North Carolina licensure by the North Carolina Electronic Commerce Section. The applicant must be currently li…

18 NCAC 11 .0103 PURPOSE History Note: Authority G.S. 131C-12; 143B-153; Eff. January 1, 1982; Repealed Eff. November 1, 1989.

18 NCAC 11 .0104 DEFINITIONS (a) Terms defined in G.S. 131F-2 shall have the same meaning for the purpose of this Section as they do in the statute. (b) "The Act" means an Act to rewrite the Charitable Solicitation Act, G.S. 131F-1 et. seq. (c) "Advertising material" means printe…

18 NCAC 11 .0105 CONTESTED CASE HEARING PROCEDURES History Note: Filed as a Temporary Repeal Eff. January 1, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner; Authority G.S. 131C-12; 150B-14(c); Eff. January 1, 1982. Amended Eff. No…

18 NCAC 11 .0204 EXEMPTED PERSONS History Note: Authority G.S. 131C-12; Eff. January 1, 1982; Amended Eff. July 1, 1982; Repealed Eff. November 1, 1989.

18 NCAC 11 .0205 FOUNDATIONS AND INSTRUCTIONAL UNITS A foundation or instructional unit shall be considered to have an established identity with an educational institution if the relationship between the trustees of the educational institution and the foundation or instructional …

18 NCAC 11 .0305 PERSONS SUBJECT TO LICENSURE (a) Any person subject to licensure under G.S. 131F-5, 131F-15, or 131F-16 shall file an application with the Department on forms provided by the Department prior to soliciting. (b) If the Department identifies a person who has failed…

18 NCAC 11 .0306 INCOMPLETE APPLICATION An applicant who fails to respond to any question, to provide any required information, or to submit the proper fee shall not be licensed. History Note: Authority G.S. 131F-5; 131F-15; 131F-16; 131F-33; Eff. January 1, 1982; Temporary Amend…

18 NCAC 11 .0307 CHARITABLE ORGANIZATIONS History Note: Filed as a Temporary Repeal Eff. January 1, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner; Authority G.S. 131C-12; Eff. January 1, 1982; Amended Eff. July 1, 1982; Repealed …

18 NCAC 11 .0308 FEDERATED FUND-RAISING ORGANIZATIONS (a) A Federated Fund-Raising Organization (FFRO), unless exempt under G.S. 131F-3, shall file an application which identifies member agencies of the FFRO. The identification of the member agencies shall include the licensure s…

18 NCAC 11 .0405 UNCOLLECTIBLE FEES If any applicant remits a fee in the form of a check or other instrument which is uncollectible from the paying institution, the Department shall notify the applicant of the nonpayment. If full payment of the fee is not received within 15 days …

18 NCAC 11 .0503 FINANCIAL INFORMATION OF CHARITABLE ORGANIZATIONS (a) A charitable organization or sponsor shall maintain financial records. (b) Any person subject to licensure under G.S. 131F-5, 131F-15 and 131F-16 shall maintain accurate financial records. The financial record…

18 NCAC 11 .0504 ACCOUNTING BY SOLICITORS Within 90 days from the conclusion of a solicitation for which a solicitor has been retained, the solicitor shall provide to the Department an accounting of all monies received, pledged, and disbursed. The accounting shall be on a form pr…

18 NCAC 11 .0505 CHARITABLE SALES PROMOTION - COVENTURE (a) Prior to a charitable sales promotion or coventure by a charitable organization or sponsor, the charitable organization or sponsor shall obtain the following: (1) A license as required under G.S. 131F-5, unless exempt fr…

18 NCAC 11 .0506 SIMPLIFIED REPORTING FOR CERTAIN ORGANIZATIONS (a) A charitable organization or sponsor which has total support and revenue for the preceding fiscal year of less than one hundred thousand dollars ($100,000) may elect to file its financial statement as required by…

18 NCAC 11 .0507 MANAGEMENT OF THE CHARITABLE ORGANIZATION History Note: Filed as a Temporary Repeal Eff. January 1, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner; Authority G.S. 131C-12; Eff. January 1, 1982; Amended Eff. July 1…

18 NCAC 11 .0607 LICENSE YEAR (a) A license year for a charitable organization or sponsor shall begin on the 15th day of the fifth month after the end of the fiscal year. The Department shall grant a different license year upon receipt of written notification of fiscal year chang…

18 NCAC 11 .0608 NONTRANSFERABILITY OF LICENSE (a) The license issued to any person subject to G.S. 131F shall not be transferable. (b) Upon receipt of documentation of a name change of a licensed person, the Department shall issue, without cost to the licensee, a new license. (c…

18 NCAC 11 .0705 SOLICITATION VIOLATIONS AND REQUIREMENTS (a) Any person, subject to licensure under G.S. 131F et. seq., who promises to produce an event and fails to do so or has not produced the event within 60 days following the scheduled event shall offer of a full refund to …

CHAPTER 12 – LOBBYING SECTION .0100 – GENERAL 18 NCAC 12 .0101 SCOPE (a) The rules in this Chapter execute the authority granted to the Secretary of State pursuant to Chapter 120C of the North Carolina General Statutes ("the Secretary's authority"). (b) The rules in this Chapter …

18 NCAC 12 .0102 CALCULATION OF TIME PERIODS Time periods shall be calculated pursuant to the requirements of G.S. 1A-1, Rule 6 for documents ("document(s)" or "filing(s)") filed with the Department. History Note: Authority G.S. 1A-1, Rule 6; 120C-101(a); 120C-101(b); 120C-200; 1…

18 NCAC 12 .0103 CALCULATION OF QUARTERLY REPORTING PERIOD When calculating a deadline for a document submitted to the Department on a quarterly basis or for a quarterly reporting period: (1) The reporting period for the first quarter ends on March 31; (2) The reporting period fo…

18 NCAC 12 .0104 CALCULATION OF MONTHLY REPORTING PERIOD When calculating a deadline for a document filed with the Department on a monthly basis for a monthly reporting period, the reporting period ends on the last calendar day of the month. History Note: Authority G.S. 1A-1, Rul…

18 NCAC 12 .0105 WAIVER Upon consideration of a written request, the Secretary or the Secretary's designee may waive any rule in this Chapter. The factors which the Secretary shall use in determining whether to grant a waiver are set out in Rule .0106 of this Chapter. History Not…

18 NCAC 12 .0106 FACTORS FOR WAIVERS Factors which may be used to determine whether to grant a waiver to a person or entity requesting a waiver (the "requester") are: (1) Whether the requester had control over the circumstances which underlie the requested waiver; (2) Previous re…

SECTION .0200 – FORMS COMPLETION 18 NCAC 12 .0201 MANDATORY USE OF DEPARTMENTAL FORMS The Department's forms shall be used to file all documents submitted to the Department. History Note: Authority G.S. 120C-101(a); 120C-101(b); 120C-200; 120C-201; 120C-206; 120C-207; 120C-215; 1…

18 NCAC 12 .0202 FILING MAY BE ELECTRONIC OR PAPER An individual or entity submitting a form to the Department may submit the form in paper or electronic format except as otherwise provided by this Chapter. History Note: Authority G.S. 120C-101(a); 120C-101(b); 120C-200; 120C-206…

18 NCAC 12 .0203 DOCUMENT COMPLETION REQUIREMENTS An individual or entity shall provide a response on the Department's forms to all requests for information. History Note: Authority G.S. 120C-101(a); 120C-101(b); 120C-200; 120C-206; 120C-207; 120C-215; 120C-220; 120C-401; 120C-40…

18 NCAC 12 .0204 ITEMS WHICH ARE NOT APPLICABLE TO THE PERSON OR ENTITY COMPLETING A FORM If a question or item is not applicable to the individual or entity submitting the document, the individual or entity submitting the document shall not leave the question or item blank but s…

18 NCAC 12 .0205 COMPLETE NAME OF PERSON OR ENTITY REQUIRED The complete name of the person or entity filing a document shall be legibly printed in the designated space on the Department's form. History Note: Authority G.S. 120C-101(a); 120C-101(b); 120C-200; 120C-206; 120C-207; …

18 NCAC 12 .0206 DOCUMENT SIGNATURE REQUIRED Except as otherwise permitted by the rules in this Chapter, a document shall be signed by a person required or authorized to file the document with the Department. History Note: Authority G.S. 120C-101(a); 120C-101(b); 120C-200; 120C-2…

18 NCAC 12 .0207 SIGNATURE FOR ENTITY In the case of an entity, a document filed with the Department shall be signed by an officer authorized to do so. The officer's title or indication of the officer's authority to sign the document shall also be entered on the document in the d…

18 NCAC 12 .0208 ELECTRONIC SIGNATURE (a) All electronic notarizations shall be performed in compliance with Chapter 10B of the General Statutes and the rules in effect pursuant to that Chapter. (b) Signers of electronic documents in a non-notarial capacity may use any form of el…

18 NCAC 12 .0209 FORM PREPARER SIGNATURE REQUIRED A person who prepares or completes any part of a document on behalf of an individual or entity required or permitted to file a document with the Department shall sign the document in the space provided for a preparer's signature, …

18 NCAC 12 .0210 WHEN FORM PREPARER SIGNATURE NOT REQUIRED A person who enters information on a Department form on behalf of an individual or entity required or permitted to file the form and who does not exercise independent judgment or discretion as to the information that is e…

18 NCAC 12 .0211 SIGNING PURSUANT TO POWER OF ATTORNEY A person signing a Department form on behalf of another under a power of attorney granted pursuant to Chapter 32A of the General Statutes shall provide with each document filed: (1) A legible copy of the power of attorney; an…