Regulatory Comment Letter

REGULATORY COMMENT LETTER — NORTH CAROLINA

North Carolina Regulatory Framework Overview

North Carolina's 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) administers the North Carolina Register and the North Carolina Administrative Code (NCAC). The Rules Review Commission (RRC), a body of ten members appointed by the General Assembly, reviews all adopted rules for compliance with statutory requirements under N.C.G.S. 150B-21.9.

North Carolina uses a distinctive two-phase rulemaking process: agencies must first publish proposed rule text and accept public comments before adopting the rule, and the RRC then independently reviews the adopted rule before it can take effect.

Key North Carolina Agencies Accepting Regulatory Comments

• Department of Environmental Quality (DEQ) — air quality, water resources, waste management, coastal management
• Department of Insurance (DOI) — insurance regulation, fire safety codes
• North Carolina Utilities Commission (NCUC) — electric, gas, water, telecommunications utilities
• Rules Review Commission (RRC) — reviews all adopted rules for statutory compliance
• Department of Health and Human Services (DHHS) — Medicaid, public health, social services, licensing
• Department of Revenue (DOR) — tax administration
• Department of Labor (DOL) — occupational safety, wage and hour
• State Board of Education / Department of Public Instruction — education regulations
• Occupational Licensing Boards (50+ boards) — professional licensing standards

North Carolina Rulemaking Process Summary

1. Agency publishes Notice of Text in the North Carolina Register (N.C.G.S. 150B-21.2)
2. Public comment period begins (minimum 60 days from publication)
3. Agency holds at least one public hearing during comment period (if 15+ persons request)
4. Agency adopts, modifies, or withdraws the proposed rule
5. Adopted rule submitted to RRC for review
6. RRC reviews for compliance with N.C.G.S. 150B-21.9 standards
7. If approved by RRC, rule entered in NCAC and takes effect
8. If objected to by RRC, rule returned to agency for revision

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
☐ Public Comment to Rules Review Commission on Adopted Rule (N.C.G.S. 150B-21.3A)
☐ 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 from Existing Rule
☐ Request for No-Action Letter or Advisory Opinion
☐ 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 adhere to established regulatory principles, including that rules may not be more restrictive than required by federal law and must be reasonably necessary to implement or interpret an enactment of the General Assembly or Congress.

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, agencies must prepare a fiscal note for proposed rules with a substantial economic impact (over $1 million in any 12-month 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: PUBLIC COMMENT TO THE RULES REVIEW COMMISSION (N.C.G.S. 150B-21.3A)

Under N.C.G.S. 150B-21.3A, after a rule is adopted by an agency and submitted to the RRC, any person may file a written objection ("public comment") with the RRC. The RRC will determine whether the objection has merit based on the review standards in N.C.G.S. 150B-21.9(a).

RRC Public Comment Template

[COMMENTER LETTERHEAD]

Date: [__/__/____]

Rules Review Commission
Office of Administrative Hearings
1711 New Hope Church Road
Raleigh, North Carolina 27609

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-21.3A, [________________________________] ("Commenter") respectfully submits this written objection to the above-referenced rule adopted by [________________________________].

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:
☐ Object to the rule and return to the agency
☐ Approve the rule with modifications
☐ Refer the matter for further public hearing

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, any person substantially affected by a rule may petition the agency that adopted the rule for a declaratory ruling on the validity or applicability of the rule. The agency must dispose of the petition within 60 days, or it is deemed denied.

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 Substantially Affected:
[________________________________]

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(a), the Agency must dispose of this petition within 60 days of receipt. Failure to do so constitutes a denial, which may be appealed as a final agency decision.

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

PART IV: REQUEST FOR WAIVER OR VARIANCE

[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 is more restrictive than required by federal law, contrary to N.C.G.S. 150B-19.1
☐ Other: [________________________________]

2. Specific Provisions at Issue:
[________________________________]

3. Analysis:
[________________________________]

Under N.C.G.S. 150B-2(8a), a "rule" is defined broadly to include any agency regulation, standard, or statement of general applicability that implements, interprets, or prescribes law or policy. If the guidance document meets this definition, the Agency must either withdraw it or adopt it through formal rulemaking procedures under Article 2A of Chapter 150B.

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 N.C.G.S. 150B-19.1 regulatory principles (no more restrictive than federal law)
☐ 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 to also file public comment with RRC after adoption

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
☐ Comment addresses the specific substance of the rule (required for RRC objections)
☐ 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, confirmed 15-person threshold (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 RRC objection, prepared written objection under N.C.G.S. 150B-21.3A
☐ Calendared RRC review session date: [__/__/____]
☐ Prepared for potential oral testimony at RRC hearing

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:

☐ File written objection with Rules Review Commission (N.C.G.S. 150B-21.3A)
☐ Petition for judicial review under N.C.G.S. 150B-43
☐ Request declaratory judgment in superior court
☐ Contact the Office of Administrative Hearings (984-236-1850)
☐ File petition with General Assembly standing committee

Sources and References

• North Carolina Administrative Procedure Act: N.C.G.S. Chapter 150B
• Office of Administrative Hearings (OAH): oah.nc.gov
• Rules Review Commission: oah.nc.gov/rules-division
• North Carolina Register: oah.nc.gov/rules-division/north-carolina-register
• North Carolina Administrative Code: reports.oah.state.nc.us/ncac.asp
• Participating in the Rulemaking Process: oah.nc.gov/rules-division/participating-rulemaking-process