NORTH CAROLINA ADMINISTRATIVE CODE
TITLE 21
OCCUPATIONAL LICENSING BOARDS
CHAPTER 68
CERTIFICATION BOARD FOR SUBSTANCE ABUSE PROFESSIONALS

SECTION .0100 -- GENERAL
SECTION .0200 -- CERTIFICATION
SECTION .0300 -- CLINICAL ADDICTIONS SPECIALIST
SECTION .0400 -- EDUCATION
SECTION .0500 -- ETHICAL PRINCIPLES OF CONDUCT
SECTION .0600 -- GROUNDS FOR DISCIPLINE AND DISCIPLINARY PROCEDURE
SECTION .0700 -- APPEALS PROCESS

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21 NCAC 68 .0101
DEFINITIONS

As used in the General Statutes or this Chapter, the following terms have the following meaning:

(1) "Applicant" means a person who submits documentation seeking Board status for registration or certification.
(2) "Application packet" means a set of instructions and forms required by the Board for registration.
(3) "Approved Supervisor" means a supervisor as set out in G.S. 90-113.31. This is a person who fulfills or is in the process of fulfilling the requirements for this Board designation pursuant to Rule .0211 of this Chapter by completing its academic, didactic and experiential requirements.
(4) "Assessment" means identifying and evaluating an individual's strengths, weaknesses, problems and needs for the development of a treatment or service plan for alcohol, tobacco and drug abuse.
(5) "Clinical Supervision Specific Education" means training that directly covers the aspects of clinical supervision of a substance abuse professional or any of the 12 core functions in their clinical application.
(6) "Complainant" means a person who has filed a complaint pursuant to these Rules.
(7) "Consultation" means a meeting for discussion, decision-making and planning with other service providers for the purpose of providing substance abuse services.
(8) "Crisis" means a decisive, crucial event either directly or indirectly related to alcohol or drug use, in the course of treatment that threatens to compromise or destroy the rehabilitation effort.
(9) "Deemed Status Group" means those persons who are credentialed as a clinical addictions specialist because of their membership in a deemed status discipline.
(10) "Education" means a service which is designed to inform and teach various groups; including clients, families, schools, businesses, churches, industries, civic and other community groups about the nature of substance abuse disorders and about available community resources. It also serves to improve the social functioning of recipients by increasing awareness of human behavior and providing alternative cognitive or behavioral responses to life's problems.
(11) "Full Time" means 2,000 hours per year.
(12) "General Professional Skill Building" means education provided to enhance general skills of a substance abuse professional.
(13) "Impairment" means a mental illness, substance abuse or chemical dependency, physical illness, or aging problem.
(14) "Letter of Reference" means a letter that recommends a person for certification.
(15) "Membership In Good Standing" means a member's certification is not in a state of revocation, lapse, or suspension.
However, an individual whose certification is suspended and the suspension is stayed is a member in good standing
during the period of the stay.
(16) "Passing score" means the score set by the entity administering the exam.
(17) "President" means the President of the Board.
(18) "Prevention Consultation" means a service provided to other mental health, human service, and community planning/ development organizations or to individual practitioners in other organizations to assist in the development of insights and skills of the practitioner necessary for prevention.
(19) "Prevention performance domains" means areas of professional activities to include:

(a) planning and evaluations;
(b) education and skill development;
(c) community organization;
(d) public and organizational policy; and
(e) professional growth and responsibility.

(20) "Referral" means identifying the needs of an individual that cannot be met by the counselor or agency and assisting the individual in utilizing the support systems and community resources available.
(21) "Rehabilitation" means re-establishing the functioning needed for professional competency.
(22) "Reinstatement" means an action where the Board restores certification or registration to an applicant after the appli cant completes the requirements imposed by the Board.
(23) "Relapse" means the return to the pattern of substance abuse as well as the process during which indicators appear prior to the person's resumption of substance abuse or a re-appearance or exacerbation of physical, psychological or emotional symptoms of impairment.
(24) "Renewal" means an action by the Board granting a substance abuse professional a consecutive certification or regis tration based upon the completion of requirements for renewal as prescribed by the Board.
(25) "Revival" means an action by the Board granting a substance abuse professional a certification or registration follow ing a lapse of certification or registration wherein the professional must also meet the requirements for renewal as prescribed by the Board.
(26) "Reprimand" means a written warning from the Board to a person making application for certification by the Board or certified by the Board.
(27) "Respondent" means a person who is making application for certification by the Board or is certified by the Board against whom a complaint has been filed.
(28) "Sexual activity" means:
(a) Contact between the penis and the vulva or the penis and the anus;
(b) Contact between the mouth and the penis, the mouth and the vulva, or the mouth and the anus; or
(c) The penetration, however slight, of the anal or genital opening of another by a hand or finger or by any object with an intent to abuse, humiliate, harass, degrade, or arouse or gratify the sexual desire of any person.
(29) "Sexual Contact" means the intentional touching, either directly or indirectly, of the genitalia, anus, groin, breast, inner thigh, or buttocks of any person with an intent to abuse, humiliate, harass, degrade, or arouse or gratify the sexual desire of any person.
(30) "Substance Abuse Counseling Experience" means approved supervised experience that may be full time or part-time, paid or voluntary, and must include all of the 12 core functions (Rule .0204 of this Chapter) as documented by a job description and supervisors evaluation.
(31) "Substance Abuse Prevention Consultant Experience" means approved supervised experience that may be full time or part-time, paid or voluntary, and must include all of the prevention domains referenced by Rule .0206 of this Chapter and as documented by a job description and supervisor's evaluation.
(32) "Substance Abuse Specific" means education focused upon alcohol and other drugs and the substance abusing population and is provided for a substance abuse professional by one whose education and experience is in the field of alcohol and other drugs.
(33) "Supervised Practice" means supervision of the applicant in the knowledge and skills related to substance abuse pro fessionals.
(34) "Suspension" means a loss of certification or the privilege of making application for certification.
History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.40; 90-113.41; 90-113.41A;
Eff. August 1, 1996;
Temporary Amendment Eff. November 15, 1997;
Amended Eff. April 1, 2003; August 1, 2002; April 1, 2001; August 1, 2000; August 1, 1998.

21 NCAC 68 .0102
BOARD MAILING ADDRESS

Unless otherwise directed, all correspondence shall be mailed to the following address:
North Carolina Substance Abuse
Professional Certification Board
P.O. Box 10126
Raleigh, NC 27605.

History Note: Authority G.S. 90-113.30; 90-113.33;
Eff. August 1, 1996;
Amended Eff. August 1, 1998.

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SECTION .0200 -- CERTIFICATION

21 NCAC 68 .0201
APPLICATION FOR REGISTRATION

(a) Applications, inquiries and forms shall be obtained from and returned to the Board.
(b) To obtain an application packet, the applicant shall submit a check or money order for a non-refundable fee in the amount of twenty-five dollars ($25.00) and a letter of intent stating the credential sought by the applicant.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.39; 90-113.40;
Eff. August 1, 1996;
Amended Eff. August 1, 2002.

21 NCAC 68 .0202
REGISTRATION PROCESS FOR BOARD CREDENTIAL

(a) Individuals shall register with the Board prior to providing professional services. This allows the Board to review the applicant's materials including education, training, experience and supervision contracts and provide the applicant with an understanding of his or her standing in the credentialing process.
(b) To register, the applicant shall send the following to the Board:

(1) Completed registration form provided by the Board;
(2) Documentation of the degree required for a credential;
(3) A signed supervision contract on a form provided by the Board documenting the proposed supervision process by an applicant supervisor;
(4) A signed form attesting to the applicant's promise to adhere to the ethical standards of the Board;
(5) Documentation of three hours of educational training in ethics;
(6) Completed criminal history record check;
(7) Job description evidencing applicant is practicing under the scope of practice for the credential sought;
(8) Current resume;
(9) Completed special needs statement revealing special testing needs on a form provided by the Board if applicable; and
(10) A check or money order in the amount as set in Rule .0205 that is non-refundable and made payable to the Board.

(c) Once the materials are determined by the Board to be in order the applicant shall be granted registration status.
(d) Registration with the Board shall be for a period as set out in G.S. 90-113.40A.
(e) An applicant shall become a Registrant upon receipt of written notification from the Board.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.39; 90-113.40; 90-113.40A; 90-113.46A;
Eff. August 1, 1996;
Amended Eff. January 1, 2010; April 1, 2003; August 1, 2002.

21 NCAC 68 .0203
DESIGNATION AS SUBSTANCE ABUSE COUNSELOR INTERN

(a) An applicant may by-pass early registration at the entry level and seek designation as a Counselor Intern.
(b) To be designated as a Substance Abuse Counselor Intern, a counselor shall submit and successfully complete the following:

(1) A registration form provided by the Board;
(2) Documentation provided by the Board verifying the successful completion of 300 hours of Supervised Practice;
(3) Successful completion of the written examination developed by the IC&RC/AODA, Inc. or its successor organization;and
(4) Payment of a non-refundable, one hundred twenty-five dollar ($125.00) written exam fee plus a one hundred twenty-five dollar ($125.00) registration fee if not already registered with the Board.

(c) Upon the failure of an applicant to achieve a passing score, the applicant may request a reexamination and pay a non-
refundable reexamination fee of one hundred fifty dollars ($150.00) after a period of three months from the date of the failed test.
(d) Once an individual has been designated as a Substance Abuse Counselor Intern, he or she may function as a counselor intern under an approved supervisor at a ratio of one hour of supervision for every 40 hours of practice.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.34; 90-113.38; 90-113.39; 90-113.40; 90-113.41;
Eff. August 1, 1996;
Amended Eff. August 1, 2002; August 1, 2000.

21 NCAC 68 .0204
SUPERVISED PRACTICUM FOR CERTIFIED SUBSTANCE ABUSE COUNSELOR AND LICENSED CLINICAL ADDICTIONS SPECIALIST

(a) All applicants for the Certified Substance Abuse Counselor credential or the Licensed Clinical Addictions Specialist credential awarded pursuant to Criteria A as set out in G.S. 90-113.40(c)(1) shall complete a 300 hour practicum supervised by an applicant supervisor and the practicum shall cover all twelve core functions of Counseling. Verification of at least ten hours of this supervised practicum shall be made in each of the core functions of this Rule. These 120 hours of the supervised practicum shall be divided into one hour of supervision for every 10 hours of practice in each one of the 12 core functions. These core functions are:

(1) Screening to determine a client is appropriate and eligible for admission to a particular program;
(2) Intake to provide the administrative and initial assessment procedures for admission to a program;
(3) Orientation of the client to the general nature and goals of the program, rules governing client conduct, notice of the hours during which services are available, treatment costs to be borne by the client, if any, and client's rights;
(4) An assessment to identify and evaluate for the purpose of the development of a treatment plan an individual's strengths, weaknesses, problems and needs;
(5) The treatment planning process whereby the counselor and client identify and rank problems needing resolution, establish agreed upon immediate and long term goals, and decide on a treatment process and the resources to be utilized;
(6) Counseling to assist individuals, families, or groups in achieving objectives through exploration of a problem and its ramifications, examination of attitudes and feelings, consideration of alternative solutions, and making decisions;
(7) Case management activities which bring services, agencies, resources or people together within a planned framework of action toward the achievement of established goals;
(8) Providing those crisis intervention services which respond to an alcohol or other drug abuser's needs during acute emotional and physical distress;
(9) Provision of client education information to individuals and groups describing alcohol and other drug abuse and the available services and resources;
(10) Referring the client whose needs cannot be met by the counselor or agency to other support systems and community resources available;
(11) Charting the results of the assessment and treatment plan while writing reports, progress notes, discharge summaries and other client-related data necessary for the compilation of necessary reports and recordkeeping; and
(12) Consultation with substance abuse and other professionals to assure comprehensive, quality care for the client.

(b) The remaining 180 hours of this supervised practicum shall be in the core function areas.
(c) Upon completion of the 300 hours, the supervisor shall complete an evaluation form reviewing the Substance Abuse Counselor's or Clinical Addictions Specialist's professional development and provide it to the Board, documenting the 300 hours of practice, including 30 hours of supervision on a form provided by the Board.
(d) Pursuant to G.S. 90-113.40(a)(7), this supervised practicum may be completed as part of an academic course of study in a regionally accredited college or university or it may be developed in the work setting as long as it is supervised by an applicant supervisor.
(e) Pursuant to G.S. 90-113.40(c)(1), the 300 hours of supervised practical training provided by an applicant supervisor shall be completed as part of the required two years postgraduate supervised substance abuse counseling experience.

History Note: Authority G.S. 90-113.30; 90-113.31; 90-113.33; 90-113.34; 90-113.39; 90-113.40;
Eff. August 1, 1996;
Amended Eff. January 1, 2010; August 1, 2002.

21 NCAC 68 .0205
CERTIFIED SUBSTANCE ABUSE COUNSELOR CERTIFICATION

Requirements for certification as a Certified Substance Abuse Counselor shall be as follows:

(1) Successful completion of paid or volunteer supervised experience earned in not less than three years, as set out in G.S. 90-113.40(a). If the work setting is not exclusively substance abuse focused, the applicant may accumulate experience proportional to the substance abuse services performed;
(2) Board approved education and training of at least 270 clock hours as follows:

(a) Substance Abuse Specific (SAS) education and training in the amount of at least 190 hours;
(b) Up to 80 hours may be directed toward general professional skill building to enhance counselor development;
(c) No more than 25% of the 270 hours (67.5) hours may be inservice education received within the applicant's organization by staff of the same organization;
(d) The 190 Substance Abuse Specific clock hours needed for initial certification must be in the core competencies. Core competencies are listed as follow:

(i) Basic alcoholism and drug addiction knowledge;
(ii) Screening, intake, orientation and assessment;
(iii) Individual, group and family counseling and intervention techniques;
(iv) Case management, treatment planning, reporting and record keeping;
(v) Crisis intervention skills:
(vi) Prevention and education;
(vii) Consultation, referral and networking that utilizes community resources;
(viii) Ethics, legal issues, and confidentiality;
(ix) Special populations which include but are not limited to individuals or groups with specific ethnic, cultural, sexual orientation, and gender characteristics as well as persons dealing with HIV, co-occurring disabilities, persons with criminal justice related issues and perinatal issues:
(x) Physiology and pharmacology of alcohol and other drugs that include the licit and illicit drugs, inhalants and nicotine;
(xi) Psychological, emotional, personality and developmental issues; and
(xii) Traditions and philosophies of 12-step and other recovery support groups;

(e) Of the 270 clock hours, applicants for certification as a Substance Abuse Professional must document six hours of HIV/AIDS/STDS/TB/Bloodborne pathogens training and education, six hours professional ethics education, and six hours of education to be selected from the following:

(i) Nicotine Dependence;
(ii) Psychopathology;
(iii) Evidence-Based Treatment Approaches;
(iv) Substance Abuse Issues In Older Adults; and
(v) Substance Abuse Issues Affecting Veterans;

(3) A one hundred twenty-five dollar ($125.00) written exam fee and a one hundred twenty-five dollar ($125.00) non-refundable registration fee, unless previously paid. The applicant may request a reexamination and pay a non-refundable reexamination fee as set out in G.S. 90-113.38(c) for the written exam if a passing score is not achieved and at least three months have passed from the date of failed test;
(4) Successful completion of the IC&RC/AODA, Inc. or its successor organization written exam;
(5) Completed evaluation forms and contracts for supervision. These forms must be mailed directly to the Board by three references: a supervisor, co-worker, and colleague;
(6) A signed form attesting to the applicant's adherence to the Ethical Standards of the Board;
(7) Documentation of high school graduation, completion of GED, baccalaureate or advanced degree;
(8) Completed registration forms;
(9) Resume; and
(10) Job description that verifies job function.

History Note: Authority G.S. 90-113.30; 90-113.31; 90-113.33; 90-113.36; 90-113.39; 90-113.40;
Eff. August 1, 1996;
Amended Eff. January 1, 2010; August 1, 2002; August 1, 2000.

21 NCAC 68 .0206
PROCESS FOR PREVENTION CONSULTANT CERTIFICATION

(a) Prevention consultant certification shall be offered to those persons whose primary responsibilities are to provide substance abuse information and education, environmental approaches, alternative activities, community organization, networking, and referral.
(b) Requirements for certification shall be as follows:

(1) 10,000 hours (five years) work experience in prevention consultation obtained in a minimum of 60 months without a baccalaureate degree or 4,000 hours (two years) work experience in prevention consultation obtained in a minimum of 24 months with a baccalaureate degree in a human services field from a regionally accredited college or university;
(2) 270 hours of academic and didactic training divided in the following manner:

(A) 170 hours primary and secondary prevention and in the prevention performance domains; and
(B) 100 hours in substance abuse specific studies, which includes 12 hours in HIV/AIDS/STDS/TB/Bloodborne pathogens training and six hours in prevention specific ethics training;

(3) A minimum of 300 supervised practice hours documented by a certified substance abuse professional;
(4) Evaluations from a supervisor on this practice as well as two evaluations from colleagues or co-workers;
(5) Successful completion of an IC&RC/AODA, Inc. or its successor organization written examination;
(6) A form signed by the applicant attesting to the applicant's adherence to the Ethical Standards of the Board;
(7) An application packet fee of twenty-five dollars ($25.00), a registration fee of one hundred twenty-five dollars ($125.00), and an examination fee of one hundred twenty-five dollars ($125.00).

History Note: Authority G.S. 90-113.30; 90-113.31; 90-113.33; 90-113.34; 90-113.40; 90-113.41;
Eff. August 1, 1996;
Amended Eff. August 1, 2002; April 1, 2001; August 1, 2000.

21 NCAC 68 .0207
CERTIFICATION OR LICENSURE PERIOD

Certification or licensure is for a period of two years after which re-credentialing is necessary.

History Note: Authority G.S. 90-113.30; 90-113.37; 90-113.33;
Eff. August 1, 1996;
Amended Eff. January 1, 2010.

21 NCAC 68 .0208
CONTINUING EDUCATION REQUIRED FOR COUNSELOR, CRIMINAL JUSTICE ADDICTIONS PROFESSIONAL AND PREVENTION CONSULTANT RE-CREDENTIALING

(a) In order to be re-credentialed, a substance abuse professional shall:

(1) Comply with the following:

(A) No more than 25 percent may be in-service education, received within your organization by staff of the same employment.
(B) No more than 25 percent of workshop presentation with one hour of presentation translating to one hour of education. Workshop presentation shall be a part of an event pre-approved by the Board as set out in these Rules.
(C) An applicant shall include documentation of each event submitted.
(D) All applicants shall include three hours of HIV/AIDS/STDS/TB/Bloodborne pathogens training and education, three hours of professional ethics training and education and three hours of nicotine dependence training and education for each re-credentialing to be selected from the list appearing in Rule 21 NCAC 68 .0205(2)(e)(i) through (v).
(E) No more than 50 percent self study, approved by the Board as set out in these Rules.

(2) Submit the following:

(A) A completed application form with continuing education documented;
(B) A non-refundable one hundred twenty-five dollar ($125.00) recertification fee; and
(C) A signed and dated statement that the applicant will follow the substance abuse professional's code of conduct.

(b) Each credentialed Counselor, Criminal Justice Addictions Professional and Prevention Consultant shall receive 60 hours of Board approved, as set out in these Rules, education during the current re-credentialing period that shall be documented. No more than 25 percent may be in-service education. A minimum of 30 hours shall be substance abuse specific (SAS). The education may include a combination of hours including attending and conducting workshops.
(c) To be re-credentialed, a Criminal Justice Addictions Professional and a Certified Substance Abuse Counselor shall submit a post-certification supervision contract signed by a Practice Supervisor and supervisee.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.37; 90-113.38; 90-113.39;
Eff. August 1, 1996;
Amended Eff. January 1, 2010; April 1, 2003; August 1, 2002; August 1, 2000.

21 NCAC 68 .0209
RECIPROCITY

(a) If a Counselor, Prevention Consultant, Clinical Supervisor, or Clinical Addictions Specialist holds a certification issued by an IC&RC/AODA, Inc. member board or a successor organization as a certified substance abuse counselor (to include alcohol and other drugs), certified Prevention Consultant, certified Clinical Supervisor, or certified Clinical Addictions Specialist, the person may transfer this certification to North Carolina by applying a transfer fee as assessed by the IC&RC/AODA, Inc. or its successor organization.
(b) The reciprocal certification effective date shall remain the same as in the previous state.
(c) At the time when recertification is required, it will be the individual's responsibility to submit an application for recertification. For the period of the first recertification in North Carolina, the Board shall accept the member's former State recertification requirements for the purpose of reciprocal recertification. At the end of this recertification period, it shall be the individual's responsibility to conform to the recertification requirements of North Carolina in effect at the time of recertification.

History Note: Authority G. S. 90-113.30; 90-113.33; 90-113.37; 90-113.38;
Eff. August 1, 1996;
Amended Eff. August 1, 2000.

21 NCAC 68 .0210
CONVERSION

History Note: Authority G.S. 90-113.30; 90-113.33;
Eff. August 1, 1996;
Repealed Eff. January 1, 2010.

21 NCAC 68 .0211
PROCESS FOR CLINICAL SUPERVISOR CERTIFICATION

In order to be certified as a Clinical Supervisor an applicant shall:
(1) Obtain and maintain a license as a Clinical Addictions Specialist to be eligible for Clinical Supervisor Certification;
(2) Hold a master's or higher degree in a human services field with a clinical application from a regionally accredited college or university;
(3) Submit documentation signed by the Certified Clinical Supervisor of 4000 hours or two years full-time experience as a Substance Abuse Clinical Supervisor, supervised in a ratio of one hour supervision for every 80 hours of practice in the field of alcohol and other drug abuse;
(4) Submit documentation of 30 hours of clinical supervision specific education for initial certification and 15 hours of clinical supervision specific education for re-certification (which will occur every two years). These hours shall be reflective of clinical supervision or clinical supervision of the twelve core functions or performance domains in their clinical application and practice and may also be used as re-credentialing hours for Clinical Addictions Specialist. For the purpose of re-certification as a Clinical Supervisor, 25 percent of the required total hours may be obtained by providing supervision of a Criminal Justice Addictions Professional, Prevention Consultant, Substance Abuse Counselor or Clinical Addictions Specialist;
(5) Submit three letters of reference. One from a substance abuse professional who can attest to supervisory competence and two from either substance abuse counselors who have been supervised by the candidate or substance abuse professionals who can attest to the applicant's competence;
(6) Successfully complete an IC&RC/AODA, Inc. or its successor organization's written examination;
(7) Pay all application fees. A fee of twenty-five dollars ($25.00) shall be submitted to the Board with a letter of intent in order to receive the application packet. Also, an applicant shall submit with a completed registration packet a registration fee of one hundred twenty-five dollars ($125.00) and a written examination fee of one hundred twenty-five dollars ($125.00);
(8) Submit a fee of one hundred twenty-five dollars ($125.00) required as a recertification fee.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.34; 90-113.38; 90-113.40; 90-113.41; 90-114.41A;
Eff. August 1, 1996;
Amended Eff. January 1, 2010; August 1, 2002; August 1, 2000

21 NCAC 68 .0212
PROCESS FOR RESIDENTIAL FACILITY DIRECTOR CERTIFICATION

(a) Residential facility director certification may be obtained and continued by any person credentialed as a Substance Abuse Counselor or Clinical Addictions Specialist.
(b) Requirements for certification shall be as follows:

(1) 50 hours of academic and didactic management specific training;
(2) Recommendation of applicant's current supervisor;
(3) Recommendation of a colleague and co-worker of the applicant; and
(4) An application packet fee of twenty-five dollars ($25.00), a registration fee of one hundred twenty-five dollars ($125.00), and a certification fee of one hundred twenty-five dollars ($125.00).

(c) In addition to meeting the continuing education requirements to practice as a Certified Counselor or Clinical Addictions Specialist, in order to maintain certification as a Residential Facility Director, the applicant shall take 40 hours of continuing education every two years and maintain documentation of such training. Anyone allowing certification to lapse beyond three months of the re-certification due date shall reapply as a new applicant.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.35; 90-113.38; 90-113.39; 90-113.40;
Eff. August 1, 1996;
Amended Eff. January 1, 2010; August 1, 2002; August 1, 2000.

21 NCAC 68 .0213
CONTINUING EDUCATION APPROVAL POLICY

(a) The Board shall approve educational events for professional credentialing. One certified hour is defined as one contact hour of participation in an organized continuing education experience. Continuing education used to meet the credentialing requirements shall be reviewed and approved according to these Rules. If the sponsor does not obtain approval from the Board, the individual participants shall be responsible for supplying all of the required information for each continuing education session at the time of request for credentialing or re-credentialing. Upon request, the Standards Committee shall review requests quarterly. Submission of approval requests shall be received 45 days prior to opening day of the event.
(b) Any applicant for training approval shall submit a training approval request form including:

(1) Title of course, date, location, individual or organization sponsor, whether it will be held only once or recurring.
(2) Presenter(s) who shall attach a resume outlining expertise in the subject area and content of the session.
(3) A description of the contents of a track, course, seminar, and the type of credit hours being requested to indicate if it is substance abuse specific, general skill building, or required training pursuant to other specialized credentials including Criminal Justice Addictions Professionals, Clinical Supervisors, Residential Facility Directors, or Prevention Consultants.
(4) Agenda, to include the breakdown of time including a 15 minute break for every two hours of education and amount of time allowed for meals.
(5) The sponsor or individual seeking approval shall pay an annual fee as follows:

(A) $25.00 for up to 10 hours;
(B) $50.00 for more than 10 hours and up to 20 hours;
(C) $75.00 for more than 20 hours and up to 30 hours;
(D) $100.00 for more than 30 hours and up to 40 hours;
(E) $125.00 for more than 40 hours.

(c) Training approved by IC&RC/AODA, Inc. or its successor organization member boards and organizations granted deemed status shall be accepted with documentation of completion.
(d) In-service training shall meet the same requirements as set out in Paragraphs (b) and (c) of this Rule. However, if persons who are non-employees of the sponsoring and presenting agency are invited to participate, then it is not considered in-service and Board pre-approval shall be required. Education received within the organization by outside trainers is not considered inservice.
(e) Presenters shall be given one hour of credit for every one hour presented. However, if the original presentation is repeated, hours can only be credited for the original presentation.
(f) The Board may revise or rescind credit hours if information is received documenting that a previously approved event was not presented as it was approved.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.39; 90-113.40; 90-113.37A;
Eff. August 1, 1996;
Amended Eff. January 1, 2010; August 1, 2000

21 NCAC 68 .0214
UNIVERSITY SUBSTANCE ABUSE SPECIALTY CURRICULA

(a) The Standards Committee shall be notified by a school of its intent to provide a "Substance Abuse Specialty" curricula.
(b) Upon notification of the school's intent to provide a substance abuse specialty curriculum, the Board shall inform the school that the following information shall be needed from the applicant school:

(1) Curricula description including number of hours of substance abuse specific credits;
(2) Information as to how the educational requirements for substance abuse specialty shall be met within the curricula pursuant to G.S. 90-113.41A(a)(2) a.-k.;
(3) The names and resume of any faculty who shall be teaching the substance abuse curricula;
(4) The name of the school in which the substance abuse curricula shall be housed and organizational contact information; and
(5) Specific guidelines and information on the field experience that shall be required of students including current substance abuse specific field placements and supervision.

(c) The Standards Committee shall review curricula to determine if the proposal meets educational, hour, substance abuse specific and supervised experience qualifications.
(d) The Curricula Review Subcommittee of the Standards Committee shall present recommendations to the Board.
(e) The Board shall notify the school of the status of its request and any recommendation.
(f) The curricula shall be submitted for review every three years. Application for extension of the curricula shall be made 90 days prior to the current expiration date.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40;
Eff. August 1, 2002;
Amended Eff. January 1, 2010.

21 NCAC 68 .0215
VERIFICATION

(a) Application for verification of credential shall be made to the Board.
(b) A request for verification shall be made in writing and submitted with a check or money order in the amount of twenty-five dollars ($25.00).

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.40;
Eff. August 1, 2002;
Amended Eff. January 1, 2010.

21 NCAC 68 .0216
BACKGROUND INVESTIGATION

(a) Every applicant for an initial credential issued pursuant to Article 5C of Chapter 90 of the General Statutes shall provide, at her or his expense, a completed fingerprint card and accompanying release of information form, provided by the Board, meeting the standards set by the State Bureau of Investigation and obtained within 60 days of the date the applicant submits all the prerequisites for his or her credential.
(b) The applicant shall provide any additional information regarding any pending charge or conviction as requested by the Board.
(c) An applicant shall submit a verified statement listing all criminal convictions received by the applicant, subsequent to the date of the application. Failure to make full and accurate disclosure shall be grounds for immediate application denial or other disciplinary action applicable to registration, certification, or licensure pursuant to G.S. 90-113.44.
(d) Criminal histories from any jurisdiction shall be categorized as defined by North Carolina law.
(e) The categories of crimes (committed as separate incidents) are as follows:

(1) Category I. The following crimes:

(A) Murder, attempted murder, or manslaughter of a child 16 or under; or
(B) Sexual assault, including attempted sexual assault, rape, indecent liberties with a child, molestation, or sexual assault of a child, or the attempt to commit any of the aforementioned crimes.

(2) Category II. Crimes that primarily result in bodily or emotional harm to others, including:

(A) Manslaughter of a person over 16 years of age;
(B) Kidnapping or attempted kidnapping;
(C) Arson of an occupied dwelling;
(D) Robbery with a dangerous weapon or attempted robbery with a dangerous weapon;
(E) Felony assault other than a sexual assault;
(F) First degree burglary;
(G) Trafficking in controlled substances as it is defined in Article 5 of Chapter 90 of the General Statutes; or
(H) Any other felony that results in bodily or emotional harm to another.

(3) Category III. The following misdemeanors and felonies that do not primarily result in bodily or emotional harm to others:

(A) Three or more DWIs within the most recent seven years;
(B) Assault (misdemeanor);
(C) Felony larceny;
(D) Fraud, obtaining property by false pretenses, financial transaction card theft;
(E) Unauthorized use of an aircraft;
(F) Unlawfully carrying a weapon;
(G) Theft of a vehicle;
(H) Falsification of government documentation (felony);
(I) Arson of an unoccupied dwelling or other building within the curtilage;
(J) Burglary other than in the first degree;
(K) Sale and delivery violations of the North Carolina Controlled Substances Act resulting in a felony conviction;
(L) Embezzlement;
(M) Forgery;
(N) Any burning of property prosecuted as a felony;
(O) Robbery not with a dangerous weapon;
(P) Perjury;
(Q) Felony receiving and possessing stolen goods;
(R) Breaking and entering; or
(S) Any other felony not otherwise categorized.

(4) Category IV. The following misdemeanors:

(A) Any combination of three or more Category V offenses, except offenses occurring within the same incident shall be considered a single offense;
(B) Two DWIs within the most recent seven years;
(C) Possession of a controlled substance;
(D) Injury or damage to property;
(E) Resisting arrest;
(F) Larceny;
(G) Prostitution;
(H) Criminal mischief;
(I) Driving while license suspended or revoked;
(J) Falsification of government documents;
(K) Any misdemeanor burning; or
(L) Any other misdemeanor not otherwise categorized.

(5) Category V. Category V offenses are:

(A) One DWI within the most recent seven years;
(B) Disorderly conduct;
(C) Intoxicated and disruptive in public;
(D) Three or more incidents resulting in worthless check convictions; or
(E) Shoplifting or concealment.

(f) The following sanctions have been established by the Board according to the categories of crimes:

(1) An applicant with a Category I conviction shall have at least 15 years elapsed since the applicant has completed all aspects of his or her sentence received as a result of the last Category I conviction to be eligible for registration, certification, or licensure.
(2) An applicant with a Category II conviction shall have at least 10 years elapsed since the applicant has completed all aspects of his or her sentence received as a result of the last Category II conviction to be eligible for certification or licensure. Notwithstanding a Category II conviction, an applicant may be registered no sooner than five years following the date the applicant has completed all aspects of his or her sentence.
(3) An applicant with a Category III conviction shall have at least five years elapsed since the applicant has completed all aspects of his or her sentence received as a result of the last Category III conviction to be eligible for certification or licensure. Notwithstanding a Category III conviction, an applicant may be registered immediately following the date the applicant has completed all aspects of his or her sentence.
(4) An applicant with a Category IV conviction shall have at least three years elapsed since the applicant has completed all aspects of his or her sentence received as a result of the last Category IV conviction to be eligible for certification or licensure. Notwithstanding a Category IV conviction, an applicant may register immediately following the date the applicant has completed all aspects of his or her sentence.
(5) An applicant with a Category V conviction shall have at least one year elapsed since the applicant has completed all aspects of his or her sentence received as a result of the last Category V conviction to be eligible for certification or licensure. Notwithstanding a Category V conviction, an applicant may register immediately following the date the applicant has completed all aspects of his or her sentence.

(g) If a waiting period prior to licensure as a driver of a motor vehicle results from a conviction for a DWI offense, this waiting period shall not be considered an aspect of an applicant's sentence required to be completed prior to the awarding of a credential.
(h) An individual whose application is denied or whose registration is suspended or revoked may request a hearing under the procedure established in Article 5C of Chapter 90 and Chapter 150B of the North Carolina General Statutes and the North Carolina Administrative Code.

History Note: Authority G.S. 90-113.30; 90-113.31; 90-113.33; 90-113.40; 90-113.41A; 90-113.44;
Temporary Adoption Eff. May 15, 2002;
Temporary Adoption Eff. July 1, 2002;
Eff. April 1, 2003;
Amended Eff. January 1, 2010.

21 NCAC 68 .0217
SUPERVISED PRACTICUM FOR CRIMINAL JUSTICE ADDICTIONS PROFESSIONAL CERTIFICATION

(a) All applicants for the Criminal Justice Addictions Professional Certification shall complete 300 hours supervised practicum. The applicant supervisor shall;

(1) Train the Criminal Justice Addictions Professional and cover all criminal justice performance domains as set out in G.S. 90-113.31(B)(6);
(2) Submit verification that at least 10 hours of supervised practice was provided in each of the performance domains; and
(3) Provide verification of at least one hour of supervision for every 10 hours of practice in each one of the performance domains on a supervisor evaluation form provided by the Board.

(b) The remaining hours of the supervised practicum shall be in any of the performance domains.
(c) Upon completion of 300 hours, the applicant supervisor shall:

(1) Complete an evaluation form reviewing Criminal Justice Addictions Professional's development as a professional;
(2) Document the 300 hours of practice to include 30 hours of supervision by the applicant supervisor; and
(3) Submit this information to the Board on a form provided by the Board.

(d) The supervised practicum may be completed as part of an academic course of study in a regionally accredited college or university or it may be developed in the work setting as long as it is supervised by an applicant supervisor. The supervised practicum shall take place within a criminal justice addiction professional setting to include a workplace for law enforcement, the judiciary, or corrections.

History Note: Authority G.S. 90-113.31A; 90-113.31B(6); 90-113.40; 90-113.40B;
Eff. January 1, 2010.

21 NCAC 68 .0218
RESERVED FOR FUTURE CODIFICATION

21 NCAC 68 .0219
RESERVED FOR FUTURE CODIFICATION

21 NCAC 68 .0220
NOTICE TO APPLICANT OF FAILURE TO SATISFY BOARD

Whenever the Board has determined that an application is deficient, the Board shall notify the applicant of its decision and indicate in what respect the applicant has failed to satisfy the Board. The applicant may inquire with the Board if more information is needed to clarify the nature of the deficiency.

History Note: Authority G.S. 90-113.33; 90-113.39; 90-113.40;
Eff. April 1, 2001;
Amended Eff. January 1, 2010.

21 NCAC 68 .0221
APPLICANT HEARING

Upon denial, suspension or revocation of a credential, an applicant may request a hearing upon submission of a written statement detailing the reason for the request. The applicant shall be given a formal hearing before the Board. Notice of the time and place of the public hearing shall be provided to the applicant. The burden of satisfying the Board of the applicant's qualifications for a credential shall be upon the applicant. Following the hearing, the Board shall determine whether he or she is qualified to be examined or is entitled to be credentialed, whichever is the next appropriate step in the process.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40;
Eff. April 1, 2001;
Amended Eff. January 1, 2010.

21 NCAC 68 .0222
ETHICS INQUIRY

(a) Information that is the basis for an inquiry into the issue of whether the applicant meets the ethical standards of the Board may be referred to the Chairperson of the Standards Committee for review and further investigation. The Chairperson may pursue the investigation of this matter pursuant to the procedures used to investigate ethics complaints.
(b) Information that is the basis for an inquiry into the issue of whether the credentialed professional meets the ethical standards of the Board may be referred to the Chairperson of the Ethics Committee for review and further investigation. The Chairperson may pursue the investigation of this matter pursuant to the procedures used to investigate ethics complaints.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.44;
Eff. April 1, 2001;
Amended Eff. January 1, 2010.

21 NCAC 68 .0223
STANDARDS COMMITTEE ACTION

The Standards Committee may take any of the following actions:

(1) Review applications for credentialing and re-credentialing;
(2) Recommend or deny candidates for credentialing and re-credentialing;
(3) Review curricula requirements for Board approved training events;
(4) Review curricula requirements for Board approval of college or university courses; and
(5) Investigate complaints of illegal practice.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40;
Eff. April 1, 2001;
Amended Eff. January 1, 2010.

21 NCAC 68 .0224
CERTIFICATION STATUS DENIED IF SERVING SENTENCE

An individual making application for a credential who is serving any part of a court-ordered sentence, including community service, supervised or unsupervised probation, or making restitution, shall be removed from the credentialing process. If any person is serving or begins serving such sentence during the course of the credentialing process, this person shall notify the Board. If a driver license revocation or suspension period results from a conviction for a DWI offense or refusal to submit to breathalyzer or blood testing, this period shall not be considered an aspect of an applicant's sentence required to be completed prior to the awarding of a credential.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.44;
Eff. April 1, 2001;
Amended Eff. January 1, 2010.

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SECTION .0300 -- CLINICAL ADDICTIONS SPECIALIST

21 NCAC 68 .0301
SCOPE

The rules in this Section apply to a person seeking certification as a clinical addictions specialist and a professional discipline seeking deemed status.

History Note: Authority G.S. 113.30; 90-113.40;90-113.41A;
Temporary Adoption Eff. November 15, 1997;
Eff. August 1, 1998.

21 NCAC 68 .0302
DEFINITIONS

History Note: Authority S.L. 1997, c. 492;
Temporary Adoption Eff. November 15, 1997;
Eff. August 1, 1998;
Repealed Eff. August 1, 2002.

21 NCAC 68 .0303
APPLICATION FOR DEEMED STATUS BY PROFESSIONAL DISCIPLINE

(a) Any professional discipline seeking deemed status shall forward a letter of intent with a request for an application to become a deemed status organization to the Board.
(b) As directed by the Board, the discipline shall provide the following:

(1) Documentation that it meets the requirements of G.S. 90-113.41A;
(2) A copy of the ethical code and statement, if any, it requires its members to sign indicating that the member will comply with the discipline's code of ethics; and, any substantiating data that supports the ethical process of the professional discipline;
(3) Documentation describing the exam process each applicant must pass in order to be awarded the professional group's substance abuse specialty credential.

(c) A discipline granted deemed status shall provide the name of any member whose credential is revoked, suspended or denied within 60 days from the date of action.
(d) The professional discipline, to the extent allowed by its statutes and rules, shall provide any information requested by the Board that has been submitted to the professional discipline regarding the complaint against its member, subsequent to the disposition of the complaint.
(e) If no information has been received by the Board within six months, or the Board is not satisfied with the disposition of the complaint, the Board may initiate its own disciplinary action.

History Note: Authority G.S. 90-113.32; 90-113.33; 90-113.41A; 90-113.43;
Temporary Adoption Eff. November 15, 1997;
Eff. August 1, 1998.

21 NCAC 68 .0304
THREE-YEAR STANDARDS REVIEW OF DEEMED STATUS STANDING

(a) The Standards and Credentialing Committee of the Board shall review the standards of each professional discipline every third year as required in G.S. 90-113.41A.
(b) The Board shall send notice to the discipline 90 days in advance of the end of the three-year period following the date deemed status was granted or renewed.
(c) The discipline shall report current standards, including an update of all information originally required.
(d) The Board may require further substantiation and explanation of this data.

History Note: Authority G.S. 90-113.32; 90-113.33; 90-113.41A; 90-113.43;
Temporary Adoption Eff. November 15, 1997;
Eff. August 1, 1998.

21 NCAC 68 .0305
CERTIFICATION REQUIREMENTS FOR INDIVIDUAL APPLICANT

In addition to meeting the requirements of G.S. 90-113.40, an applicant seeking certification as a clinical addictions specialist shall submit the following, if applicable:

(1) Documentation evidencing that 12 hours of HIV/AIDS/STDS/TB/Bloodborne pathogens training and education and six hours of professional ethics training were included in the 180 hours completed for certification in the core competencies by the applicant not in the deemed status group;
(2) Copy of a substance abuse specialty certificate or its equivalent;
(3) Copy of his or her masters' or doctorate degree diploma;
(4) Completed registration form; and
(5) Payment of the following fees:

(a) All applicants who are in the deemed status group shall make payment of a non-refundable application fee of ten dollars ($10.00) and payment of a non-refundable certification fee of forty dollars ($40.00).
(b) All other applicants shall make payment of an application packet fee of twenty-five dollars ($25.00) and payment of a non-refundable certification fee of one hundred twenty-five dollars ($125.00).
(c) All applicants seeking certification pursuant to Criteria A of G.S. 90-113.40(c) shall make payment of a non-refundable written examination fee of one hundred twenty-five dollars ($125.00) and payment of a non-refundable oral examination fee of one hundred dollars ($100.00).
(d) All applicants seeking certification pursuant to Criteria B of G.S. 90-113.40(c) shall make payment of a non-refundable written examination fee of one hundred twenty-five dollars ($125.00).
(e) All applicants seeking certification pursuant to Criteria C of G.S. 90-113.40(c) shall make payment of a non-refundable oral examination fee of one hundred dollars ($100.00).

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.40; 90-113.41; 90-113.43;
Temporary Adoption Eff. November 15, 1997;
Eff. April 1, 1999;
Amended Eff. August 1, 2002.

21 NCAC 68 .0306
RENEWAL OF INDIVIDUAL CERTIFICATION AS CLINICAL ADDICTIONS SPECIALIST

(a) An applicant who is in the deemed status group shall submit the following every two years:

(1) A completed application form and copy of current substance abuse certification from the applicant's deemed status professional discipline.
(2) A non-refundable recertification fee of thirty-five dollars ($35.00).

(b) All other individual applicants shall:

(1) Renew certification as classified by the criteria for their original certification every two years.
(2) Document completing 40 hours of education pursuant to Section .0400 of this Chapter, during the current certification period. A minimum of 30 hours shall be substance abuse specific. This education may include a combination of hours including attending workshops, receiving clinical supervision and providing workshops.
(3) Meet recertification educational guidelines as a substance abuse professional as follows:

(A) No more than 25 percent may be inservice education, received within the applicant's organization by staff of the same employment.
(B) No more than 25 percent receiving supervision with two hours of supervision translating to one hour of education.
(C) No more than 25 percent of workshop presentation with one hour of presentation translating to one hour of education. Workshop presentation shall be pursuant to Rule .0213 of this Chapter.
(D) No more than 25 percent of Alcohol/Drug Education Traffic School (ADETS) and Drug Education School (DES) events.
(E) All applicants shall include six hours of HIV/AIDS/STDS/TB/Bloodborne pathogens training and education and three hours of professional ethics training and education for each certification.

(4) A completed application form with continuing education documented.
(5) A non-refundable one hundred twenty-five dollar ($125.00) recertification fee.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.37; 90-113.38; 90-113.39; 90-113.41A; 90-113.43;
Temporary Adoption Eff. November 15, 1997;
Eff. August 1, 1998;
Amended Eff. April 1, 2003; August 1, 2002.

21 NCAC 68 .0307
REVOCATION OF CREDENTIAL WHEN CHANGE IN STATUS

(a) Any clinical addictions specialist credentialed pursuant to deemed status who is no longer a member in good standing of his or her professional discipline may be subject to revocation of the credential.
(b) Any clinical addictions specialist who is credentialed pursuant to the deemed status criteria may lose this credential if the professional discipline loses its deemed status standing.
(c) Any clinical addictions specialist whose certification is obtained pursuant to the deemed status criteria and whose certification may be revoked or is revoked as a result of loss of membership in good standing with the professional discipline or loss by the professional discipline of its deemed status standing, may apply for certification pursuant to G.S. 90-113.40(c)(1), (2), or (3) or S.L. 1997, c. 492, 17 or 18. This individual shall submit a completed application for certification within 60 days from the date notice of loss of the individual's membership or notice of the loss of deemed status by the professional group is received by the member of the professional discipline.

History Note: Authority G.S. 90-113.30; 90-113.40; 90-113.41; 90-113.41A; S.L. 1997, c. 492, s. 17; S.L. 1997, c. 492, s.18;
Temporary Adoption Eff. November 15, 1997;
Eff. August 1, 1998.

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SECTION .0400 -- EDUCATION

21 NCAC 68 .0401
EDUCATION APPROVAL POLICY

(a) The Certification Board shall approve educational events for professional certification or certification renewal. One certified hour is defined as one contact hour of participation in an organized education experience under sponsorship approved in accordance with these rules.
(b) The Certification Board shall review and approve all education used to meet the certification requirements.
(c) Approval may be requested by an individual applicant or by a sponsor or presenter. If the sponsor does not obtain credit from the Certification Board, the individual participants shall be responsible for supplying all of the required information for each session at the time of request for certification, recertification, or conversion. The Standards and Credentials Committee shall review requests once monthly.
(d) To insure a determination of a request prior to the date of presentation, sponsors, presenters, or individuals shall submit requests 45 days prior to opening day of the event.

History Note: Authority G.S. 90-113.30; 90-113.37; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0402
GENERAL GUIDELINES

(a) The guidelines set forth in this section shall apply to each approval request for obtaining credit for didactic and academic hours for course, curricula, and training events held January 1, 1987 or thereafter.
(b) The following information and standards shall be required:

(1) Title of course, date, location, sponsor (individual or organization), and whether it shall be held only once or periodically;
(2) The name of the presenter(s) and a resume outlining his or her expertise in the subject area and content of the session;
(3) A sufficient description of the contents of a track, course, seminar, or other unit of academic pursuit and the type of credit hours being requested to indicate if it is substance abuse specific or general skill building;
(4) An agenda reflecting the breakdown of time including a 15 minute break for every two hours of education and amount of time allowed for meals;
(5) Each application for training approval may include a copy of the objective evaluation tool to be used;
(6) The summary of evaluations may be submitted to the Board within 45 days following the program date(s).

(c) The Certification Board shall have the right to review programs by sending a Certification Board member or designee to monitor the event or a portion of the event. When fulfilling this quality assurance role, the designated person shall present a letter of introduction to the presenter.
(d) Certification hours shall be awarded only for actual hours attended.
(e) Certificates shall not be released until the event ends and they shall be modified to reflect actual hours completed.
(f) Providers of Board approved events shall be required to document attendance at individual events for schools, courses, curricula and conferences.
(g) Event sponsors shall maintain attendance and evaluation records for no less than three years.
(h) Training approved by International Certification and Reciprocity Consortium (ICRC) member boards shall be accepted with documentation of completion.

History Note: Authority G.S. 90-113.30; 90-113.37; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0403
EMPLOYER INSERVICE EVENT

(a) An employer inservice event shall be a training session that shall be provided by the applicant's employer for the purpose of professional certification and it shall be approved by the Board for this purpose as with other training events.
(b) An applicant's military employment shall be considered inservice training.

History Note: Authority G.S. 90-113.30; 90-113.37; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0404
CREDIT DENIAL OR LIMITATION

(a) Credit shall not be given for the following:

(1) Presentations given by banquet speakers unless the content meets the requirements described in this Section;
(2) One's own case presentation required for certification; or
(3) Registration time.

(b) The Board shall revise or rescind credit hours if information is received documenting that a previously approved event was not presented as it was approved.

History Note: Authority G.S. 90-113.30; 90-113.37; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0405
SPONSOR GUIDELINES

(a) Sponsors or presenters shall submit requests for approval prior to the event and shall allow the Board 45 days for review and approval. Requests by sponsors or presenters postmarked after the event has taken place shall not be reviewed or approved by the Board, but shall be returned. Documentation of the event attendance shall then be submitted by each individual at the time request is made for certification or recertification or conversion.
(b) All approvals from the Board shall be in writing and shall include the event approval number.
(c) Sponsors shall be responsible for providing a certificate of attendance which includes the approval number and number of approved education hours.
(d) Any event given on a recurring basis, as in the example of college courses, may be given approval on a yearly basis. Renewal of credit approval shall be based on submission of a letter by the sponsor or presenter documenting no change in course content. Any changes in content or method shall be submitted for review and approval in order to maintain prior approval. When changes have been made in content, method or agenda, the fee shall be the same as for a new event.
(e) Fees for review and approval of events:

(1) For 1-10 hours of instruction the Board shall impose a fee of twenty-five dollars ($25.00);
(2) For 11-20 hours of instruction the Board shall impose a fee of fifty dollars ($50.00);
(3) For 21-30 hours of instruction the Board shall impose a fee of seventy-five dollars ($75.00);
(4) For 31-40 hours of instruction the Board shall impose a fee of one hundred dollars ($100.00);
(5) For 41-50 hours of instruction the Board shall impose a fee of one hundred twenty-five dollars ($125.00);
(6) For 51-100 hours of instruction the Board shall impose a fee of one hundred fifty dollars ($150.00).
(7) For greater than 100 hours of instruction the Board shall impose a fee greater than one hundred fifty dollars ($150.00) and those additional charges shall be imposed in incremental amounts as set forth in Subparagraphs (e)(1) through (6) of this Rule, not to exceed three hundred dollars ($300.00).

History Note: Authority G.S. 90-113.30; 90-113.37; 90-113.38; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0406
PROCEDURES FOR APPROVAL OF SELF-STUDY COURSES

(a) Self-study courses may be submitted for approval for certification and recertification hours.
(b) A copy of all documents including test and documentation of completion shall be submitted with the application.
(c) No more than 50% of hours may be credited through self-study programs.
(d) Self-study courses may not be repeated for credit.
(e) A fee of one hundred fifty dollars ($150.00) shall be submitted for each course by the vendor for pre-approval by the Board. Pursuant to G.S. 90-113.39, approval is for one year from the date the Certification Board approves the application.
(f) Self study approved by IC&RC-AODA, Inc. member boards and organizations granted deemed status shall be accepted with documentation of completion.

History Note: Authority G.S. 90-113.30; 90-113.37; 90-113.38; 90-113.39; 90-113.40;
Eff. August 1, 1996.
Amended Eff. April 1, 2003

21 NCAC 68 .0407
APPLICANT GUIDELINES

(a) After January 1, 1985, to gain credit for an applicant's education for certification, recertification or conversion, the applicant shall provide the event approval number and proper documentation of attendance which includes:

(1) Certificate of attendance; or
(2) Training cards or sheets signed by a sponsor or presenter.

(b) Documents not acceptable to establish that an applicant has received continuing education are as follows:

(1) Canceled checks;
(2) Receipts;
(3) Letters from supervisors who were non-participants in the course; or
(4) Program schedules.

(c) If the sponsor failed to obtain approval for an event, the applicant shall be responsible for supplying the required information for each session as stated in Rule .0402 of this Section.
(d) To gain credit for didactic or academic hours of continuing education events held prior to January 1, 1985, the following standards apply:

(1) The Board shall accept education previously approved by the former N.C. Alcoholism Certification Board and N.C.
Drug Abuse Professional Certification Board.
(2) Events held between January 1, 1980 and December 31, 1984 shall include all of the information required pursuant to Rule .0402 of this Section, except the resume of the presenter.
(3) Events held prior to January 1, 1980 may be approved if a description of the material, method, number of hours and presenter's name is provided by the applicant.

(e) It is the responsibility of the individual applicant to put together a package of hours in accordance with criteria contained herein. Sixty hours of education shall be completed within the two years immediately prior to request for certification or recertification or conversion. There shall be no time frame on the remaining required hours for certification, to include conversion.
(f) Inservice events shall be identified as such.
(g) If a page of material is received from the applicant which does not comply with the above requirements, it shall be returned to the applicant.
(h) Request for approval shall be mailed to the Board.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.37; 90-113.40;
Eff. August 1, 1996.

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SECTION .0500 -- ETHICAL PRINCIPLES OF CONDUCT FOR THE SUBSTANCE ABUSE PROFESSIONAL

21 NCAC 68 .0501
PURPOSE AND SCOPE

(a) The ethical principles governing the credentialed substance abuse professional are established to protect the public health, safety and welfare.
(b) The primary goal of this code is to set forth principles to guide the conduct of the substance abuse professional. The Board may deem violation of these standards malpractice, negligence, incompetence, or engaging in conduct that could result in harm or injury to the public.
(c) Ethical principles shall provide a standard for the substance abuse professional in his or her professional roles, relationships and responsibilities.
(d) Upon submission of an application for a credential, each applicant shall review the ethical standards in these Rules, sign the "Applicant's Code of Ethical Conduct" form, and return it to the Board agreeing to uphold the ethical principles of conduct.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40;
Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner;
Eff. February 1, 1996;
Amended Eff. January 1, 2010.

21 NCAC 68 .0502
NON-DISCRIMINATION

The substance abuse professional shall consider the issue of discrimination against clients or professionals based on race,
religion, age, sex, handicaps, national ancestry, sexual orientation or economic condition, but in all cases the professional shall not discriminate on any basis prohibited by federal or state law.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.40;
Eff. February 1, 1996.

21 NCAC 68 .0503
COMPETENCE

(a) The substance abuse professional shall employ the requisite knowledge, skill and proficiencies of a substance abuse practitioner competently providing services within his or her scope of practice.
(b) The substance abuse professional shall strive to learn about cultural and ethnic values in order to provide the highest level of care for a client who possesses a diverse or unfamiliar cultural or ethnic background.
(c) The substance abuse professional shall provide the necessary interpretive services to any client or refer the person for necessary services.
(d) The substance abuse professional shall assist in eliminating prevention, intervention, treatment, and supervision practices by persons unqualified or unauthorized to practice in the field.
(e) The substance abuse professional who knows of unethical conduct or of unprofessional practices by a substance abuse professional shall report such violations to the Board.
(f) The substance abuse professional shall recognize boundaries and limitations of his or her competencies and not offer services or use techniques outside of his or her professional competencies and scope of practice.
(g) The substance abuse professional who identifies a need for services outside his or her skill, training or experience shall refer the client to an appropriate professional or shall seek supervision and training to provide the required services for the individual.
(h) The substance abuse professional shall complete reports and record keeping functions in a manner that supports the client's treatment experience and welfare.
(i) The substance abuse professional shall recognize the negative impact impairment has on his or her functioning in public and professional performance and shall seek an assessment by a Board-approved provider and follow the recommendations.
(j) No applicant shall be credentialed as a substance abuse professional who is serving any part of a court-ordered sentence as specifically prohibited by 21 NCAC 68 .0224.

History Note: Authority G.S. 90-113.30; 90-113.34; 90-113.36; 90-113.37; 90-113.39; 90-113.40; 90-113.41; 90-113.43; 90-113.44;
Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner;
Eff. February 1, 1996;
Amended Eff. January 1, 2010; April 1, 2001; August 1, 2000.

21 NCAC 68 .0504
LEGAL STANDARDS AND ETHICAL STANDARDS

(a) The substance abuse professional shall not claim or imply educational, experiential or professional qualifications or affiliations that the substance abuse professional does not possess.
(b) The substance abuse professional shall not use membership on the North Carolina Substance Abuse Professional Practice Board for purposes that are not consistent with these Rules. No Board member shall advertise, promise, or provide special treatment to any individual because of membership on the North Carolina Substance Abuse Professional Practice Board or its committees.
(c) The substance abuse professional shall not lend his or her name to or participate in any professional or business relationship that may knowingly mislead the public.
(d) The substance abuse professional shall follow established guidelines on research with human subjects when he or she engages in such research.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.43; 90-113.44; 90-113.45;
Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner;
Eff. February 1, 1996;
Amended Eff. January 1, 2010; April 1, 2001.

21 NCAC 68 .0505
EDUCATION AND TRAINING STANDARDS

(a) The substance abuse professional shall be prepared to provide the source for any materials or techniques used when making either public statements or providing education and training.
(b) The substance abuse professional shall not knowingly make false, deceptive, or fraudulent statements concerning his or her:

(1) Training, experience, or competence;
(2) Academic degrees;
(3) Credentials;
(4) Institutional or association affiliations;
(5) Services;
(6) Fees;
(7) Publications or research findings; and
(8) Scientific or clinical basis for, or results or degree of success of his or her services.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.44;
Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner;
Eff. February 1, 1996;
Amended Eff. January 1, 2010; April 1, 2001.

21 NCAC 68 .0506
PUBLICATION CREDIT

The substance abuse professional shall assign credit to all who have contributed to the published material and for the work upon which the publication is based.

(1) The substance abuse professional shall recognize joint authorship, major contributions of a professional character,
made by several persons to a common project. The author who has made the principle contribution to a publication
shall be identified as a first listed.
(2) The substance abuse professional shall acknowledge in footnotes or an introductory statement minor contribution of a
professional character, extensive clerical or similar assistance and other minor contributions.
(3) The substance abuse professional shall acknowledge, through specific citations, unpublished, as well as published
material, that has directly influenced the research or writing.
(4) The substance abuse professional who compiles and edits for publication the contributions of others shall list oneself as editor, along with the names of those others who have contributed.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.44;
Eff. February 1, 1996.

21 NCAC 68 .0507
CLIENT WELFARE

(a) The substance abuse professional shall protect the safety and welfare of the client.
(b) The substance abuse professional shall inform clients of the nature and direction of loyalties and responsibilities and keep all parties participating in the client's care informed of these commitments.
(c) The substance abuse professional, in the presence of professional conflict, shall be concerned primarily with the welfare of the client.
(d) The substance abuse professional shall withdraw services only after giving consideration to all factors in the situation and taking care to minimize adverse actual or possible effects.
(e) The substance abuse professional shall, after minimizing any adverse impact, end a counseling or consulting relationship when the professional knows or should know that the client is not benefiting from services.
(f) The substance abuse professional who anticipates the cessation or interruption of service to a client shall notify the client promptly and seek the cessation, transfer, referral, or continuation of service in relation to the client's needs and preferences.
(g) The substance abuse professional shall not use a client in a demonstration where such participation would foreseeably harm the client.
(h) The substance abuse professional shall deliver services in a setting that respects client privacy and confidentiality.
(i) The substance abuse professional shall collaborate with other health care professionals providing treatment or support services to a client.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.43; 90-113.44;
Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner;
Eff. February 1, 1996;
Amended Eff. January 1, 2010; April 1, 2001; August 1, 2000.

21 NCAC 68 .0508
CONFIDENTIALITY

(a) The substance abuse professional shall protect the privacy of clients and shall not disclose confidential information acquired, in teaching, practice or investigation.
(b) The substance abuse professional shall inform the client and obtain agreement in areas likely to affect the client's participation including the recording of an interview, the use of interview material for training purposes and observation of an interview by another person.
(c) The substance abuse professional shall make provisions for the maintenance of confidentiality and the ultimate disposition of confidential records.
(d) The substance abuse professional shall reveal information received in confidence only:

(1) when there is clear and imminent danger to the client or to other persons or a medical emergency and then only to the appropriate professional worker or public authorities;
(2) when compelled by law to provide such information; or
(3) with written consent.

(e) The substance abuse professional shall discuss the information obtained in a clinical or consulting relationship only in a
professional setting and only for a professional purpose clearly concerned with the case. Written and oral reports shall present only data germane to the purpose of the evaluation.
(f) The substance abuse professional shall use material in classroom teaching and writing only when the identity of the person involved is disguised adequately to prevent disclosure or documented permission is given by the party or the information is in the public domain.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.43; 90-113.44;
Eff. February 1, 1996;
Amended Eff. April 1, 2001.

21 NCAC 68 .0509

CLIENT RELATIONSHIPS

(a) The substance abuse professional shall not enter into a client/professional relationship with members of one's immediate family. For the purpose of this Rule "immediate family" means spouse, parent, sibling, child, grandparent, grandchild, stepchild, stepparent, parent-in-law, and child-in-law.
(b) The professional shall avoid dual relationships that could impair professional judgment or increase the risk of exploitation of a client.
(c) Sexual activity or sexual contact of a substance abuse professional with a client shall be restricted as follows:

(1) The substance abuse professional shall not engage in or solicit sexual activity or sexual contact with a current client.
(2) The substance abuse professional shall not engage in or solicit sexual activity or sexual contact with a former client for five years after the termination of the counseling or consulting relationship.
(3) The substance abuse professional shall not engage in or solicit sexual activity or sexual contact with any client the professional knows to be currently in treatment at his or her own agency or place of professional employment.
(4) The substance abuse professional shall not knowingly engage in or solicit sexual activity or sexual contact with any identified former client of his or her own agency or place of professional employment for five years after the termination of the counseling or consulting relationship if both the professional was employed at the agency and the former client was a client of the agency during the same time period.
(5) Because sexual activity with a client is harmful to the client, a substance abuse professional shall not engage in sexual activities with a former client even after a five-year interval unless the substance abuse professional who engages in such activity after the five years following cessation or termination of treatment bears the burden of demonstrating that there has been no harm to the client in light of all relevant factors, including the following:

(A) The amount of time that has passed since treatment services were terminated;
(B) The nature and duration of the treatment services;
(C) The circumstances of termination;
(D) The client's personal history;
(E) The client's current mental status;
(F) The likelihood of adverse impact on the client and others; and
(G) Any statement made or action taken by the substance abuse professional during the course of treatment suggesting or inviting the possibility of a post-termination sexual or romantic relationship with the client.

(d) The substance abuse professional shall not misuse his or her professional relationship for sexual, financial, or any other personal advantage.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.34; 90-113.44;
Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner;
Eff. February 1, 1996;
Amended Eff. February 1, 2010; April 1, 2001; August 1, 2000.

21 NCAC 68 .0510
INTERPROFESSIONAL RELATIONSHIPS

(a) The substance abuse professional shall treat colleagues with respect, courtesy and fairness and shall afford the same professional courtesy to other professionals.
(b) The substance abuse professional shall not offer professional services to a client in counseling or consulting with another professional except with the knowledge of the other professional or after the termination of the client's relationship with the other professional.
(c) The substance abuse professional shall cooperate with duly constituted professional ethics committees and promptly supply necessary information unless prohibited by law.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.44;
Eff. February 1, 1996;
Amended Eff. April 1, 2001.

21 NCAC 68 .0511
REMUNERATION

(a) The substance abuse professional shall establish financial arrangements in professional practice and in accord with the best interests of the client, of the individual professional and of the profession.
(b) The substance abuse professional shall consider the ability of the client to meet the financial cost in establishing rates for professional services.
(c) The substance abuse professional shall not send or receive any commission or rebate or any other form of remuneration for referral of clients for professional services. The substance abuse professional shall not engage in fee splitting.
(d) The substance abuse professional shall not accept a private fee or any other gift or gratuity having a cumulative value of twenty-five dollars ($25.00) or more for professional work with a person who is receiving such services through the professional's institution or agency. The policy of a particular agency may make written provisions for private work with its clients by members of its staff and in such instances the client must be fully apprised of all policies affecting the client.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.44;
Eff. February 1, 1996;
Amended Eff. April 1, 2001; August 1, 2000.

21 NCAC 68 .0512
RESPONSIBILITY OF SUPERVISOR TO SUPERVISEE

A professional who has received a credential from the Board and who is serving as a clinical or practice supervisor shall:

(1) Be aware of his or her influential position with respect to supervisees and therefore not exploit the trust and reliance of such persons.
(2) Avoid dual relationships that could impair professional judgment, increase the risk of exploitation, or cause harm to the supervisee. To implement this standard the supervisor shall not:

(A) Instruct or supervise family members who are related by blood to the second degree or marriage or a person living in the supervisor's household;
(B) Provide therapy or therapeutic counseling services to supervisees; or
(C) Solicit or engage in sexual activity or contact with supervisees during the period of supervision.

(3) Be trained in and knowledgeable about supervision methods and techniques.
(4) Supervise or consult only within his or her knowledge, training, and competency.
(5) Guide his or her supervisee to perform services responsibly, competently, and ethically. As authorized by the supervisee's employer, the supervisor shall assign to his or her supervisees only those tasks or duties that these individuals can be expected to perform competently, based on the supervisee's education, experience, or training, either independently or with the level of supervision being provided.
(6) Not disclose the confidential information provided by a supervisee except:

(A) As mandated by law;
(B) To prevent harm to a client or other person involved with the supervision;
(C) In educational or training settings where there are multiple supervisors, and then only to other professional colleagues who share responsibility for the performance or training of the supervisee; or
(D) If consent is obtained.

(7) Establish and facilitate a process for providing evaluation of performance and feedback to a supervisee. To implement this process the supervisee shall be informed of the timing of evaluations, methods, and levels of competency expected. Supervision documentation shall be signed by the supervisor and supervisee and include the date, time, duration, method, and topic of the supervision session.
(8) Not endorse supervisees for credentialing, employment, or completion of an academic training program if they believe the supervisees are not qualified for the endorsement. A supervisor shall develop a plan to assist a supervisee who is not qualified for endorsement to become qualified.
(9) Make financial arrangements for any remuneration with supervisees and organizations only if these arrangements are clear and in writing. All fees shall be disclosed to the supervisee prior to the beginning of supervision if practicable.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.38; 90-113.39; 90-113.40;
Eff. April 1, 2003;
Amended Eff. January 1, 2010.

Top

SECTION .0600 -- GROUNDS FOR DISCIPLINE AND DISCIPLINARY PROCEDURES

21 NCAC 68 .0601
GROUNDS FOR PROFESSIONAL DISCIPLINE

Violation of these principles shall be deemed grounds for discipline:
(1) Fraud or Misrepresentation in Procuring or Maintaining Certification.

(a) Acts such as to practice, attempt to practice, or to supervise others while representing oneself to be a certified substance abuse professional without being duly certified;
(b) False representation of material fact to procure or maintain certification, whether by word or conduct;
(c) Concealment of requested information contained in the application;
(d) Attempting to file or filing any false or forged diploma, certificate, affidavit, transcript, identification or qualification;
(e) Submitting material which is not the work product of the applicant;
(f) Knowingly assisting another to procure or maintain certification on the basis of fraud; or
(g) Aid, abet, or assist any uncertified person to practice as a certified substance abuse professional in violation of this code.

(2) Fraud or Misrepresentation to the Public.

(a) Knowingly make misleading, deceptive, false, or fraudulent misrepresentations in the practice of the profession; or
(b) Pursue an illegal practice as set forth in G.S. 90-113.43.

(3) Exploitation of Client or Recipient Relationships.

(a) Entering into a professional relationship in violation of Rule .0509 of this Chapter;
(b) Participating in or soliciting sexual activity or sexual contact with a current or former client or client of one's
agency in violation of Rule .0509 of this Chapter;
(c) Entering into personal financial arrangements with a client or recipient which make an improper use of the client or recipient.

(4) Illegal Acts or Practices.

(a) Violation of Federal or State confidentiality statutes;
(b) Conviction of any controlled substances law, until proof of rehabilitation is established to the Board's satisfaction; or
(c) Being any accessory to or participating in dishonesty, fraud, misrepresentation or any other illegal act involving a client or recipient.

(5) Professional Incompetency or Failure to Meet Standards of Practice.

(a) Failure to follow the standards of skill and competence possessed and applied by professional peers certified in this State acting in the same or similar circumstances;
(b) Use of drugs or alcoholic beverages to the extent that professional competency is affected, until proof of rehabilitation can be established;
(c) Refusal to seek treatment for chemical dependency or mental health problems which impair professional performance; or
(d) Engaging in conduct that an ordinary, reasonable, and prudent person could foresee would result in harm or
injury to the public.

(6) The following are prohibited governing professional relationships:

(a) Offering professional services to a client or other service recipient in a professional relationship with another
substance abuse professional except with the knowledge of the other professional or after the termination of the
client or recipient's relationship with the other professional;
(b) Sending or receiving any commission or rebate or any other form or remuneration for referral of clients or
recipients for professional services from the professional to whom the referral was made;
(c) Accepting from or charging the client a fee for a referral only when no other services are provided;
(d) Accepting or charging a fee when no substance abuse professional services are actually provided; except actual costs for copies and administrative services may be recovered;
(e) Accepting a gratuity or any other gift other than a one-time gift having a value of less than twenty five dollars
($25.00) for professional work with a person who is receiving the services through the professional's employer; or
(f) Failing to cooperate with the investigations and proceedings of any professional ethics committee unless the
failure is within the exercise of the professional's constitutional rights.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule becomes effective, whichever is sooner;
Authority G.S. 90-113.33; 90-113.37; 90-113.39; 90-113.40; 90-113.42; 90-113.43; 90-113.44; 90-113.45;
G.S. 90-338;
Eff. February 1, 1996;
Amended Eff. August 1, 2000.

21 NCAC 68 .0602
COMPLAINT PROCEDURES

(a) Initiation. Any individual with personal knowledge that any person has violated the Code of Ethics, any other rules of the Board, or G.S. 90, Article 5C; may file a complaint against the substance abuse professional by submitting a written complaint.
(b) Form. The complaint shall be in writing, stating the nature of the alleged offense and signed by the complainant. The
complaint shall include:

(1) The name, address, and telephone number of the complainant;
(2) The name, address, and telephone number of the person against whom the complaint is made;
(3) A statement of the facts which clearly and accurately describes the allegations against the person.

(c) The complaint shall be investigated as set out in Rule .0603 of this Section.
(d) Once the Ethics Committee concludes there is a sufficient basis to schedule a disciplinary hearing before the Board, the Committee Chairperson shall notify the person against whom the complaint is made. The notice to the respondent shall include the following:

(1) State the section(s) of the Code of Ethics, other rules of the Board, or G.S. 90, Article 5C which the complaint alleges has been violated;
(2) A copy of the complaint;
(3) Direct that the respondent reply in writing and by certified mail within 30 days of receipt of this notice;
(4) Inform the respondent that failure to respond in writing within 30 days may result in revocation of certification.

(e) Notice shall be given personally or by certified mail. If given by certified mail, it shall be deemed to have been given on the delivery date appearing on the return receipt. If giving of notice cannot be accomplished either personally or by certified mail, a notice that a complaint has been brought against the respondent shall then be given by publication. A party that cannot with due diligence be served by personal delivery or certified mail may be given notice to respond to a complaint by publication. Service of notice by publication shall consist of publishing a notice by publication once a week for three successive weeks in a newspaper that is qualified for legal advertising in accordance with G.S. 1-597 and G.S. 1-598 and circulated in the area where the party to be served is believed by the serving party to be located, or if there is no reliable information concerning the location of the party then in a newspaper circulated in the county of respondent's last address provided to the Board by the respondent. There shall be mailed to the party at or immediately prior to the first publication a copy of the notice to respond by publication to the respondent's last known address. Upon completion of such service there shall be filed with the Board by the Ethics Committee Chairperson an affidavit showing the publication and mailing substantially in accordance with the requirement of G.S. 1-75.10(2), the circumstances warranting the use of service by publication, and information, if any, regarding the location of the party served. The notice shall include a statement by the Board that a complaint has been made against the respondent that is scheduled to be heard by the Board within 90 days. The notice shall inform respondent that respondent shall be given 30 days from the date of the last date of publication in which to respond to the service by publication for the purpose of notifying the Board of
respondent's whereabouts. Response shall be made in writing to the Board at the address provided by the Board in its notice. If respondent provides the Board with information whereby respondent can be served by the deadline specific in the notice, the Board shall provide notice either personally or by certified mail as provided in Paragraph (d) of this Rule. Failure of respondent notified by publication of a complaint brought by the Board shall be treated as a failure of respondent to reply to the charges.
(f) Failure of the respondent to reply to the charges, including each specific allegation, may be considered an admission of the facts contained in the allegation(s).

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.44; 113.45;
Eff. February 1, 1996;
Amended Eff. August 1, 1998.

21 NCAC 68 .0603
INVESTIGATION OF COMPLAINT

(a) The Ethics Committee Chairperson, in consultation with the President and legal counsel, shall investigate the allegations in the complaint. The Chairperson may appoint any person(s) or name a subcommittee to serve as the investigating entity and to prepare an investigative report.
(b) The investigating entity may contact the complainant and person against whom the complaint is made.
(c) Upon completion of the investigation, the Ethics Committee Chairperson in consultation with the investigating entity may determine that:

(1) The complaint is without merit. The Chairperson shall notify the complainant that the complaint is dismissed. The Chairperson shall also notify the complainant of the procedure for appeal of the dismissal.
(2) Upon completion of an investigation wherein the complaint is not dismissed, the investigating entity shall make a written report to the Ethics Committee.

(d) Those Ethics Committee members who serve on the Board shall review the report and may take any of the following actions:

(1) Schedule a meeting with the respondent whereby the dispute may be settled through informal procedures;
(2) Schedule a disciplinary hearing before the Board;
(3) Dismiss the complaint; and
(4) Remand the matter to the investigating entity in order to obtain additional evidence sufficient upon which to base a decision.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.33; 90-113.34; 90-113.44;
Eff. February 1, 1996;
Amended Eff. August 1, 1998.

21 NCAC 68 .0604
HEARING BEFORE BOARD

(a) A hearing shall be initiated:

(1) At the call of the Ethics Committee in the case of a complaint against a certified professional; or
(2) By any person pursuant to Article 3A on appeal of an agency decision.

(b) The hearing shall be conducted in a fair and impartial manner, pursuant to G.S. 150B, Article 3A.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.44; 90-113.45;
Eff. February 1, 1996.

21 NCAC 68 .0605
METHOD OF DISCIPLINE

(a) Certification may be suspended, revoked or denied by a finding that grounds for disciplinary action as set out in G.S. 90-113.44 exist.
(b) The Board may impose the following disciplinary sanctions:

(1) Revocation of certification;
(2) Suspension of certification until further order of the Board or for a specified period of time;
(3) Reprimand;
(4) Denial of certification; or
(5) Other sanctions which may be deemed appropriate by the Board, including probation in which specific terms and conditions may be imposed such as psychological counseling, testing, or supervision.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.34; 90-113.37; 90-113.43; 90-113.44; 90-113.45;
Eff. February 1, 1996.

21 NCAC 68 .0606
EFFECT OF ACTIONS OF COURT OR OTHER PROFESSIONAL GROUPS

(a) If a person certified or applying for certification by the Board has been disciplined by another professional organization or convicted of a felony or a misdemeanor and that discipline or conviction relates to his qualifications or functions as a substance abuse professional, the Ethics Committee or the Board may take this prior record into consideration when imposing disciplinary sanctions.
(b) When such prior discipline or conviction is discovered, it shall be referred to the Ethics Committee and shall be treated by the Ethics Committee in the same manner as a complaint.
(c) Such prior discipline or conviction as described in Paragraph (a) of this Rule shall be presumed to be correct and appropriate. In order to overcome this presumption, the respondent must prove to the Committee's or the Board's satisfaction at least one of the following:

(1) The process was so flawed that the finding of the organization or board is without basis; or
(2) The disciplinary action by the organization or board does not bear a reasonable relation to the conduct complained of resulting in undue punishment.

(d) Registrants and certified professionals shall notify the Board within 30 days from the date of any conviction or finding of guilt, or pleading of nolo contendere for all criminal convictions. This reporting shall include DWI convictions but exclude all other traffic convictions pursuant to G.S. 20.
(e) Failure to report these criminal convictions shall be considered a violation of the Ethical Principles of Conduct.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.43; 90-113.44; 90-113.45;
Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.43; 90-113.44; 90-113.45;
Eff. February 1, 1996.
Amended Eff. April 1, 2003.

21 NCAC 68 .0607
DISCRETION OF BOARD

The following factors may be considered by the Board in determining the nature and severity of the disciplinary sanctions to be imposed:

(1) The relative seriousness of the violation as it relates to assuring the citizens of North Carolina a consistently high
standard of professional service and care;
(2) The facts of the particular violation;
(3) Any extenuating circumstances or other countervailing considerations;
(4) The number and seriousness of prior violations or complaints:
(5) Whether remedial action has previously been taken;
(6) Likelihood of reoccurrence; or
(7) Other factors which may reflect upon the competency, ethical standards, and professional conduct of the individual.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.33; 90-113.43; 90-113.44;
Eff. February 1, 1996.

21 NCAC 68 .0608
CONFIDENTIALITY

(a) Except to pursue notification of respondent of a complaint as set out in Rule .0602 of this Section and to share necessary information with the complainant and others involved in the investigation, at no time prior to the release of the final decision by the Board shall any portion of the action or the whole thereof, be made public or be distributed to any persons other than the members and chairperson of the involved committees, the Committee on Ethics, and its staff.
(b) Notwithstanding Paragraph (a) of this Rule, all materials shall be released as required by the Administrative Procedure Act.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.34;
Eff. February 1, 1996;
Amended Eff. August 1, 1998.

21 NCAC 68 .0609
PETITION FOR REOPENING CASE

(a) If a party, upon proper notice fails to appear, the hearing may proceed without the party. However, if the inquiry is conducted or a decision is reached in an administrative hearing in the absence of a party, or if a dismissal is entered prior to the granting of one continuance to the person petitioning for reopening the case, that party may file a written petition with the Board for a reopening of the case. The petition caption shall be entitled: "Petition for Reopening Hearing of Respondent."
(b) Petitions for reopening a contested case shall not be granted unless the petitioner can show that his or her failure to appear was justified and unavoidable and that fairness requires reopening the case.
(c) The decision of the Board to grant or deny the petition to reopen shall be in writing and a copy shall be sent to the petitioner and made a part of the record of the hearing.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.34; 90-113.40; 90-113.44; 90-113.45;
Eff. February 1, 1996.

21 NCAC 68 .0610
REINSTATEMENT FOLLOWING REVOCATION

(a) Upon a showing that there are circumstances that could establish a basis for reinstatement or certification following its
denial, it shall be within the discretion of the Board to grant such permission.
(b) A request for reinstatement or certification following its denial shall be initiated by the respondent.
(c) A letter of application for reinstatement or certification following its denial shall present facts which, if established, shall be sufficient to enable the Board to determine that the basis for the sanction no longer exists.
(d) To determine that the basis for the sanction no longer exists the Board may consider:

(1) The nature of the offense,
(2) The severity of the offense,
(3) Any resulting harm or injury to the public and its extent,
(4) The length of time since the punishment was imposed,
(5) Restitution made, and
(6) Any other factor the Board considers relevant.

History Note: Filed as a Temporary Adoption Eff. October 23, 1995 for a period of 180 days or until the permanent rule
becomes effective, whichever is sooner;
Authority G.S. 90-113.30; 90-113.33; 90-113.37; 90-113.39; 90-113.40; 90-113.44; 90-113.45;
Eff. February 1, 1996.

21 NCAC 68 .0611
PROOF OF REHABILITATION

(a) As used in G.S. 90-113.44 and elsewhere, rehabilitation must be sustained and continuous for at least six months.
(b) Evidence for consideration shall include:

(1) Documentation of treatment history including all assessments, evaluations, treatment, counseling, and group experiences;
(2) Complete criminal record;
(3) A comprehensive biopsychosocial and medical assessment that includes evidence of physical, mental, psychological and social functioning;
(4) Medical diagnosis and treatment history and functioning prognosis; and
(5) History of relapse.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40;
Eff. August 1, 2002.

21 NCAC 68 .0612
RESERVED FOR FUTURE CODIFICATION

21 NCAC 68 .0613
RESERVED FOR FUTURE CODIFICATION

21 NCAC 68 .0614
RESERVED FOR FUTURE CODIFICATION

21 NCAC 68 .0615
INFORMAL PROCEEDINGS

(a) In addition to formal hearings pursuant to G.S. 90-113.33 and G.S. 90-113.34, the Board may conduct informal proceedings in order to settle on an informal basis certain matters of dispute. A substance abuse professional practicing pursuant to a certification or other authority granted by the Board may be invited to attend a meeting with the Board or a committee of the Board on an informal basis to discuss matters as the Board may advise in its communication to the person inviting him or her to attend such meeting. No public record of such proceeding shall be made nor shall any individual be placed under oath to give testimony. Matters discussed by a person appearing informally before the Board may, however, be used against such person in a formal hearing if a formal hearing is subsequently initiated.
(b) As a result of such informal meeting, the Board may recommend that actions be taken by a person, may offer a person the opportunity to enter into a consent order, may institute a formal public hearing concerning a person, or may take other public or non-public action as the Board may deem appropriate in each case.
(c) Attendance at such an informal meeting is not required and is at the sole discretion of the person so invited. A person invited to attend an informal meeting shall be entitled to have counsel present at such meeting.

History Note: Authority G.S. 150B-22; 150B-38(h);
Eff. April 1, 2001.
21 NCAC 68 .0620

PUBLICATION OF ETHICS SANCTIONS

(a) All ethics complaint sanctions may be reported by the Board in its newsletter.
(b) Sanctions of suspension or revocation of certification shall be published by the Board as soon as it is practicable.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.42; 90-113.43; 90-113.44;
Eff. August 1, 2002.

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SECTION .0700 -- APPEALS PROCESS

21 NCAC 68 .0701
HEARING BEFORE BOARD: TIME REQUIREMENT

(a) Upon denial, suspension or revocation of certification, the applicant may request a hearing before the Board which will serve as the appeals hearing body.
(b) Requests for an appeals hearing shall be made in writing to the President of the Board within 30 days after receipt of the notification that certification had been denied or revoked.

History Note: Authority G.S. 90-113.30; 90-113.39; 90-113.40;
Eff. August 1, 1996;
Amended Eff. August 1, 2000.

21 NCAC 68 .0702
RIGHT TO HEARING

(a) When the Board proposes to deny, suspend or revoke a certificate of certification, or at any other time when it deems a hearing appropriate, it shall give notice to the person(s) affected of the right to an administrative hearing.
(b) The notice shall be mailed by certified mail to such person at his or her last known address.
(c) The person affected may assert his or her right to a hearing by mailing to the Board a request for an Administrative Hearing pursuant to Rule .0703 of this Section, except that attempts at informal resolution shall not be required and a hearing shall be granted to an applicant whose request is postmarked prior to the date on which the Board is scheduled to act or such other date as may be specified in the notice.

History Note: Authority G.S. 90-113.30; 90-113.39; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0703
REQUEST FOR HEARING

(a) Any applicant for certification or certified individual who believes his or her rights, duties or privileges have been affected by the Board's administrative action but who has not received notice of a right to an administrative hearing, may file a formal request for a hearing to determine certification or recertification.
(b) Before an applicant or certified individual may file a request, he or she shall first exhaust all reasonable efforts to resolve the issue informally with the Board.
(c) The chairperson of the Ethics Committee or his or her designee may meet with the person accused of an ethical violation, if the accused so chooses, prior to requesting additional information from the complainant.
(d) Subsequent to such informal action, if still dissatisfied, the person affected shall submit a written request to the Board in an envelope bearing the notation "REQUEST FOR ADMINISTRATIVE HEARING." That request shall contain the following information:

(1) Name and address of the applicant or certified individual;
(2) Concise statement of the action taken by the Board which is challenged;
(3) Concise statement of the way in which the applicant or certified individual has been aggrieved; and
(4) A clear and specific statement of request for a hearing.

(e) A request for a hearing shall be acknowledged promptly and, if deemed appropriate, a hearing shall be scheduled.

History Note: Authority G.S. 90-113.30; 90-113.39; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0704
HEARING REQUESTS

(a) The Board shall decide whether to grant a request for a hearing at its next regularly scheduled meeting following receipt of the request.
(b) A denial of a request for a hearing shall be issued promptly following a decision by the Board. Such denial shall contain a statement supporting Board denial of the request.
(c) Approval of a request for a hearing shall be signified by the issuing of a notice pursuant to Rule .0705 of this Section.

History Note: Authority G.S. 90-113.30; 90-113.39; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0705
NOTICE OF HEARING

Notices of administrative hearings of the Board shall include the following:

(1) The name, position, address and telephone number of a member, employee, or agent of the Board to contact for further information or discussion;
(2) A statement that failure to inform the office of the Board, within 10 days after notice is received of intent to appear at
any hearing or prehearing conference scheduled in the hearing notice will be deemed a waiver of the right to a hearing;
(3) Notice of the date and place of a prehearing conference, if any;
(4) Notice of the date of the hearing; and
(5) Any other information deemed relevant to informing the party or parties as to the procedure of the hearing.

History Note: Authority G.S. 90-113.30; 90-113.39; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0706
WHO SHALL HEAR CONTESTED CASES

Administrative hearings shall be heard by the Board or, upon determination by the Board, the Office of Administrative Hearings. The President or his or her designee shall be responsible for the conduct of a Board hearing.

History Note: Authority G.S. 90-113.30; 90-113.39; 90-113.40;
Eff. August 1, 1996;
Amended Eff. August 1, 2000.

21 NCAC 68 .0707
PETITION FOR INTERVENTION

(a) Any person seeking to intervene in a contested case shall file a written petition with the Board. The envelope of such request shall bear the notation "PETITION TO INTERVENE IN THE CASE OF (NAME OF CASE)."
(b) The petition shall include the following information:

(1) Name and address of petitioner;
(2) Business or occupation of petitioner, where relevant;
(3) Full identification of the hearing in which petitioner is seeking to intervene;
(4) Statutory or non-statutory grounds for intervention or if none, so state;
(5) Any claim or defense, in respect of which intervention is sought; and
(6) Summary of the arguments or evidence petitioner seeks to present.

(c) The Board shall mail copies of the petition to the parties to the case, with the costs, at the rate of twenty-five cents (0.25) per page, chargeable to the petitioner.
(d) Upon the determination of the Board to allow intervention, notice of that decision shall be issued promptly to all parties as to the petitioner. In cases of discretionary intervention, such notification shall include a statement of any limitations of time, subject matter, evidence or whatever else is deemed necessary, which are imposed on the intervenor.
(e) Upon the Board's decision to deny intervention, the petitioner shall be notified promptly. Such notice shall be in writing, shall state all reasons for the decision and shall be issued to the petitioner and to all parties.

History Note: Authority G.S. 90-113.30; 90-113.39; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0708
TYPES OF INTERVENTION

(a) Intervention of Right. A petition to intervene of right, as provided in the North Carolina Rules of Civil Procedure, Rule 24, shall be granted if the petitioner meets the criteria of that rule and his or her petition is timely. If allowing the petition shall cause substantial prejudice to the right of the parties, substantial added expense or compellingly serious inconvenience to the parties or the office of the Board, the petition to intervene shall be deemed untimely.
(b) Permissive intervention. A petition to intervene permissively as provided in the North Carolina Rules of Civil Procedure, Rule 24, shall be granted if the petitioner meets the criteria of that rule and the Board determines that:

(1) There is sufficient legal or factual similarity between the petitioner's claimed rights, privileges or duties and those of the parties to the hearing; and
(2) Permitting intervention by the petitioner as a party will aid the purpose of the hearing.

(c) The Board may allow discretionary intervention, with whatever limits and restrictions it deems appropriate. Upon the filing of a timely petition, discretionary intervention will be deemed advisable if:

(1) The information the petitioner desires to present is relevant and not repetitious or cumulative; and
(2) The petitioner will lend added impact to the argument of the parties.

History Note: Authority G.S. 90-113.30; 90-113.39; 90-113.40;
Eff. August 1, 1996.

21 NCAC 68 .0709
DISQUALIFICATION OF BOARD MEMBER

(a) Self-disqualification of Board Member. If for any reason the Board member determines that factors render him or her unable to conduct or participate in the hearing and perform all duties in an impartial manner, he or she shall submit, in writing, to the Board his or her disqualification.
(b) Petition for Disqualification. If for any reason any party in a contested case believes that the Board member personally is biased or otherwise unable to conduct or participate in the hearing and perform all duties in an impartial manner, the party may file a sworn, notarized affidavit with the Board. The envelope of such affidavit shall bear the notation: "AFFIDAVIT OF DIS-QUALIFICATION OF BOARD MEMBER IN THE CASE OF (NAME OF CASE)."
(c) Contents of Affidavit. The affidavit must state all facts the party deems relevant to the disqualification of the Board member.
(d) Timeliness of Affidavit. An affidavit of disqualification shall be considered timely if filed at least 10 days before commencement of the hearing. Any other affidavit shall be considered timely provided it is filed at the first opportunity after the party becomes aware of the facts which give rise to a reasonable belief that the Board member may be disqualified pursuant to this Rule.
(e) Procedure for Determining Disqualification is as follows:

(1) The President of the Board may appoint a member of the Board to investigate the allegations of the affidavit and report his or her findings and recommendations to the Board.
(2) The Board, with such assistance as it deems appropriate, shall decide whether to disqualify the challenged individual.
(3) The person whose disqualification is to be determined will not participate in the decision but will have the right to furnish information to the Board.
(4) A record of proceedings and the reasons for decisions reached shall be maintained as part of the contested case.

(f) Disqualification or withdrawal of a Board member because of personal bias or otherwise will not cause the hearing to be postponed unless a quorum is not available.

History Note: Authority G.S. 90-113.30; 90-113.39; 90-113.40;
Eff. August 1, 1996.

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