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Business Services Division

Business Services Division > UCC > Revised Article 9 Center > Indiana Administrative Rules > Section 7: Rule Making Procedure Section 7: Rule Making Procedure

Indiana Secretary of State's Office
Administrative Rules

Uniform Commercial Code, Revised Article 9
Indiana Code 26-1-9.1-1 et seq.

Section 7 -- Rule Making Procedure

700 Policy statement. When taking action affecting the rights of the public, the filing officer shall, in addition to other requirements imposed by the constitution or by statute, do all of the following.

700.1 The filing officer shall adopt rules describing the mission of the filing office, describing the general course and method of operations, and describing the methods by which the public may obtain information or make submissions or requests.

700.2 The filing officer shall adopt rules of practice describing the nature and requirements of all formal and informal procedures available to the public, including a description of forms that may be used to file UCC documents and to request UCC searches.

700.3 The filing officer shall make available for public inspection all rules, and make available for public inspection, all other written statements of law or policy, or interpretations formulated, adopted or used in the administration of the UCC.

701 Public inspection. No rule or other statement or expression of law or policy, or interpretation, order, decision or opinion is valid or effective against any person or party until it has been made available for public inspection as required by these rules, or unless these rules expressly permit otherwise.

702 Procedure for adoption of rules. Prior to the adoption, amendment, or repeal of a rule, the filing officer shall comply with this rule.

702.1 Delivery of notice. The filing officer shall deliver notice of its intended action at least thirty days in advance of the action to the executive officer of the state bar association, the executive officer of the state bankers association, the chairperson of the UCC section of the International Association of Corporation Administrators, and any other person who requests written notice of intended action to adopt, amend, or repeal a rule and who agrees to pay the cost of transmitting such notice to such other person. The notice shall state the substance of the intended action or a description of the subjects and issues involved, and the manner in which interested persons may present their views.

702.2 Public participation. The filing officer shall afford all interested persons an opportunity to submit data, views or arguments in writing. If requested in writing within fourteen days after the date of the notice of intended action by a governmental subdivision, by twenty-five persons, or by an association having not less than twenty-five members, the filing officer shall give interested persons an opportunity to make an oral presentation prior to adopting a rule. The filing officer shall consider fully all written and oral submissions. Within thirty days following either the notice or within thirty days after the last date of the oral presentations on the proposed rule, whichever is later, the filing officer shall adopt a rule or terminate action to adopt the rule. If requested to do so by an interested person, either prior to adoption or within thirty days thereafter, the filing officer shall issue a concise statement of the principal reasons for and against the rule, including the reasons for overruling any considerations urged against the rule.

703 When notice not required. When the filing officer finds for good cause that notice and public participation would be contrary to the public interest, the provisions of rule 702 shall be inapplicable. The filing officer shall incorporate in each rule issued in reliance upon this provision the finding and a brief statement of the reasons for the finding that the notice provisions of rule 702 were contrary to the public interest.

704 Notice of adoption of rule and effective date. The filing officer shall deliver a notice of adoption of a rule to the executive officer of the state bar association, the executive officer of the state bankers association, the chairperson of the UCC section of the International Association of Corporation Administrators, and any other person who requests written notice of adopted rules and who agrees to pay the cost of transmitting such notice to such other person.

704.1 Effective date. Except as provided in rule 704.2, a rule is effective thirty days after the date of the notice of adoption, as required in this rule.

704.2 Immediate effectiveness. Subject to applicable constitutional or statutory provisions, a rule becomes effective immediately upon delivery to the executive officer of the state bar association, the executive officer of the state bankers association, the chairperson of the UCC section of the International Association of Corporation Administrators, any other person who requests written notice of adopted rules, if the filing officer finds that compliance with the provisions of rule 702 is contrary to the public interest and if the filing officer complies with the notice requirements of rule 703.

705 Petition for adoption of rules. An interested person may petition a filing officer to adopt a rule. Within sixty days after submission of a petition, the filing officer either shall deny the petition in writing on the merits, stating its reasons for the denial, or initiate a proceeding to adopt the rule in accordance with rule 702.

706 What constitutes delivery. In this section, "deliver" and "delivery" mean placing a copy of a proposed rule or an adopted rule in ordinary mail, postpaid and correctly addressed to the recipient.

707 Authority to adopt rules. Rules on the administration of the UCC are adopted pursuant to Indiana Code 26-1-9.1-526 and 4-22-2-13.

708 Implementation. Rules on the administration of the UCC are intended to implement Part 5 of Article 9 of the UCC, found at Indiana Code 26-1-9.1-1 et seq.

Numbers 709 through 799 are reserved.