Regulatory Comment Letter - North Carolina

REGULATORY COMMENT LETTER — NORTH CAROLINA

North Carolina Regulatory Framework Overview

North Carolina's general rulemaking and regulatory-comment process is governed by the Administrative Procedure Act (APA), N.C.G.S. Chapter 150B. The Office of Administrative Hearings (OAH) publishes the North Carolina Register and maintains the North Carolina Administrative Code (NCAC). The Rules Review Commission (RRC) reviews submitted rules under the statutory standards in N.C.G.S. 150B-21.9.

For an agency and rule subject to Article 2A, the agency publishes proposed text, accepts comments, adopts the rule, and submits it to the RRC. Exemptions, agency-specific statutes, legislative-review objections, high-cost-rule ratification, and later agency effective dates can change that route.

Applicability Gate — Complete Before Using the Generic Process

• Confirm that the entity and action are subject to Chapter 150B and Article 2A. N.C.G.S. 150B-1 contains full and partial exemptions.
• The North Carolina Utilities Commission is fully exempt from Chapter 150B under N.C.G.S. 150B-1(c)(3).
• The Department of Revenue is exempt from Part 2 notice and hearing requirements as provided in N.C.G.S. 150B-1(d)(4).
• Check the agency's enabling statute, current notice of text, agency rules, and any federal-program or subject-specific procedure before using this packet.

North Carolina Rulemaking Process Summary

1. Agency publishes Notice of Text in the North Carolina Register (N.C.G.S. 150B-21.2)
2. Agency accepts comments for at least 60 days after publication, or through any later public-hearing date
3. Agency holds a public hearing if it receives one written hearing request within 15 days after publication; it may also schedule a hearing voluntarily
4. Agency adopts, modifies, republishes a substantially different proposal, or withdraws the proposed rule
5. Adopted rule is submitted to the RRC within 30 days after adoption
6. RRC reviews for compliance with N.C.G.S. 150B-21.9 standards
7. If approved, the default effective date is the first day of the following month, subject to a later agency date, qualifying written objections, high-cost-rule ratification, and other statutory exceptions
8. If the RRC objects, N.C.G.S. 150B-21.12 governs the agency's revision or written-response route

Type of Regulatory Comment

☐ Comment on Proposed Permanent Rule (N.C.G.S. 150B-21.2)
☐ Comment on Proposed Temporary Rule (N.C.G.S. 150B-21.1)
☐ Comment on Existing Rule — Request for Amendment or Repeal
☐ Written Objection Requesting Legislative Review of an Adopted Permanent Rule (N.C.G.S. 150B-21.3(b2))
☐ Comment on Agency Guidance Document or Interpretive Statement
☐ Comment on Agency Enforcement Policy
☐ Petition for Declaratory Ruling (N.C.G.S. 150B-4)
☐ Petition for Rulemaking (N.C.G.S. 150B-20)
☐ Request for Waiver or Variance Authorized by the Rule's Specific Guidelines (N.C.G.S. 150B-19(6))
☐ Request for No-Action Letter or Advisory Opinion, only if the Agency has current authority and a procedure for issuing one
☐ Comment on Fiscal / Regulatory Impact Analysis

PART I: PRIMARY COMMENT LETTER TEMPLATE

A. Letterhead and Identification

[COMMENTER NAME / ORGANIZATION LETTERHEAD]
[________________________________]
[________________________________]
[________________________________]
[City, State ZIP]
Telephone: [________________________________]
Email: [________________________________]

Date: [__/__/____]

B. Agency Addressee

[Name of Agency Head / Rulemaking Coordinator]
[Title]
[Agency Name]
[________________________________]
[________________________________]
[City], North Carolina [____]

Via: ☐ First-Class Mail  ☐ Email ([________________________________])
     ☐ Online Portal  ☐ Hand Delivery  ☐ NC Register Submission

C. Reference Line

Re:     Regulatory Comment — [________________________________]
        North Carolina Register Citation: [____] N.C. Reg. [____] ([__/__/____])
        NCAC Citation: [____] NCAC [____].[____]
        Agency: [________________________________]
        Comment Period Deadline: [__/__/____]

D. Introduction

Dear [________________________________]:

On behalf of [________________________________] ("Commenter"), [I/we] respectfully submit the following comments in response to [the proposed rulemaking / the adopted rule pending RRC review / the agency guidance document / the enforcement policy] published by [________________________________] (the "Agency") in the North Carolina Register on [__/__/____], Volume [____], Issue [____], concerning [________________________________] (the "Proposed Action").

Commenter is a [________________________________] [individual / business entity / trade association / nonprofit organization / government entity] [operating in / representing members in] [________________________________] in the State of North Carolina. Commenter has a direct and substantial interest in the Proposed Action because [________________________________].

Commenter [☐ has / ☐ has not] requested inclusion on the Agency's rulemaking mailing list pursuant to N.C.G.S. 150B-21.2(d).

E. Executive Summary

Commenter [☐ supports / ☐ opposes / ☐ supports with modifications] the Proposed Action and respectfully requests that the Agency:

1. [________________________________]
2. [________________________________]
3. [________________________________]
4. [________________________________]

F. Statutory and Regulatory Background

The Agency's authority to [adopt / amend / interpret] the [rule / guidance / policy] at issue derives from:

• Enabling Statute: N.C.G.S. [________________________________]
• Administrative Procedure Act: N.C.G.S. Chapter 150B
• Relevant NCAC Section(s): [____] NCAC [____].[____]
• Related Federal Law (if applicable): [________________________________]

Under N.C.G.S. 150B-19.1, agencies must use expressly authorized, necessary, clear, nonredundant, evidence-based, cost-effective rules and seek to reduce compliance burdens. When a proposal implements or relates to federal law, subsection (g) requires a certification explaining whether the proposal is required by or exceeds federal law. The separate federal-stringency limit in N.C.G.S. 150B-19.3 applies only to the listed environmental agencies and includes statutory exceptions.

G. Section-by-Section Analysis and Comments

Comment 1: [Rule Section / Provision]

Comment 2: [Rule Section / Provision]

Comment 3: [Rule Section / Provision]

[Add additional comments as needed]

H. Fiscal and Regulatory Impact Analysis

Under N.C.G.S. 150B-21.4(b1), an agency must prepare an approved fiscal note for a covered permanent rule change with a substantial economic impact—an aggregate financial impact on all affected persons of at least $1 million over a five-year period. Commenter offers the following analysis:

Estimated Compliance Cost: $[________________________________]

Impact on Small Businesses: [________________________________]

Impact on Local Government: [________________________________]

Impact on Employment in North Carolina: [________________________________]

Availability of Less Restrictive Alternatives: [________________________________]

Consistency with N.C.G.S. 150B-19.1 Regulatory Principles: [________________________________]

I. Rules Review Commission Standards (N.C.G.S. 150B-21.9)

Commenter respectfully calls attention to the following RRC review standards that bear on the Proposed Action:

☐ The rule is within the agency's statutory authority (N.C.G.S. 150B-21.9(a)(1))
☐ The rule is clear and unambiguous (N.C.G.S. 150B-21.9(a)(2))
☐ The rule is reasonably necessary to implement or interpret a statute (N.C.G.S. 150B-21.9(a)(3))
☐ The rule was adopted in accordance with Part 2 procedures (N.C.G.S. 150B-21.9(a)(4))

Commenter's position on each applicable standard: [________________________________]

J. Alternatives and Recommendations

Commenter respectfully proposes the following alternative approaches:

1. Alternative A: [________________________________]
   - Advantages: [________________________________]
   - Implementation: [________________________________]

2. Alternative B: [________________________________]
   - Advantages: [________________________________]
   - Implementation: [________________________________]

K. Conclusion

For the reasons set forth above, Commenter respectfully urges the Agency to [________________________________]. Commenter requests that the Agency [adopt / modify / withdraw] the Proposed Action [in its entirety / as specifically described herein].

Commenter [☐ requests / ☐ does not request] a public hearing on the proposed rule pursuant to N.C.G.S. 150B-21.2(e).

Commenter [☐ requests / ☐ does not request] notification of the Agency's final action on this matter.

L. Supporting Documentation

The following documents are attached in support of this comment:

☐ Exhibit A: [________________________________]
☐ Exhibit B: [________________________________]
☐ Exhibit C: [________________________________]
☐ Exhibit D: [________________________________]
☐ Fiscal Impact Analysis
☐ Technical Data / Expert Report
☐ Comparative Regulatory Analysis (other jurisdictions)

M. Signature Block

Respectfully submitted,

________________________________________
[Full Name]
[Title / Position]
[Organization]
[________________________________]
[City], North Carolina [____]
Telephone: [________________________________]
Email: [________________________________]

Date: [__/__/____]

PART II: WRITTEN OBJECTION REQUESTING LEGISLATIVE REVIEW (N.C.G.S. 150B-21.3(b2))

Section 150B-21.3A governs periodic review and readoption of existing rules; it is not the ordinary objection route for a newly adopted rule. Under N.C.G.S. 150B-21.3(b2), a person whose objection was not resolved before adoption may submit a written objection to the RRC. To trigger the delayed-effective-date and legislative-review process, the RRC must receive qualifying objections from at least 10 persons, clearly requesting legislative review, no later than 5:00 p.m. on the day after the RRC approves the rule. Follow the current agency and RRC instructions exactly.

RRC Written Objection Template

[COMMENTER LETTERHEAD]

Date: [__/__/____]

Rules Review Commission
Office of Administrative Hearings
[CURRENT SUBMISSION ADDRESS OR PORTAL FROM OAH]

Re:     Public Comment / Written Objection to Adopted Rule
        Agency: [________________________________]
        NCAC Citation: [____] NCAC [____].[____]
        Date of Adoption: [__/__/____]
        RRC Review Session: [__/__/____]

Dear Members of the Rules Review Commission:

Pursuant to N.C.G.S. 150B-21.3(b2), [________________________________] ("Objector") submits this written objection to the above-referenced permanent rule adopted by [________________________________] and clearly requests legislative review.

1. Rule at Issue: [____] NCAC [____].[____]

2. Standard(s) of Review Implicated (N.C.G.S. 150B-21.9(a)):
☐ (a)(1) — Rule exceeds the agency's statutory authority
☐ (a)(2) — Rule is ambiguous or unclear
☐ (a)(3) — Rule is not reasonably necessary to implement or interpret a statute
☐ (a)(4) — Rule was not adopted in accordance with Part 2 procedures

3. Specific Substance of Objection:
[________________________________]

4. Supporting Legal Analysis:
[________________________________]

5. Requested RRC Action:
☐ Apply the N.C.G.S. 150B-21.9 standards and object if the rule fails any standard
☐ Request an OSBM determination whether a fiscal note was required, as permitted by N.C.G.S. 150B-21.9(a)
☐ Count this submission as a clear request for legislative review under N.C.G.S. 150B-21.3(b2)
☐ Other action within the RRC's current statutory authority: [________________________________]

Respectfully submitted,

________________________________________
[Full Name]
[Title]
Date: [__/__/____]

PART III: PETITION FOR DECLARATORY RULING (N.C.G.S. 150B-4)

Under N.C.G.S. 150B-4, a person aggrieved may request a declaratory ruling on the validity of a rule; the applicability of a statute administered by the agency, rule, or order to stated facts; or an internal agency interpretive conflict. The agency's own rules govern the request procedure and circumstances for issuance.

Declaratory Ruling Petition Template

BEFORE THE [AGENCY NAME]
STATE OF NORTH CAROLINA

In the Matter of:                           )
                                            )
Petition for Declaratory Ruling             )    File No. [________________]
Regarding [________________________________])
                                            )
Filed by: [________________________________])

TO THE [AGENCY NAME]:

Pursuant to N.C.G.S. 150B-4, the undersigned Petitioner respectfully requests a declaratory ruling as set forth below:

1. Petitioner Information:

• Name: [________________________________]
• Address: [________________________________]
• Telephone: [________________________________]
• Email: [________________________________]
• Attorney (if represented): [________________________________], NC Bar No. [____]

2. Rule or Statute at Issue:

• NCAC Citation: [____] NCAC [____].[____]
• Statutory Citation: N.C.G.S. [________________________________]

3. How Petitioner Is Aggrieved:
[________________________________]

4. Statement of Facts:
[________________________________]

5. Specific Question(s) Presented:

1. [________________________________]
2. [________________________________]

6. Petitioner's Position and Legal Analysis:
[________________________________]

7. Supporting Documentation:
☐ Factual exhibits attached
☐ Legal memorandum attached
☐ Prior agency determinations on related issues

8. Requested Relief:
Petitioner respectfully requests that the Agency issue a declaratory ruling confirming that [________________________________].

Note: Under N.C.G.S. 150B-4(a1), the Agency has 30 days after receipt to grant or deny the request; silence is a deemed denial. If granted, the written ruling on the merits is due within 45 days after the grant decision; failure to issue it is a deemed denial on the merits. Denials and rulings are subject to judicial review under Article 4.

________________________________________
[Signature]
[Printed Name]
[Title]
Date: [__/__/____]

PART IV: REQUEST FOR WAIVER OR VARIANCE

N.C.G.S. 150B-19(6) bars an agency from adopting a rule that permits waiver or modification of a rule requirement unless a rule establishes specific decision guidelines. Use this request only after identifying the current rule that authorizes the waiver or variance, its factors, decision maker, procedure, and review route.

[LETTERHEAD]

Date: [__/__/____]

[Agency Head / Division Director]
[Agency Name]
[Address]

Re:     Request for Waiver/Variance from [________________________________]
        NCAC Citation: [____] NCAC [____].[____]
        Applicant: [________________________________]

Dear [________________________________]:

[________________________________] ("Applicant") respectfully requests a [☐ waiver / ☐ variance] from the requirements of [________________________________].

1. Rule from Which Waiver/Variance is Sought:
[________________________________]

2. Specific Provision(s) at Issue:
[________________________________]

3. Factual Basis for Request:
[________________________________]

4. Hardship or Impracticability:
[________________________________]

5. How the Purpose of the Rule Will Still Be Achieved:
[________________________________]

6. Alternative Compliance Measures Proposed:
[________________________________]

7. Public Health, Safety, and Welfare Considerations:
[________________________________]

8. Duration of Requested Waiver/Variance:
☐ Permanent ☐ Temporary — through [__/__/____]

Respectfully submitted,

________________________________________
[Signature]
[Printed Name]
[Title]
Date: [__/__/____]

PART V: COMMENT ON AGENCY GUIDANCE DOCUMENT

[LETTERHEAD]

Date: [__/__/____]

[Agency Head / Division Director]
[Agency Name]
[Address]

Re:     Comment on Agency Guidance Document
        Document Title: [________________________________]
        Date Published: [__/__/____]

Dear [________________________________]:

[________________________________] ("Commenter") respectfully submits the following comments regarding the above-referenced guidance document.

1. Nature of Concern:
☐ The guidance exceeds the Agency's statutory authority
☐ The guidance conflicts with existing rules in the NCAC
☐ The guidance constitutes a "rule" under N.C.G.S. 150B-2(8a) and requires formal rulemaking
☐ The guidance is ambiguous or unclear in application
☐ The guidance imposes requirements not authorized by statute or rule
☐ The guidance conflicts with the agency's N.C.G.S. 150B-19.1 federal-law certification or, for a listed environmental agency, the limits and exceptions in N.C.G.S. 150B-19.3
☐ Other: [________________________________]

2. Specific Provisions at Issue:
[________________________________]

3. Analysis:
[________________________________]

Under N.C.G.S. 150B-2(8a), a "rule" includes covered agency standards or statements of general applicability that implement, interpret, or prescribe law or policy. N.C.G.S. 150B-18 provides that an agency may not implement or enforce against a person an unadopted policy, guideline, or interpretive statement that meets that definition. Analyze the definition's exclusions and the agency's authority before requesting relief.

4. Requested Action:
☐ Withdraw the guidance document
☐ Revise the guidance document
☐ Initiate formal rulemaking under N.C.G.S. 150B-21.2
☐ Issue a declaratory ruling under N.C.G.S. 150B-4
☐ Other: [________________________________]

Respectfully submitted,

________________________________________
[Signature]
[Printed Name]
[Title]
Date: [__/__/____]

PART VI: COMMENT PREPARATION CHECKLIST

Before Submitting Your Comment

☐ Verified the comment period deadline (minimum 60 days from NC Register publication)
☐ Confirmed correct agency and submission address/method
☐ Reviewed the full text of the proposed or adopted rule
☐ Reviewed the agency's fiscal note (if applicable under N.C.G.S. 150B-21.4)
☐ Reviewed the agency's statement of purpose and basis for the rule
☐ Identified all specific NCAC sections or provisions at issue
☐ Researched relevant enabling statutes (N.C.G.S. citations)
☐ Researched relevant existing NCAC provisions
☐ Checked for related federal regulations or preemption issues
☐ Considered the N.C.G.S. 150B-19.1 regulatory principles and federal-law certification; checked N.C.G.S. 150B-19.3 if a listed environmental agency is involved
☐ Prepared economic/compliance cost analysis if applicable
☐ Gathered supporting data, studies, or expert opinions
☐ Drafted section-by-section comments with specific proposed language changes
☐ Identified less burdensome alternatives where applicable
☐ Reviewed comment for legal accuracy and professional tone
☐ Considered whether a later written objection requesting legislative review under N.C.G.S. 150B-21.3(b2) is warranted

Submission Requirements

☐ Comment is addressed to the correct agency rulemaking coordinator
☐ Comment clearly identifies the proposed rule by NCAC citation and NC Register reference
☐ Comment includes commenter's full contact information
☐ Any RRC objection clearly identifies the rule, unresolved objection, requested review, and applicable N.C.G.S. 150B-21.9 standard
☐ Comment is filed before the comment period deadline
☐ Retained copy of comment for records
☐ If submitting electronically, confirmed receipt acknowledgment
☐ If requesting a public hearing, submitted one written request within 15 days after publication (N.C.G.S. 150B-21.2(e))

Post-Submission Follow-Up

☐ Confirmed receipt of comment by the Agency
☐ Calendared end of comment period: [__/__/____]
☐ Monitored NC Register for agency adoption action
☐ Monitored RRC meeting schedule for rule review
☐ If filing an RRC objection, prepared and timed it under N.C.G.S. 150B-21.3(b2) and current RRC instructions
☐ Calendared RRC review session date: [__/__/____]
☐ Confirmed current RRC agenda, submission deadline, and whether oral participation is permitted

PART VII: AGENCY RESPONSE OBLIGATIONS

Under North Carolina's APA, agencies and the RRC have the following obligations:

Challenging Agency Non-Compliance

If the Agency fails to comply with its obligations:

☐ Submit a timely written objection requesting legislative review under N.C.G.S. 150B-21.3(b2), if that route fits
☐ Petition for rulemaking under N.C.G.S. 150B-20; a denial is a final agency decision subject to judicial review
☐ Request a declaratory ruling under N.C.G.S. 150B-4 and follow the agency's current rule
☐ Seek judicial review only when N.C.G.S. 150B-4, 150B-20, 150B-43, or another applicable statute authorizes it and exhaustion requirements are satisfied
☐ Consult the current OAH and agency contact directories for the proper filing office

Sources and References

• North Carolina Administrative Procedure Act, N.C.G.S. Chapter 150B — https://www.ncleg.gov/EnactedLegislation/Statutes/PDF/ByChapter/Chapter_150B.pdf
• Office of Administrative Hearings — https://www.oah.nc.gov/
• Rules Division and Rules Review Commission — https://www.oah.nc.gov/rules-division
• North Carolina Register — https://www.oah.nc.gov/rules-division/north-carolina-register
• North Carolina Administrative Code — https://reports.oah.state.nc.us/ncac.asp