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 profes-
sional.
(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 emo-
tional 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 popula-
tion 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 CERTIFICATION

(a) Individuals may register with the Board at the beginning of their entry into the field. This allows the Board to review the
applicant's materials including education, training, experience and supervision contracts and provide the applicant with a clear
understanding of his or her standing in the certification process.
(b) Although early registration is not required, it will provide better direction through the process. To register, the applicant shall
send the following to the Board:

(1) Completed registration form provided by the Board;
(2) Documentation of required high school graduation or completion of GED, as well as documentation of any baccalau-
reate or advanced degree the applicant may have completed;
(3) A signed supervision contract provided by the Board documenting the proposed supervision process by an approved
supervisor;
(4) A signed form attesting to the applicant's commitment to adhere to the ethical standards of the Board;
(5) Documentation of three hours of educational training in ethics; and
(6) A check or money order in the amount as set in G.S. 90-113.38 (b) 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) If a Registrant performs services as a counselor, in order for this experience to be considered toward certification at a later
date, the registrant shall receive supervision from an approved supervisor at a ratio of one hour of supervision for every ten hours
of practice.
(e) Registration with the Board shall be for a period of no more than five years unless the Registrant resubmits the documents
and pays the fees set forth in this Rule.

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. 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 PRACTICE FOR SUBSTANCE ABUSE COUNSELOR CERTIFICATION

(a) The process of supervision utilized to train the Substance Abuse Counselor shall be provided by an approved supervisor and
cover all twelve core functions of the Substance Abuse Counselor. Verification of at least ten hours of supervised practice must
be made in each of the core functions of this Rule. These 120 hours of supervised practice 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, estab-
lish 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;
(12) Consultation with substance abuse and other professionals to assure comprehensive, quality care for the client.

(b) The remaining 180 hours of Supervised Practice shall be in core function areas but may be distributed at the discretion of the
supervisor.
(c) Upon completion of the 300 hours, the supervisor shall complete an evaluation form reviewing the Counselor Intern's
professional development and provide it to the Board, documenting the 300 hours of practice, including 30 hours of supervision.
(d) This training may be completed as 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 approved supervisor. The Supervised Practice shall take place
within a setting whose primary focus is the treatment of alcohol and drug abuse.

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. 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 at least 6000 hours of paid or volunteer supervised experience earned in not less than three
years, or if a graduate of a Board-approved master's degree program, a total of 3,000 hours of paid or volunteer
supervised experience in the field, 300 hours of which shall be supervised practice. If the work setting is not exclusively
substance abuse focused, the applicant may accumulate experience proportional to the substance abuse services per-
formed;
(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) All 270 clock hours needed for initial certification must be in the core competencies. Core competencies are
listed as follows:

(i) Basic alcoholism, drug addiction and cross addiction knowledge:
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(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, cul-
tural, sexual orientation, and gender characteristics as well as persons dealing with HIV, co-occurring
disabilities 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 12 hours of
HIV/AIDS/STDS/TB/Bloodborne pathogens training and education and six hours professional ethics training
and education;

(3) A one hundred dollar ($100.00) oral examination and case preparation fee plus 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 of one hun-
dred dollars ($100.00) for the oral examination fee and one hundred fifty dollars ($150.00) for the written exam fee 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) Successful completion of an IC&RC/AODA, Inc. or its successor organization oral examination and case presentation
administered by the Board following review and approval by the Board of the requirements in this Rule;
(6) 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;
(7) A signed form attesting to the applicant's adherence to the Ethical Standards of the Board;
(8) Documentation of high school graduation, completion of GED, baccalaureate or advanced degree;
(9) Completed registration forms;
(10) Resume; and
(11) Job description which 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. 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 PERIOD

Certification is for a period of two years after which recertification is necessary.

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


21 NCAC 68 .0208 CONTINUING EDUCATION REQUIRED FOR COUNSELOR AND
PREVENTION CONSULTANT RECERTIFICATION

(a) Each certified Counselor and Prevention Consultant shall receive 60 hours of Board approved, as set out in these Rules,
education during the current certification period which shall be documented. A minimum of 30 hours shall be substance abuse
specific (SAS) and no more than 25 percent may be inservice education. This education may include a combination of hours
including attending workshops, receiving clinical supervision and providing workshops.
(b) Recertification educational guidelines as a Substance Abuse Professional require:

(1) No more than 25 percent may be inservice education, received within your organization by staff of the same employ-
ment.
(2) 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.
(3) No more than 25 percent of Alcohol/Drug Education Traffic School (ADETS) and Drug Education School (DES)
events.
(4) An applicant shall include documentation of each event submitted.
(5) 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 recertification.
(6) No more than 50 percent self study, pre-approved by the Board as set out in these Rules.

(c) To be recertified, a certified professional must submit the following:

(1) A completed application form with continuing education documented; and
(2) 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;
Eff. August 1, 1996;
Amended Eff. 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 succes-
sor 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 recertifica-
tion. 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

(a) Alcoholism and drug abuse counselors may convert to substance abuse counselors as prescribed by ICRC/AODA or maintain
(b) A person with either of the single credentials shall not be eligible for reciprocity or the international certificate through the
ICRC/AODA.
(c) The conversion fee shall be two hundred twenty-five dollars ($225.00) with twenty-five dollars ($25.00) of this fee due when
the application packet is requested.

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

21 NCAC 68 .0211 PROCESS FOR CLINICAL SUPERVISOR CERTIFICATION

Requirements for certification as a Clinical Supervisor shall be:
(1) Applicant shall obtain and maintain certification as a Substance Abuse Counselor, Clinical Addictions Specialist, or a
substance abuse specialty credential offered by an organization granted deemed status by the Board in order to be
eligible for Clinical Supervisor Certification;
(2) All applicants shall be required to hold a master's degree or higher education in a human services field with a clinical
application from a regionally accredited college or university;
(3) 8,000 hours or four years full-time experience in the field of alcohol and other drug abuse (10,000 hours to insure
reciprocity pursuant to IC&RC/AODA, Inc. or its successor organization's requirements);
(4) Thirty 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 in their clinical application and practice and may also
be used as re-certification hours for Substance Abuse Counselor or Clinical Addictions Specialist certification. 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 Substance Abuse Counselor or Clinical Addictions Specialist;
(5) 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) Successful completion of an IC&RC/AODA, Inc. or its successor organization's written examination;
(7) Payment of 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) A fee of one hundred twenty-five dollars ($125.00) shall be 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. 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 certified 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) Positive 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 provided 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. August 1, 2002; August 1, 2000.

21 NCAC 68 .0213 CONTINUING EDUCATION APPROVAL POLICY

(a) The Board shall approve educational events for professional certification. One certified hour is defined as one contact hour of
participation in an organized continuing education experience. Continuing education used to meet the certification requirements
shall be reviewed and approved by the Board. If the sponsor does not obtain credit from the Board, the individual participants
shall be responsible for supplying all of the required information for each session at the time of request for certification or re-
certification or conversion. The Standards and Credentials Committee shall review requests once monthly. Submission of ap-
proval requests should be postmarked 45 days prior to opening day of the event.
(b) Any applicant for training approval shall submit:

(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) Brief but thorough description of contents of track, course, seminar, and the type of credit hours being requested, to
include substance abuse specific or general skill building.
(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) Application for training approval shall include a copy of the objective evaluation tool to be used.
(6) A summary of evaluation that shall be submitted to the Board within 45 days following the program date(s).

(c) The Board may review programs by sending a Board member or designee to monitor the event or a portion of the event.
When fulfilling this quality assurance role, the designated Board member shall present a letter of introduction to the presenter.
The Board member shall not receive certification or re-certification hours for attendance at these events.
(d) Certification hours may be awarded only for actual hours completed.
(e) Certificates shall not be released until the event ends or they shall be modified to reflect the actual hours completed.
(f) Providers of Board approved events shall document attendance at individual events for schools, courses, curricula and confer-
ences.
(g) Event sponsors shall maintain attendance and evaluation records for no less than three years.
(h) Training approved by IC&RC/AODA, Inc. member boards and organizations granted deemed status shall be accepted with
documentation of completion.
(i) Employer Inservice events shall meet the same requirements as set out in Paragraphs (a) through (h) of this Rule. Inservice
includes any event provided in the applicant's organization by a person under the same employment as the applicant (military
employment is considered within the same department). However, if 20% of the participants are non-employees of the sponsor-
ing and presenting agency, the standard fee schedule shall be in effect. Education received within the organization by outside
trainers is not considered inservice.
(j) Credit shall not be given for the following:

(1) Banquet speakers unless the content meets the requirements in this Rule;
(2) Making one's own case presentation; or
(3) Registration time.

(k) 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.
(l) 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;
Eff. August 1, 1996;
Amended Eff. August 1, 2000.

21 NCAC 68 .0214 CONTINUING EDUCATION SCHOOL CURRICULA APPROVAL

(a) The Standards Committee shall be notified of a request from a school for approval of a "Substance Abuse Specialty" cur-
ricula.
(b) The Chairperson of the Standards Committee shall ask members of the Curriculum Review Subcommittee of the Standards
Committee to set up an appointment with the appropriate faculty and representatives of the applicant school for a site review.
(c) The Chairperson of the Curriculum Review Subcommittee shall contact the applicant school's representative to schedule the
site review and inform the representative that the following information shall be needed from the applicant school for the site
review itself:

(1) Curricula description including number of hours of substance abuse specific credits;
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(2) Information as to how the educational requirements for HIV and ethics shall be met within the curricula;
(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 sub-
stance abuse specific field placements and supervision.

(d) The Chairperson of the Curriculum Review Committee shall follow up the telephoned exchange of information with an
official letter outlining the requirements for a site review.
(e) The Curricula Review Subcommittee shall conduct a site visit and review of curricula to determine if the proposal meets
educational, hour, substance abuse specific, supervised experience, and instructor rules of the Board.
(f) The Curricula Review Subcommittee shall make a recommendation to the Standards Committee for approval or disapproval
of the curricula.
(g) The school shall be notified of the recommendation of the Standards Committee to the Board and shall have the opportunity
to make a presentation to the Board to support its request.
(h) Upon a recommendation by the Standards Committee for approval, the Board shall make a final determination of the ap-
proval or disapproval of the curricula.
(i) The curricula shall be approved for a period of three years. Application for extension of the curricula shall be made 90 days
prior to the effective date of the extension.

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

21 NCAC 68 .0215 VERIFICATION

(a) Application for verification of certification 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.

21 NCAC 68 .0216 BACKGROUND INVESTIGATION

(a) Every applicant for registration or certification shall provide, at her or his expense, a criminal history record check obtained
within 60 days of the date when the applicant submits all the prerequisites for registration or certification. This record check
shall be made from information the applicant can access from local, State, and national files in any jurisdiction in which the
applicant was subject to conviction. If the applicant is unable to obtain the report from the issuing agency due to the agency's
denial of a request for the report, a verified statement listing all of the applicant's criminal convictions (to include all crimes
appearing in the categories below) shall satisfy this requirement.
(b) The applicant shall provide any additional information regarding any conviction as requested by the Board.
(c) Failure to make full and accurate disclosure shall be grounds for immediate application denial, or other disciplinary action
applicable to registration or certification pursuant to G.S. 90-113.44.
(d) Applications with criminal histories from any jurisdiction shall be categorized according to the seriousness of the offense.
The category shall be determined by the most serious offense, as defined by North Carolina law.
(e) These categories of crimes (committed as separate incidents) are as follows:

(1) Category I. The following crimes:

(A) Homicide and attempted murder; or
(B) Sexual assault, including but not limited to attempted sexual assault, rape, indecent liberties with a child, moles-
tation, and sexual assault of a child.

(2) Category II. Crimes that primarily result in physical or emotional harm to others, including but not limited to:

(A) Manslaughter;
(B) Kidnapping or attempted kidnapping;
(C) Arson of an occupied dwelling;
(D) Robbery or attempted robbery;
(E) Assault (felony);
(F) Larceny from the person;
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(G) One or more felony DWIs;
(H) Burglary; and
(I) Sale and delivery violations of the North Carolina Controlled Substances Act resulting in a felony conviction.
(3) Category III. Listed misdemeanors; and felonies that do not primarily result in bodily or emotional harm to others,
including:
(A) Any combination of three or more misdemeanors from Category IV shall be reclassified as a Category III of-
fense;
(B) Three or more DWIs; not prosecuted as a felony;
(C) Assault (misdemeanor);
(D) Larceny not from the person;
(E) Financial transaction card theft or fraud;
(F) Unauthorized use of a motor vehicle;
(G) Unlawfully carrying a weapon;
(H) Theft of a vehicle;
(I) Falsification of government documentation (felony); and
(J) Arson of an unoccupied dwelling.
(4) Category IV. Misdemeanors not otherwise listed that do not primarily result in bodily or emotional harm to others
including:
(A) Any combination of three or more Category V incidents, except three misdemeanor DWIs shall be reclassified as
a Category III offense;
(B) Two DWIs;
(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; and
(J) Falsification of government documents.
(5) Category V. Category V offenses are:
(A) One DWI;
(B) Disorderly conduct; and
(C) Intoxicated and disruptive in public.

(f) The Board shall determine if the conviction is related to the duties and responsibilities of a substance abuse professional. The
Board shall consider the following factors:

(1) The nature and seriousness of the crime;.
(2) The extent to which a registration or certification might offer an opportunity to engage in further criminal activity of the
same type; and.
(3) The relationship of the crime to the ability, capacity, or fitness required to perform the duties and discharge the respon-
sibilities of a substance abuse professional.

(g) If the Board determines that the conviction does not relate to the duties and responsibilities of a substance abuse professional,
the Board shall continue to process the registration or certification application.
(h) If the Board determines that the conviction does relate to the duties and responsibilities of a substance abuse professional:

(1) An applicant with a Category I conviction shall have at least 15 years 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 or certification.
(2) An applicant with a Category II conviction shall have at least 10 years 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 registration or certification.
(3) An applicant with a Category III conviction shall have at least five years 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 registration or certifica-
tion.
(4) An applicant with a Category IV conviction shall have at least three years 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 registration or certifica-
tion.
(5) An applicant with a Category V conviction shall have at least one year 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 registration or certification.

(i) If the person's criminal activity is related to a history of chemical dependency, the Board shall also consider the person's
efforts and success in achieving and maintaining recovery. Applicants with a history of chemical dependency shall demonstrate
evidence of treatment or rehabilitation and at least two years of continuous recovery.
(j) 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

21 NCAC 68 .0217 RESERVED FOR FUTURE CODIFICATION

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 a person who has duly made application to take an examination to be given by the
Board showing the person's education, training and other qualifications required by the Board or that a person who has taken and
passed an examination given by the Board has failed to satisfy the Board of the applicant's qualifications to be examined or to be
issued a certificate of certification for any cause other than failure to pass an examination, the Board shall notify such person of
its decision and indicate in what respect the applicant has failed to satisfy the Board. The applicant may inquire with the Board
Administrator if more information is needed to clarify the nature of the deficiency.

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

21 NCAC 68 .0221 APPLICANT HEARING

If the applicant so requests and provides the Board with a statement of the reason for the request, this person 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 certification 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 certified, 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.

21 NCAC 68 .0222 ETHICS INQUIRY

Information which 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 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 against applicants and certified
professionals. Once the investigation is completed, the Ethics Chairperson shall report the results of the investigation to the
Standards Committee for its review.

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

21 NCAC 68 .0223 STANDARDS COMMITTEE ACTION

The Standards Committee may take any of the following actions:
(1) Approve the application;
(2) Remand the matter to the Ethics Chairperson for further inquiry in order to obtain additional information upon which
to base a decision;
(3) Schedule a hearing by the Committee wherein the applicant may appear to answer questions or provide a statement to
the Committee regarding the matter under inquiry;
(4) Request that the applicant undergo any psychological or physical testing or assessment which or by whom the Commit-
tee deems necessary, provide the results to the Committee for its review, and, in the discretion of the Committee,
require that the applicant complete any prescribed intervention;
(5) Following notification to the applicant and the opportunity for the applicant to request a hearing by the Board, the
Committee may make a recommendation to the Board that the applicant shall not be certified.

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

21 NCAC 68 .0224 CERTIFICATION STATUS DENIED IF SERVING SENTENCE

Individuals making application for certification who are serving any part of a court-ordered sentence; including community
service, supervised or unsupervised probation, or making restitution, shall be removed from the certification process. If any
person is serving or begins serving such sentence during the course of the certification process, this person shall notify the
Board. Once the Board ascertains that the individual is serving a sentence, all fees shall be refunded.

History Note: Authority G.S. 90-113.30; 90-113.33; 90-113.39; 90-113.40; 90-113.4

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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 compe-
tencies 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-refund-
able 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 educa-
tion.
(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 periodi-
cally;
(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

21 NCAC 68 .0501 PURPOSE AND SCOPE

(a) The ethical guidelines governing the certified substance abuse professional are established to insure that the highest standards are followed for the professional practice in the alcohol and other drug abuse service delivery system.
(b) The primary goal of this code is to set forth principles to guide the conduct of the substance abuse professional in the
profession. Violation of these standards may be deemed malpractice, gross 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. The substance abuse professional is charged to consider all principles that apply to the situation on which ethical judgment is to be exercised and to select a course of action consistent with the spirit as well as the letter of the ethical code.
(d) Upon approval of certification, each applicant shall review the ethical standards in these rules and return a signed-statement to the Board agreeing to abide by these standards.

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; 90-113.39; 90-113.40;
Eff. February 1, 1996.

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 assist in eliminating prevention, intervention, and treatment practices by unqualified or unauthorized persons in the field.
(b) The substance abuse professional who is aware of unethical conduct or of unprofessional modes of practice shall report such violations to the appropriate certifying authority.
(c) The substance abuse professional shall recognize boundaries and limitations of his or her competencies and not offer services or use techniques outside of these professional competencies.
(d) The substance abuse professional shall recognize the effect of impairment on professional performance and shall be willing to seek appropriate treatment for oneself or for a colleague. The substance abuse professional shall support peer assistance programs in this respect.
(e) The application of this Rule is limited to actions by substance abuse professionals acting within the substance abuse professional field.
(f) No person shall be certified as a substance abuse professional who is sentenced to an active or probationary term by the courts of this land and any part of the sentence is unserved.

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; 90-113.34; 90-113.36; 90-113.37; 90-113.39; 90-113.40; 90-113.41; 90-113.43;
90-113.44;
Eff. February 1, 1996;
Amended Eff. April 1, 2001; August 1, 2000.

21 NCAC 68 .0504 LEGAL STANDARDS AND ETHICAL STANDARDS

(a) The substance abuse professional shall uphold the legal and ethical codes which pertain to professional conduct.
(b) The substance abuse professional shall not claim either directly or by implication, professional qualifications or affiliations that the substance abuse professional does not possess.
(c) The substance abuse professional shall not use the affiliation with the North Carolina Substance Abuse Professional Certification Board for purposes that are not consistent with the stated purposes of the Board.
(d) The substance abuse professional shall not associate with or permit the substance abuse professional's name to be used in connection with any services or products in a way that is misleading.
(e) The substance abuse professional associated with the development or promotion of books or other products offered for commercial sale shall insure that such books or products are presented in a professional and factual way.

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; 90-113.43; 90-113.44; 90-113.45;
Eff. February 1, 1996;
Amended Eff. April 1, 2001.

21 NCAC 68 .0505 PUBLIC STATEMENTS

(a) The substance abuse professional shall respect the limits of present understanding in public statements concerning alcoholism and other forms of drug addiction.
(b) The substance abuse professional who represents the field of alcoholism and other drug abuse prevention, intervention, and treatment to clients, other professionals or to the general public shall report fairly and accurately the appropriate information.
(c) The substance abuse professional shall acknowledge and document materials and techniques used.
(d) The substance abuse professional who conducts training in alcohol or other drug abuse prevention, intervention, and treatment skills or techniques shall indicate to the audience the requisite training and qualifications required to properly perform these skills and techniques.

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 .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 respect the integrity and protect the welfare of the person or group with whom he or she is working.
(b) The substance abuse professional shall define for self and others the nature and direction of loyalties and responsibilities and keep all parties concerned 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 end a counseling or consulting relationship when the professional knows or should know that the client is not benefiting from it.
(e) 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.
(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 who asks a client to reveal personal information from or about other professionals or allows information to be divulged shall inform the client concerning the duties and responsibilities resulting from dissemination of the information. The information released or obtained with informed consent shall be used for expressed purposes only, unless the release is otherwise required by law.
(h) The substance abuse professional shall not use a client in a demonstration role in a workshop setting where such participation would foreseeably seriously harm the client.
(i) The substance abuse professional shall ensure the presence of an appropriate setting for pre-clinical or clinical work to protect the client from harm and the substance abuse professional and the profession from censure.
(j) The substance abuse professional shall collaborate with other health care professionals in providing a supportive environment for the client who is receiving prescribed medications.

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; 90-113.39; 90-113.40; 90-113.43; 90-113.44;
Eff. February 1, 1996;
Amended Eff. 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 inform the client and obtain the client's agreement in areas likely to affect the client's participation including the recording of an interview, the use of interview material for training purposes, or the observation of an interview by another person.
(b) The substance abuse professional shall inform the designated guardian or responsible person of the circumstances that may influence the relationship, when the client is a minor or incompetent.
(c) The substance abuse professional shall not enter into a professional relationship with members of one's immediate family, friends or close associates. For the purpose of this Rule "immediate family" means spouse, parent, sibling, child, grandparent, grandchild, stepchild, step parent, parent-in-law, and child-in-law. The professional shall avoid dual relationships that could impair professional judgment or increase the risk of client exploitation.
(d) Sexual activity or 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
at least two 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 person the
professional knows to be a current client of his or her own agency or place of professional employment.
(4) The substance abuse professional shall not engage in or solicit sexual activity or sexual contact with any person the
professional knows to be a former client of his or her own agency or place of professional employment for at least two
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.

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; 90-113.44;
Eff. February 1, 1996;
Amended Eff. 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 certified professional serving as a clinical supervisor shall:

(1) Be aware of his or her influential position with respect to students, employees, and supervisees, and therefore not
exploit the trust and dependency of such persons.
(2) Avoid dual relationships that could impair professional judgment, increase the risk of exploitation, or potentially 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 member of the supervisor's household as students or; supervisees (related by marriage means related to spouse, brother-in-law, mother, and father-in-law;
(B) Provide therapy or therapeutic counseling to students, employees, or supervisees; or
(C) Solicit or engage in sexual activity or contact with students or supervisees during the period of supervision.

(3) Be trained in and knowledgeable about supervision methods and techniques.
(4) Shall 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. The supervisor shall assign to
his or her employees, supervisees, and students 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