OAR Chapter 160 — Secretary of State, Corporation Division

Division 1 PROCEDURAL RULES

Or. Admin. R. 160-001-0000 Notice of Intent to Adopt, Amend or Repeal Rules

Prior to the adoption, amendment or repeal of any permanent rule under ORS Chapters 56, 58, 60, 62, 63, 65, 68, 70, 79, 80, 87, 128, 194, 554, 647, 648, 649 and 661 the Secretary of State shall give notice of the proposed adoption, amendment, or repeal at least 21 days prior to the effective date.

(1) By placing a notice in the Secretary of State's Bulletin referred to in ORS 183.360;

(2) By mailing a copy of the notice to persons on the Division mailing list established pursuant to ORS 183.335(7); and

(3) By mailing a copy of the proposed rule to other persons who request such in writing.

History

Statutory/Other Authority: ORS 56, 58, 60, 62, 63, 65, 68, 70, 79, 80, 87, 128, 183, 554, 647, 648, 649 & 661
Statutes/Other Implemented: ORS 183.335
CORP 1-2010, f. 1-22-10 cert. ef. 2-1-10
CORP 1-2004, f. & cert. ef. 5-3-04
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
CORP 1-1991, f. & cert. ef. 1-22-91
CC 2-1988, f. 9-28-88, cert. ef. 10-3-88, Renumbered from 164-001-0000(3)(b)(A) - (K) & (c)(A) - (M)
PRD 1-1988, f. & cert. ef. 2-5-88, Renumbered from 815-050-0001
CC 2-1985, f. & ef. 3-6-85

Or. Admin. R. 160-001-0005 Model Rules of Procedure

The Model Rules of Procedure as promulgated by the Attorney General of the State of Oregon under the Administrative Procedures Act effective January 1, 2010, are adopted as the rules of procedure for the Corporation Division of the Secretary of State's office.

[ED. NOTE: The full text of the Attorney General’s Model Rules of Procedure is available from the office of the Attorney General or the Corporation Division.]

History

Statutory/Other Authority: ORS 183
Statutes/Other Implemented: ORS 183.341
CORP 2-2009, f. & cert. ef. 11-3-09
CORP 1-2004, f. & cert. ef. 5-3-04
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
CORP 3-1991, f. & cert. ef. 12-6-91
CORP 3-1990, f. & cert. ef. 12-5-90
CC 1-1988, f. & cert. ef. 8-12-88

Division 5 FEES AND REFUNDS

Or. Admin. R. 160-005-0005 Fees For Business Registry Public Records

(1) Definition

(a) “Document File” A document file includes:

(A) Documents initially filed for corporations, limited partnerships, limited liability companies, limited liability partnerships, business trusts, and trade and service marks; and

(B) Supplementary documents for corporations, limited partnerships, limited liability companies, limited liability partnerships, business trusts, and trade and service marks; and

(b) “Single Documents” Examples of single documents include:

(A) Annual Reports;

(B) Change of Registered Agent.

(2) Certified paper copies of a document file — $15 per file.

(3) Regular paper copies of a document file — $5 per file.

(4) Certified paper copies of single documents — $15 per document.

(5) Regular paper copies of single documents — $5 per document.

(6) Regular paper copies of a document at the time of filing —$5.

(7) Certificate of Existence — $10.

(8) Certificate of Record — $10.

(9) Certificate of No Record — $10.

(10) Regular paper copies of inactive corporate records — $10.

(11) Decorative Certificate of Incorporation/Organization/Registration — $20.

History

Statutory/Other Authority: ORS 56, 58, 60, 62, 63, 65, 68, 70, 128, 183, 192, 554, 647 & 648
Statutes/Other Implemented: ORS 56.140
CORP 2-2008, f. 4-15-08, cert. ef. 5-1-08
CORP 4-1995, f. 12-5-95, cert. ef. 12-6-95
CORP 1-1994, f. 12-30-94, cert. ef. 1-1-95
CORP 1-1993, f. 12-29-93, cert ef. 1-1-94
CORP 1-1992, f. & cert. ef. 3-18-92
CORP 2-1991, f. 6-21-91, cert. ef. 7-1-91
CORP 1-1991, f. & cert. ef. 1-22-91, Renumbered from 160-001-0010
Renumbered from 815-010-0004, CC 2-1988, f. 9-28-88, cert. ef. 10-3-88
CC 4-1986, f. & ef. 1-6-86
CC 9-1985(Temp), f. & ef. 9-25-85

Or. Admin. R. 160-005-0007 Fees For Business Registry Special Services

(1) Customized Searches: Business Registry (.txt format).

(a) Standard Search Requests.

(A) Associated Person Name Search — $10 per name.

(B) City Search — $10 per city.

(D) Entity Type Search — $50 per search.

(b) Special Search request — $150 per search. (Customer supplied list of conditions. A condition may be any combination of data elements stored in the database such as city, entity type, status, date range, associated name type, etc.)

(2) Standard Information Sets: Business Registry.

(a) Entire Database extract (.txt format) — $500 per file.

(b) Monthly New Business List (.txt format) — $50 per file.

(d) Trade and Service Mark registrations — $100 per file. (Monthly CD images w/entire database index.)

(3) Research Fees for Business Registry programs. The fees for research service shall be — $50 per hour. Based on actual costs incurred (amounts of less than one-hour charged in 1/2-hour increments).

History

Statutory/Other Authority: ORS 56, 58, 60, 62, 63, 65, 68, 70, 128, 183, 192, 554, 647 & 648
Statutes/Other Implemented: ORS 68.675, 56.140 & 647.009
CORP 2-2008, f. 4-15-08, cert. ef. 5-1-08

Or. Admin. R. 160-005-0008 Fees for Notarial Acts by Corporation Division Employees

The Secretary of State shall collect $10 per notarial act performed by a notary public employed by the Secretary of State during the course of that person’s employment. Notarial acts performed by the employee outside of the course of employment shall be subject to OAR 160-100-0400 through 0420.

History

Statutory/Other Authority: ORS 194.335
Statutes/Other Implemented: ORS 194.164
CORP 7-2009, f. 12-22-09, cert. ef. 1-1-10

Or. Admin. R. 160-005-0010 Refund of Monies

(1) This rule, pursuant to ORS 293.445, provides for the refund of fees paid in excess of the amount legally due to the Corporation Division.

(2) The Secretary of State shall not refund fees paid in excess of the amount legally due to the Division if the amount is $10 or less, unless a refund is requested by the applicant or the applicant's legal representative. However, the Secretary of State shall not make refunds unless the request is received within three years after the date payment is received by the Division.

History

Statutory/Other Authority: ORS 56, 58, 60, 62, 63, 65, 68, 70, 79, 80, 87, 128, 183, 194, 293, 554, 647 & 648
Statutes/Other Implemented: ORS 56.140
CORP 2-2008, f. 4-15-08, cert. ef. 5-1-08
CORP 4-1995, f. 12-5-95, cert. ef. 12-6-95
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
CORP 1-1991, f. & cert. ef. 1-22-91, Renumbered from 160-001-0015
Renumbered from 815-010-0001, CC 2-1988, f. 9-28-88, cert. ef. 10-3-88
CC 6-1985, f. & ef. 5-3-85
CC 15, f. 1-11-74, ef. 2-11-74

Division 10 BUSINESS REGISTRY SECTION

Or. Admin. R. 160-010-0010 Definitions

For the purposes of OAR 160-010-0010 through 160-010-0014:

(1) "Distinguishable" means visually distinct, in writing, as opposed to a comparison of words as they sound. Thus, homonyms, such as "fair" and "fare" are permitted; whereas heteronyms such as "wind" and "wind" are not distinguishable.

(2) "Entity identifier" means the words "corporation", “company”, "incorporated", "limited", "limited liability company", "limited liability partnership", "business trust", "professional corporation" or "limited partnership" or any abbreviation or derivation thereof. An entity identifier must be separate from other words or parts of words in the business name to be considered an entity identifier. Example: "ProCorp" does not have an entity identifier. "ProCorp, Inc." does.

(3) "Key Word" means a word other than an article, preposition, conjunction, or entity identifier at the end of a business name.

History

Statutory/Other Authority: ORS 56, 58, 60, 62, 63, 65, 68, 70, 128, 183, 554 & 648
Statutes/Other Implemented: ORS 58.085, 60.094, 62.131, 63.094, 65.094, 68.735, 70.010, 128.580, 554.005 & 648.051
CORP 9-2010, f. 6-22-10, cert. ef. 7-1-10
CORP 4-2006, f. & cert. ef. 6-26-06
CORP 3-1995, f. 8-31-95, cert. ef. 9-1-95
CORP 1-1994, f. 12-30-94, cert. ef. 1-1-95
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
CORP 1-1991, f. & cert. ef. 1-22-91
CC 2-1988, f. 9-28-88, cert. ef. 10-3-88, Renumbered from 815-050-0041, 815-050-0043, 815-050-0045, 815-050-0051 & 815-050-0055
CC 14-1986, f. & ef. 7-23-86

Or. Admin. R. 160-010-0011 General Guidelines

This rule furnishes general guidelines to determine whether a proposed name is distinguishable on the active records of the Secretary of State Business Registry office. For the purposes of determining whether a name is available for registration, OAR 160-010-0010 through 160-010-0014 will be applied jointly.

(1) The records consist of business, professional, cooperative and nonprofit corporations, limited liability companies, limited liability partnerships, limited partnerships, business trust names, reserved or registered names, and assumed business names.

(2) Registration or filing of a name by the Secretary of State Business Registry office only advises the public that the name is registered to individuals or a particular entity. Registration or filing of a name does not grant exclusive rights or interests in that name. A name may be available for registration; however, someone else may hold a prior right to that name, or the name may be too similar to another, and may result in a case of legal action brought against the registrant for dilution or unfair competition of someone else's business.

(3) The Secretary of State's role is ministerial. The Secretary of State does not have the power to determine or settle competing claims to a name under other statutes or under the common law. Unresolved disputes between parties regarding ownership rights to a business name should be directed to the appropriate court of jurisdiction.

(4) Business entity, reserved, or registered names that become inactive through administrative or voluntary dissolution, cancellation, or failure to renew are not considered part of the active records, and inactive names will be considered available for purposes of registration.

(5) Names submitted for registration must be comprised of the English letters “a” through “z,” and the Arabic and Roman numerals 0 through 9, in integers or spelled out.

(6) The following special characters and punctuation marks will also be allowed in the name, however they will not, by themselves, make a name distinguishable:

(a) Special Characters — asterisk (*); “at” sign (@); backslash (); left brace ( { ); right brace ( } ); caret (^); dollar sign ($); “equal to” sign (=); “greater than” sign (>); “less than” sign (<); number sign (#); percentage sign (%); plus sign (+); tilde (~); and underscore (_).

(b) Punctuation Marks — apostrophe ( ‘ ); left bracket ([ ); right bracket( ]); colon (:); comma (,); dash or hyphen (-); exclamation point (!); left parenthesis (( ); right parenthesis ( ) ); period (.); question mark (? ); single quote mark (“ ); double quote mark ( “ ” ); semicolon (;); and slash ( / ).

History

Statutory/Other Authority: ORS 56, 58, 60, 62, 63, 65, 68, 70, 128, 183, 554 & 648
Statutes/Other Implemented: ORS 58.085, 60.094, 62.131, 63.094, 65.094, 68.735, 70.010, 128.580; 554.005 & 648.051
CORP 4-2006, f. & cert. ef. 6-26-06

Or. Admin. R. 160-010-0012 Distinguishable on Record

For purposes of the reservation, registration, or use of a name under ORS Chapters 58, 60, 62, 63, 65, 67, 70, 128, 554, and 648, a name is distinguishable on the records of the Secretary of State Business Registry office from the name of any other active organized entity, and from a reserved or registered name, if:

(1) Each name contains one or more different letters or numerals, or has a different sequence of letters or numerals, except that adding or deleting the letter “s” to make a word plural, singular, or possessive shall not cause a name to be distinguishable;

(2) One of the key words is different;

(3) The key words are the same, but they are in a different order; or

(4) The key words are the same, but the spelling is creative or unusual.

(5) The difference in key words is between how a number is expressed, as a numeral, Roman numeral, or word representing a numeral.

History

Statutory/Other Authority: ORS 56, 58, 60, 62, 63, 65, 68, 70, 128, 183, 554 & 648
Statutes/Other Implemented: ORS 58.085, 60.094, 62.131, 63.094, 65.094, 68.735, 70.010, 128.580; 554.005 & 648.051
CORP 4-2006, f. & cert. ef. 6-26-06

Or. Admin. R. 160-010-0013 Not Distinguishable on Record

A name is not distinguishable on the records of the Secretary of State Business Registry office from the name of any other active organized entity, or from a reserved or registered name, if the names only differ in one or more of the following ways:

(1) Entity identifiers at the end of a name

(2) Punctuation or special characters

(3) Capitalization

(4) Spacing

(5) The presence or absence of an article, preposition, or conjunction, or a symbol for that word, including "a," "an," "and," "at," "by," "for," "in," "plus," "the," "to," and "with." Examples of symbols include "&," "@," and "+."

(6) An "s" is added or deleted to make the word plural, singular, or possessive.

History

Statutory/Other Authority: ORS 56, 58, 60, 62, 63, 65, 68, 70, 128, 183, 554 & 648
Statutes/Other Implemented: ORS 58.085, 60.094, 62.131, 63.094, 65.094, 68.735, 70.010, 128.580; 554.005 & 648.051
CORP 9-2010, f. 6-22-10, cert. ef. 7-1-10
CORP 4-2006, f. & cert. ef. 6-26-06

Or. Admin. R. 160-010-0014 Prohibitions

(1) An entity identifier, except for “company” and abbreviations thereof, cannot be used with an assumed business name, unless all the registrants on the assumed business name are entities identified in the name.

(2) The Secretary of State Business Registry office shall not approve requested names that imply in any way that the business is an agency of the state, or any of its political subdivisions, without proof of authorization to register such a name.

History

Statutory/Other Authority: ORS 56, 58, 60, 62, 63, 65, 68, 70, 128, 183, 554 & 648
Statutes/Other Implemented: ORS 58.085, 60.094, 62.131, 63.094, 65.094, 68.735, 70.010, 128.580; 554.005 & 648.051
CORP 9-2010, f. 6-22-10, cert. ef. 7-1-10
CORP 4-2006, f. & cert. ef. 6-26-06

Or. Admin. R. 160-010-0020 Designation of Authorized Representative

If the authorized representative of an assumed business name registration withdraws and the registrants fail within the time prescribed to replace the withdrawn authorized representative, the new authorized representative shall be the first listed registrant who has not resigned as authorized representative.

History

Statutory/Other Authority: ORS 648
Statutes/Other Implemented: ORS 648.010
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
Renumbered from 815-050-0070, CC 2-1988, f. 9-28-88, cert. ef. 10-3-88
CC 1-1986, f. & ef. 1-6-86
CC 8-1985(Temp), f. & ef. 9-25-85

Or. Admin. R. 160-010-0030 Assumed Business Name Amendment

In addition to the signatures required by 648.125(2), an assumed business name amendment that adds a registrant or registrants must be signed by the registrant, if the registrant is an individual, by the officer of a foreign or domestic corporation who is authorized to sign, if the registrant is a foreign or domestic corporation, by a general partner of a foreign or domestic limited partnership, if the registrant is a foreign or domestic limited partnership, by a manager or member of a foreign or domestic limited liability company, if the registrant is a foreign or domestic limited liability company, or by a trustee of a foreign or domestic business trust, if the registrant is a foreign or domestic business trust.

History

Statutory/Other Authority: ORS 648.125
Statutes/Other Implemented: ORS 648.025
CORP 2-2012, f. & cert. ef. 3-1-12

Or. Admin. R. 160-010-0050 E-mail Address

(1) Documents electronically delivered to the office of the Secretary of State for filing under ORS chapters 58, 60, 62, 63, 65, 67, 70, 554, 647, 648 and 649 and ORS 128.560 to 128.600 and 661.210 to 661.280 shall include an e-mail address for delivery of official notices and filing acknowledgments.

(2) For the purposes of this rule, “electronically delivered” shall not include electronic facsimile transmission.

History

Statutory/Other Authority: ORS 56.022
Statutes/Other Implemented: ORS 56.016
CORP 4-2012, f. & cert. ef. 6-1-12

Or. Admin. R. 160-010-0100 Code List for Designating Primary Business Activity

(1) The Secretary of State designates the classification codes found in the current Standard Industrial Classification Manual as the codes to be used for designating primary business activity. This federal manual may be obtained at public libraries, through bookstores, or by ordering from: Standard Industrial Classification Manual, National Technical Information Service, 5285 Port Royal Rd., Springfield, VA 22161, Order No. PB 87-10012.

(2) A description of the category of the primary business activity shall be sufficient for coding purposes.

History

Statutory/Other Authority: ORS 56, 58, 60, 62, 65, 68, 70, 128, 554 & 648
Statutes/Other Implemented: ORS 58.225, 60.787, 62.453, 63.787, 65.787, 68.715, 70.460, 128.595, 554.315 & 648.010
CORP 1-1994, f. 12-30-94, cert. ef. 1-1-95
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
CORP 1-1991, f. & cert. ef. 1-22-91
Renumbered from 815-050-0030, CC 2-1988, f. 9-28-88, cert. ef. 10-3-88
CC 10-1985, f. & ef. 9-25-85

Or. Admin. R. 160-010-0210 Definitions

(1) ”Specimen” means a facsimile of a mark that is an attached drawing, photocopy, or electronic version in PDF format, for the purposes of 647.015 and 647.055. The words and design that comprise the mark must be clear and legible.

(2) ”Stamped filed date” on the filed copy sent to registrant means the registration date, for purposes of 647.045(2).

(3) ”Correspondent name and mailing address” means the registrant’s mailing address for purposes of 647.055.

(4) ”Applicant,” after the application has been filed under 647.015, means a “registrant.”

(5) “Proof of concurrent United States Patent and Trademark office registration” has the same effect as a renewal for the purposes of 647.075(2).

History

Statutory/Other Authority: ORS 647.015
Statutes/Other Implemented: ORS 647
CORP 3-2009, f. 12-22-09 cert. ef. 1-1-10

Or. Admin. R. 160-010-0220 Application for Trade or Service Mark

An application for trade or service mark may be submitted, if the Secretary of State’s systems permit, by fax, mail, electronically, and in person. The content of the application to file a trade or service mark must include:

(1) Applicant name and address. The applicant can be either:

(a) An individual, or

(b) An entity.

(2) If the applicant is an entity, the following must be included:

(a) Entity type,

(b) State of domicile, if the entity is a corporation, partnership, or an LLC, and

(3) Correspondent name and address for mailing notices.

(4) Goods or services on or in connection with which the mark is used.

(5) Mode and manner in which the mark is used on or in connection with the goods or services.

(6) Class into which the goods or services fall.

(7) Date mark was first used anywhere.

(8) Date mark was first used by applicant or a predecessor in interest in Oregon.

(9) Written description that comprises all words and designs included in the mark.

(10) One specimen of the mark as actually used.

(11) A statement that the applicant owns the mark, the mark is in use, and no other person has registered the mark with the federal government or in Oregon or has the right to use the mark or a mark that resembles the mark as to be likely to cause confusion or mistake or deceive when applied to the goods or services of the other person.

(12) The trade or service mark application must be signed and verified by the applicant by declaration under penalties of perjury. If the applicant is an entity, the application must be signed by a member of the firm, officer of the corporation, limited liability company or association applying to register the mark, as evidenced by title.

History

Statutory/Other Authority: ORS 647.015
Statutes/Other Implemented: ORS 647.015
CORP 3-2009, f. 12-22-09 cert. ef. 1-1-10

Or. Admin. R. 160-010-0230 Renewal of Trade/Service Mark

A trade or service mark specimen cannot be altered through renewal. A new application must be filed if the design or words that comprise the trade or service mark is altered.

History

Statutory/Other Authority: ORS 56.022
Statutes/Other Implemented: ORS 647.055
CORP 3-2009, f. 12-22-09 cert. ef. 1-1-10

Or. Admin. R. 160-010-0240 Classes of Goods and Services

Pursuant to ORS 647.024, the Secretary of State establishes the following classes of goods and services. Applications to register a trade or service mark must designate the code number for goods or services with which the mark is being used:

(1) Goods:

(a) 101:

(A) Chemical Products used in industry;

(B) Artificial and Synthetic Resins;

(D) Fertilizers;

(E) Tanning and Adhesive Substances.

(b) 102:

(A) Paints, Varnishes, and Lacquers;

(B) Coloring Matters and Natural Resins.

(A) Laundry, Cleaning, and Polishing Substances;

(B) Cleansing and Cosmetic Items;

(d) 104:

(A) Industrial Oils and Greases;

(B) Lubricants and Absorbing Compositions;

(e) 105:

(A) Pharmaceutical, Veterinary and Sanitary Substances;

(B) Infants' and Invalids' Foods;

(D) Dental Wax;

(E) Disinfectants and Weed Killers.

(f) 106: Metal and Articles Made from Metal and not Included in Other Classes.

(g) 107:

(A) Machines and Machine Tools;

(B) Motors (Except for Land Vehicles);

(D) Incubators.

(h) 108: Hand Tools and Cutlery.

(i) 109:

(A) Scientific, Nautical, Surveying and Electrical Apparatus and Instruments;

(B) Photographic, Cinematographic, Optical, Lifesaving, and Teaching Apparatus;

(j) 110: Surgical, Medical, Dental, and Veterinary Instruments and Apparatus.

(k) 111: Installations for Lighting, Heating, Steam Generating, Cooking, Refrigerating, Drying, Ventilating, Water Supply and Sanitary Purposes.

(l) 112: Vehicles.

(m) 113: Firearms, Ammunition, and Fireworks.

(n) 114: Precious Metals and Jewelry.

(o) 115: Musical Instruments and Supplies; Phonographs, Recording Tapes, Records, and Tape Recorders.

(p) 116:

(A) Paper Articles and Bookbinding Materials;

(B) Printed Matter, Photographs and Stationery;

(D) Instructional and Teaching Material.

(q) 117:

(A) Plastics in the Form of Sheets, Blocks and Rods;

(B) Packing or Insulating Materials;

(r) 118:

(A) Leather, Imitations and Articles Made from Both and Not Included in Other Classes;

(B) Skins and Hides;

(D) Saddlery.

(s) 119:

(A) Building and Road Materials;

(B) Stone, Stone Products; Cement and Earthenware Pipes.

(t) 120:

(A) Furniture, Mirrors, Picture Frames;

(B) Articles (not Included in Other Classes) of Wood, Wicker, Ivory, Shell;

(u) 121:

(A) Small Domestic Utensils and Containers;

(B) Combs, Sponges and Brushes (Other than Paint Brushes);

(D) Glassware, Porcelain and Earthenware, Not Included in Other Classes.

(v) 122:

(A) Ropes, String and Nets;

(B) Canvas Products and Stuffing Materials.

(w) 123: Yarns and Threads.

(x) 124:

(A) Bed and Table Covers;

(B) Textile Articles not Included in Other Classes.

(y) 125: Clothing and Footwear.

(z) 126: Garment Decorations and Buttons.

(aa) 127: Floor Coverings and Non-textile Wall Hangings.

(bb) 128: Toys; Sporting Articles (except Clothing); Decorations.

(cc) 129:

(A) Meats; Fruits and Vegetables (Except Fresh);

(B) Dairy Products; Jams; Oils; Fats; Preserves and Pickles.

(dd) 130: Coffee, Tea, Cocoa and Coffee Substitutes, Rice, Tapioca, Sago, Flour, Cereals, Yeast, Baking Powder and Condiments, Breads, Pastry, Confectionary, and Honey.

(ee) 131:

(A) Agricultural, Horticultural, Forestry Products and Grains not Included in Other Classes;

(B) Living Animals, Plants and Flowers;

(D) Foodstuffs for Animals.

(ff) 132: Beer and Nonalcoholic Drinks.

(gg) 133: Wines, Spirits and Liqueurs.

(hh) 134: Tobacco and Smokers' Articles.

(2) Services:

(a) 135: Advertising and Business;

(b) 136: Insurance and Financial;

(d) 138: Communication;

(e) 139: Transportation and Storage;

(f) 140: Material Treatment;

(g) 141: Education and Entertainment;

(h) 142: Miscellaneous.

History

Statutory/Other Authority: ORS 647.024
Statutes/Other Implemented: ORS 647.024
CORP 3-2009, f. 12-22-09 cert. ef. 1-1-10

Or. Admin. R. 160-010-0310 Eligibility for Waiver of Reinstatement Limit

The five year limit for reinstating a corporation, limited liability company, partnership, or business trust whose status has been administratively dissolved pursuant to ORS 60.647, 63.647, 65.647, 67.655, 70.430, 128.597, or 554.302 may be waived by the Secretary of State if the entity requests the waiver and provides evidence of the entity’s continued existence as an active concern during the period of administrative dissolution.

(1) A dissolved business entity that wishes to reinstate shall submit to the Corporation Division a reinstatement application, current annual report, appropriate fee, and documentation showing evidence of continued existence during dissolution.

(2) Continued existence of the entity as an active concern shall be shown by:

(a) Documentation provided by the entity demonstrating continued operation or existence, such as a signed statement by a certified public accountant or licensed attorney, tax or financial records, and

(b) Additional documentation the Secretary of State may require.

History

Statutory/Other Authority: ORS 56.022
Statutes/Other Implemented: ORS 60.654, 63.654, 65.654, 67.665, 70.440, 128.599 & 554.307
CORP 2-2012, f. & cert. ef. 3-1-12
CORP 1-2009, f. & cert. ef. 9-3-09

Or. Admin. R. 160-010-0400 Professional Corporation Limit on Joint and Several Liability

(1) The Secretary of State, assisted by the Office of Economic Analysis, Department of Administrative Services, has calculated the inflation factor affecting joint and several liability caps of Professional Corporations to be 1.769924554, following the formula prescribed in ORS 58.187.

(2) Therefore, joint and several liability claims under ORS 58.185(5) & (8) made against a single shareholder shall not exceed $550,000.

(3) The total joint and several liability for a single claim made against one or more licensed Oregon shareholders under ORS 58.185 (5) and (8) shall not exceed $3,550,000.

(4) As required by ORS 58.187(1), the Corporation Division hereby adopts said figures.

History

Statutory/Other Authority: ORS 58.187
Statutes/Other Implemented: ORS 58.187
CORP 2-2017, amend filed 12/26/2017, effective 01/01/2018
CORP 1-2012, f. & cert. ef. 3-1-12
CORP 1-2006, f. & cert. ef. 2-1-06
CORP 1-2000, f. & cert. ef. 2-1-00

Or. Admin. R. 160-010-0450 Conversion of a Business Entity

When a domestic business entity is converting to a foreign business entity, the articles of conversion shall include the jurisdiction of the foreign business entity.

History

Statutory/Other Authority: ORS 56.022
Statutes/Other Implemented: ORS 60.472, 62.607, 63.470, 67.342 & 70.505
CORP 2-2012, f. & cert. ef. 3-1-12

Or. Admin. R. 160-010-0480 Physical Street Address and Individual With Direct Knowledge

(1) A corporation shall be considered in compliance with Section 10(1)(f) and Section 10(1)(g) of House Bill 2191 (2017) if the corporation:

(a) Was formed on or after January 1, 2018 and has filed with the Secretary of State the information required by Section 10(1)(f) and Section 10(1)(g) of House Bill 2191 (2017) in the Articles of Incorporation;

(b) Was formed prior to January 1, 2018 and has not filed with the Secretary of State on or after January 1, 2018 Amended Articles of Incorporation, Restated Articles, Articles of Conversion, or Articles of Merger;

(c) Was formed prior to January 1, 2018 and provides the information required by Section 10(1)(f) and Section 10(1)(g) of House Bill 2191 (2017) when it files with the Secretary of State Amended Articles of Incorporation, Restated Articles, Articles of Conversion, or Articles of Merger; or

(d) Includes the information required by Section 10(1)(f) and Section 10(1)(g) of House Bill 2191 (2017) in an Information Change Form or annual report filed with the Secretary of State.

(2) A limited liability company shall be considered in compliance with Section 20(1)(h) and Section 20(1)(i) of House Bill 2191 (2017) if the limited liability company:

(a) Was formed on or after January 1, 2018 and has filed with the Secretary of State the information required by Section 20(1)(h) and Section 20(1)(i) of House Bill 2191 (2017) in the Articles of Organization;

(b) Was formed prior to January 1, 2018 and has not filed with the Secretary of State on or after January 1, 2018 Amended Articles of Organization, Restated Articles, Articles of Conversion, or Articles of Merger;

(c) Was formed prior to January 1, 2018 and provides the information required by Section 20(1)(h) and Section 20(1)(i) of House Bill 2191 (2017) when it files with the Secretary of State Amended Articles of Organization, Restated Articles, Articles of Conversion, or Articles of Merger; or

(d) Includes the information required by Section 20(1)(h) and Section 20(1)(i) of House Bill 2191 (2017) in an Information Change Form or annual report filed with the Secretary of State.

History

Statutory/Other Authority: ORS 56.022, 60.047, and 63.047
Statutes/Other Implemented: ORS 56.022, 60.047, and 63.047
CORP 1-2017, adopt filed 12/26/2017, effective 01/01/2018

Or. Admin. R. 160-010-0500 Personal Safety Exemption

The Secretary of State Corporation Division may dissolve, cancel or otherwise terminate a filing that is submitted with required information that is nondisclosable under ORS 192.368.

(1) For purposes of this rule, “personal information” means a person’s home address, personal telephone number and personal electronic mail address.

(2) The following information included in records filed with the Corporation Division must be available for public inspection without regard to whether it constitutes personal information:

(a) The street address of a Registered Agent required to be filed under ORS 58, 60, 62, 63, 65, 67, 70, 128, and 554.

(b) The address of an applicant, authorized representative, incorporator, manager, member, organizer, partner, registrant or trustee required to be filed under ORS 58, 60, 62, 63, 65, 67, 70, 128, 554, 647, and 648.

(3) Pursuant to ORS 192.368, Personal Safety Exemption (PSE) requests that personal information contained in records filed with the Secretary of State Corporation Division be withheld from public disclosure will be processed in accordance with the procedures set out in OAR 137-004-0800.

(4) If the PSE request accompanies the submission of the record to which it pertains, the record will be filed and will be subject to public disclosure pending the Division’s consideration of and issuance of a decision on the PSE request. If the PSE request applies to a record previously filed with the Division, the filing will remain effective and subject to public disclosure pending the Division’s consideration of and issuance of a decision on the PSE request.

(5) If the Division grants a PSE request and the personal information subject to the PSE is of a type listed in paragraph (3) of this rule, the Division will include in the notice to the requestor a statement that in order for the filed record to remain valid and effective, disclosable information to substitute for the exempt personal information must be submitted to the Division within 30 days of the date of the notice. The statement will inform the requestor of the consequences of failure to provide substitute information. This statement will also be sent to the registered agent of any entity on whose behalf the filing was made if that entity might be affected by failure to provide substitute information.

(6) If the Division does not receive substitute information from the requestor or from an affected entity within the time provided in paragraph (5), the Division will cancel the filing to which the PSE request applies and will commence administrative dissolution of the affected entity or take such other action as is required by law as a consequence of the invalidity of the filing.

History

Statutory/Other Authority: ORS 56.014 & ORS 56.022
CORP 5-2020, minor correction filed 12/16/2020, effective 12/16/2020
CORP 2-2005, f. & cert. ef. 3-1-05

Or. Admin. R. 160-010-0600 Going Out of Business Notice of Intent

This rule refers to a special notice filed by businesses that advertise sales or auctions held out to the public as the disposal of merchandise in anticipation of cessation of business, under Senate Bill 684 (2007).

(1) The Notice of Intent will contain:

(a) The name, address, and telephone number of the owner of the merchandise to be sold.

(b) The signature of the owner of the merchandise.

(d) The name, address and telephone number of the person who will be in charge and responsible for the conduct of the sale.

(e) The descriptive name, location, and beginning and ending dates of the sale.

(f) Confirmation that no person who has an ownership interest in the business or in the merchandise to be sold is subject to a court order resulting from a civil enforcement action under ORS 646.608.

(2) When filing a Notice of Intent, the Secretary of State is not required to check for previous filings by the owner of the merchandise to be sold.

(3) For the purposes of this section, "location" is considered to be the physical location where the merchandise is sold, including street address, city, state and zip code.

History

Statutory/Other Authority: ORS 56.022
Statutes/Other Implemented: 2007 SB 684
CORP 3-2007, f. 12-14-07 cert. ef. 1-1-08

Or. Admin. R. 160-010-0610 Filing Format

(1) The notice of intent filed with the Secretary of State shall use a format approved by the Secretary of State, Corporation Division.

(2) The Corporation Division shall use an electronic method of filing the notice of intent and any amendments or cancellations thereof.

History

Statutory/Other Authority: ORS 56.022
Statutes/Other Implemented: 2007 SB 684
CORP 3-2007, f. 12-14-07 cert. ef. 1-1-08

Or. Admin. R. 160-010-0620 Signatures

(1) If the owner is a legal entity, the person signing the notice must be an officer of the entity and must identify the person's title.

(2) The signatures filed in the notice of intent will be electronic signatures, as provided in ORS Ch. 84.

History

Statutory/Other Authority: ORS 56.022
Statutes/Other Implemented: 2007 SB 684
CORP 3-2007, f. 12-14-07 cert. ef. 1-1-08

Or. Admin. R. 160-010-0630 Owner's Business Name

(1) If the owner of the merchandise to be sold is a business or other legal entity, the name may, but is not required to be, registered in the Business Entity Registry of the Corporation Division.

(2) The business name of the owner of the merchandise to be sold shall not be verified or validated against the records of the Corporation Division when filing notice.

History

Statutory/Other Authority: ORS 56.022
Statutes/Other Implemented: 2007 SB 684
CORP 3-2007, f. 12-14-07 cert. ef. 1-1-08

Or. Admin. R. 160-010-0700 Oregon License Directory

The maintenance and development of the Oregon License Directory are implemented by these rules (OAR 160-010-0700 – 160-010-0720), as required by Ch. 580, Oregon Laws 2013.

History

Statutory/Other Authority: 2013 OL Ch. 580 & Sec. 1(4)
Statutes/Other Implemented: 2013 OL Ch. 580
CORP 1-2014, f. & cert. ef. 1-3-14
CORP 3-2013, f. 12-20-13, cert. ef. 1-1-14

Or. Admin. R. 160-010-0701 Definitions

For the purposes of OAR 160-010-0700 through 160-010-0720:

(1) “Fee” means any set or variable dollar amount charged by the issuing agency.

(2) “Fee-related regulations” means fees that are incurred due to requirements by the license, permit or registration provisions that are not directly charged by the issuing agency. These fees include charges associated with required insurance, performance bonds, and inspections. These fees are incurred solely to do business, and are not generally applicable, such as building permits and utility fees.

(3) “Group Administrator” means a representative of the group or agency who is responsible for entering and editing that agency’s License Directory information and manages users for their group.

(4) “Small Business” means a prospective, new or established business with 100 or fewer employees that is or will be located in Oregon, in accordance with ch. 580, Oregon Laws 2013, section 1.

History

Statutory/Other Authority: 2013 OL Ch. 580 & Sec. 1(4)
Statutes/Other Implemented: 2013 OL Ch. 580
CORP 1-2014, f. & cert. ef. 1-3-14
CORP 3-2013, f. 12-20-13, cert. ef. 1-1-14

Or. Admin. R. 160-010-0710 License Directory Information

(1) Scope.

(a) All state and local agencies that issue licenses, permits and registrations for which fees and fee-related regulations are imposed on small businesses must report the information designated in this section to the Secretary of State.

(b) All state and local agencies that issue licenses, permits and registrations for which fees and fee-related regulations are imposed on any business may report the information designated in this section to the Secretary of State.

(2) Directory information will be formatted and organized in a database maintained by the Secretary of State. Group Administrators may select some information from choices presented by the Oregon License Directory application.

(3) Required Information. The information for licenses, permits and registrations shall include:

(a) “Name.” The name of the license, permit or registration.

(b) “Start Date.” The date this license, permit or registration will first be seen by the public in the license directory.

(d) “Group.” The group or agency associated with this license, permit or registration.

(e) “Description of license.” This is a description of the duties/activities that the license covers and often includes definitions.

(f) “Duration.” The length of time the license, permit or registration will be effective. The duration of renewals is also required.

(g) “Fee.” The dollar amount of fees normally associated with the license, permit or registration, including application fee, exam fee, et cetera.

(A) Non-normative fees, such as late fee or expedite fee are not included.

(B) Renewal fees, duplicate fees, and other fees occurring after the initial issuance of the license.

(h) “Processing Time.” The average time to process and issue the license, permit or registration on July 1st.

(i) “License Count.” The number of active licenses, permits or registrations as of July 1st.

(j) ”Bonding Requirements.” The conditions where a bond may be required and the amount of the bond.

(k) “Insurance Requirements.” The amount and type of insurance required for the license, permit or registration.

(4) The information for licenses, permits and registrations may include:

(a) “Fee exemption.” Conditions where all or part of the license fee may be waived.

(b) “Examination Information.” Information about testing or examination requirements.

(d) “Prerequisites.” Additional requirements, such as education or work experience, in order to get the license, permit or registration.

(e) “Required Documentation.” Information about documentation necessary to get the license, permit or registration.

(f) “Application Form Name.” The name of the application form for this license, permit or registration.

(g) “License Renewal Information.” Information about requirements for renewal, such as timing of notices, requirements for inspections, and other information not covered elsewhere. The renewal duration and continuing education requirements may also be noted.

(h) “Duplicate License.” The information required to get a duplicate license, permit or registration.

(i) “Statutes, Administrative Rules or Ordinances.” Any applicable law relating to the issuance of the license, permit or registration.

(j) Other relevant information may be provided.

History

Statutory/Other Authority: 2013 OL Ch. 580 & Sec. 1(4)
Statutes/Other Implemented: 2013 OL Ch. 580
CORP 1-2014, f. & cert. ef. 1-3-14
CORP 3-2013, f. 12-20-13, cert. ef. 1-1-14

Or. Admin. R. 160-010-0720 License Information Reporting

(1) Each agency identified in OAR 160-010-0710(1)(a) must report the information required by that section to the Secretary of State annually.

(2) The information for a given year shall be reported at any time from June 1 through August 31 of that year.

(3) All information that is reported for a given year must be valid for July 1st of that year.

History

Statutory/Other Authority: 2013 OL Ch. 580 & Sec. 1(4)
Statutes/Other Implemented: 2013 OL Ch. 580
CORP 1-2014, f. & cert. ef. 1-3-14
CORP 3-2013, f. 12-20-13, cert. ef. 1-1-14

Division 40 UNIFORM COMMERCIAL CODE — ARTICLE 9

Or. Admin. R. 160-040-0100 Definitions

Terms used in these filing-office rules but not defined in this section that are defined in the UCC must have the respective meanings accorded such terms in the UCC.

(1) "Active record" means an initial filing that has not yet lapsed on its lapse date, or a continuation that has not lapsed, and any lapsed filing up to the first anniversary of its lapse date.

(2) “Address” means either:

(a) A street address, route number (may include box) or PO Box number plus the city, state and zip code; or

(b) An address that purports to be a mailing address outside the United States of America.

(3) "Amendment" means a UCC record that amends the information contained in a financing statement. Amendments include assignments, continuations and terminations.

(4) "Assignment" is an amendment that assigns all or a part of a secured party's power to authorize an amendment to a financing statement.

(5) "Information Statement" means a UCC record that indicates that a financing statement is inaccurate or wrongfully filed.

(6) "Filing office" and "filing officer" mean the Secretary of State, Corporation Division; the Division Director and deputies of the Director, respectively.

(7) "Filing officer statement" means a statement entered into the filing office's information system to correct an error made by the filing office.

(8) "Initial financing statement" means a UCC record that causes the filing office to establish the initial record of filing of a financing statement.

(9) "Remitter" means a person who tenders a UCC record to the filing officer for filing, whether the person is a filer or an agent of a filer responsible for tendering the record for filing. "Remitter" does not include a person responsible merely for the delivery of the record to the filing office, such as the postal service or a courier service but does include a service provider who acts as a filer's representative in the filing process.

(10) “Searchable indexes” means the searchable index of individual debtor names and the searchable index of organization debtor names maintained in the UCC information management system.

(11) "Secured party of record" includes a secured party of record as defined in the UCC, as well as a person who has been a secured party of record with respect to whom an amendment has been filed purporting to delete them as a secured party of record. The term includes the assignor listed on an amendment that purports to be an assignment.

(12) "UCC" means the Uniform Commercial Code as adopted in this state.

(13) “UCC information management system” means the information management system used by the filing office to store, index, and retrieve information relating to financing statements as described in Section 3 of these filing-office rules.

(14) "UCC record" means an initial financing statement, an amendment, an assignment, a continuation statement, a termination statement, a filing officer statement, or an information statement, and includes a record thereof maintained by the filing office. The term shall not be deemed to refer exclusively to paper or paper-based writings.

(15) “Unlapsed record” means a UCC record that has been stored and indexed in the UCC information management system, which has not yet lapsed under ORS Ch. 79.0515 with respect to all secured parties of record.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0526
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0101 UCC Document Delivery

For the purposes of this section, "delivery" means receipt by the filing office. UCC records may be tendered for filing at the filing office as follows.

(1) Personal delivery by Remitter, at the filing office's street address. The file time for a UCC record delivered by this method is when delivery of the UCC record is taken by the filing office (even though the UCC record may not yet have been accepted for filing and subsequently may be rejected). This rule applies only to a Remitter who tenders a UCC record to the filing office and waits an immediate determination of whether or not the UCC record will be taken or not.

(2) Courier delivery, at the filing office's street address. The file time for a UCC record delivered by this method is the time the UCC record is first examined by a filing officer for processing within the next close of business following the time of delivery, (even though the UCC record may not yet have been accepted for filing and may be subsequently rejected). This rule does not apply to a courier who is acting as an agent of the Remitter and who tenders a UCC record to the filing office and awaits an immediate determination of whether or not the UC record will be taken or not under rule 101.1.

(3) Postal service delivery, to the filing office's mailing address. The file time for a UCC record delivered by this method is when delivery of the UCC record is taken by the filing office (even though the UCC record may not yet have been accepted for filing and may be subsequently rejected).

(4) Fax delivery, to the filing office's fax filing telephone number. The file time for a UCC record delivered by this method is when delivery of the UCC record is taken by the filing office (even though the UCC record may not yet have been accepted for filing and may be subsequently rejected).

(5) Direct web page data entry. UCC records may be delivered by on-line data entry using the filing office’s website on the internet. Website data entry and payment procedures are available as provided at www.filinginoregon.com. The file time for a UCC record delivered by the method is the time the entry of all required elements of the UCC record in the proper format is acknowledged by the on-line entry system.

(6) Means of communication. Regardless of the method of delivery, information for recording in the UCC information management system should be communicated to the filing only in the form of the English alphabet A–Z, numbers 0–9, and symbols and characters found on a standard QWERTY keyboard. A financing statement or amendment form that does not designate separate fields for organization and individual names, and separate fields for the surname, first personal name, additional name(s)/initial(s) and suffixes for individual names is not an acceptable means of communication to the filing office.

(7) Transmitting utility and public-finance transactions. The only means to indicate to the filing office than an initial financing statement is being filed in connection with a public finance transaction, or that a financing statement is being or has been filed against a debtor that is a transmitting utility, in order to affect the filing office’s determination of the lapse date under rule 306.3 or rule 307, is to so indicate by checking the appropriate box on a UCC1 Financing Statement filed with respect to the financing statement.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0526
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0102 Search Request Delivery

UCC search requests may be delivered to the filing office by any of the means by which UCC records may be delivered to the filing office. A search request may not be delivered by checking a box or otherwise including a search request in or on an initial financing statement, but may be delivered in or on a separate search request after the initial financing statement is filed.

History

Statutory/Other Authority: ORS 79. 0526
Statutes/Other Implemented: ORS 79.0523
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0103 Forms

Acceptable forms. In addition to the forms outlined in ORS 79.0521(1), the Secretary of State shall accept for filing only the standard forms approved for use by the International Association of Commercial Administrators up to July 1, 2013, and the current forms available from the Secretary of State’s website.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0515 & 79.0521
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2009, f. 12-22-09, cert. ef. 1-1-10
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 1-2005, f. & cert. ef. 2-1-05
CORP 1-2002, f. 11-15-02, cert. ef. 12-1-02
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0104 Fees

(1) Filing fee. The fee for filing and indexing a UCC record is prescribed in ORS Ch. 79.525(1). However, if the UCC record is rejected, the submission of the record shall be deemed a filing in accordance with 79.0516, and the accompanying fee shall therefore be nonrefundable.

(2) UCC search fee. The fee for a UCC debtor name search request is $10 as prescribed in ORS Ch. 79.525(3).

(3) UCC search — copies. The fee for a UCC debtor name search request with copies is $15 as prescribed in ORS Ch. 79.525(3).

(4) UCC search — certified copies. The fee for certified copies is $15 per document number.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0525
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 5-2009, f. 12-22-09, cert. ef. 1-1-10
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0105 Methods of Payment

Filing fees and fees for public records services may be paid by the following methods.

(1) Cash. Payment in cash shall be accepted if paid in person at the filing office.

(2) Checks. Personal checks, cashier's checks and money orders made payable to the filing office shall be accepted for payment provided that the drawer (or the issuer in the case of a cashier’s check or money order) is deemed creditworthy by the filing office in its discretion.

(3) Electronic funds transfer. The filing office may accept payment via electronic funds transfer under National Automated Clearing House Association ("NACHA") rules from remitters who have entered into appropriate NACHA-approved arrangements for such transfers and who authorize the relevant transfer pursuant to such arrangements and rules.

(4) Debit and/or credit cards. The filing office shall accept payment by debit cards and credit cards issued by approved issuers. Remitters shall provide the filing officer with the card number and the expiration date of the card. Payment will not be deemed tendered until the issuer or its agent has confirmed payment.

(5) Prepaid account. A remitter may open an account for prepayment of fees associated with summaries of records by submitting an application prescribed by the filing officer and prepaying the appropriate weekly or monthly fee per file, according to the schedule found in OAR 160-040-0107. The remitter will be sent a monthly statement of the deductions from their account.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0525
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0106 Summaries of Records

Public records services are provided on a non-discriminatory basis to any member of the public on the terms described in these rules. The following methods are available for obtaining copies of UCC records and copies of data from the UCC information management system.

(1) Individually identified records. Copies of individually identified UCC records are available in paper format.

(2) Bulk copies of records. Bulk copies of UCC records are available by weekly subscription.

(3) Data from the UCC information management system. A list of available data elements from the UCC information management system, and the file layout of the data elements, is available from the filing officer upon request. Data from the UCC information management system is available as follows.

(a) Full extract. A bulk data extract of information from the UCC information management system is available. The UCC Active Filing List contains all active UCC filings, and is provided weekly or monthly by subscription.

(b) New Filing lists. The UCC New Filings List is provided weekly or monthly by subscription.

(c) Custom Extracts. Specialized searches on data stored in the UCC database. Custom searches are limited to one secured party name per search fee. Requests for information based on cities or zip codes is limited to 5 cities or 5 zip codes per search fee. Information on custom searches will be provided in tab delimited text format or MS Excel by FTP or by e-mail.

(d) Format. Extracts from the UCC information management system are available in the following formats.

(A) FTP — Bulk UCC image extracts (.tif) and UCC Data extracts (tab-delimited text — .txt).

(B) E-Mail — UCC New Filings List & UCC Custom Search (tab delimited text —.txt).

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0523
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0107 Fees for Summaries of Records

(1) Bulk copies of records. In accordance with ORS Ch. 79.0523(6), copies of UCC filings may be provided at $20 per week.

(2) Data from the UCC information management system.

(a) Full extract. The UCC Active Filing List fee for this subscription is $200 per extract

(b) New Filing Lists. The UCC New Filing List fees are $15 each.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0523 & 79.0525
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0200 Role of Filing Officer

The duties and responsibilities of the filing officer with respect to the administration of the UCC are ministerial. In accepting for filing or refusing to file a UCC record pursuant to these rules, the filing officer does not:

(1) Determine the legal sufficiency or insufficiency of a record.

(2) Determine that a security interest in collateral exists or does not exist.

(3) Determine that information in the record is correct or incorrect, in whole or in part.

(4) Create a presumption that information in the UCC record is correct or incorrect, in whole or in part.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.516, 79.519 & 79.520
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0201 Time for Filing a Continuation Statement

(1) First day permitted. The first day on which a continuation statement may be filed is the date six months before the lapse date of the current financing statement.

(2) Last day permitted. The last day on which a continuation statement may be filed is the date upon which the related financing statement lapses.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0515
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0202 Rejection Reasons

(1) The reasons for rejecting a filing submitted to the filing officer shall be those listed in Oregon Revised Statute (ORS) Ch. 79.0516 and as delineated in the Jurisdictions Guidelines for Accepting a UCC Record for Filing Chart, published by the International Association of Commercial Administrators.

(2) For the purposes of ORS 79.0516(2)(h), collateral "within the scope of this chapter" shall include:

(a) Interest accounts (79.0310);

(b) Tangible chattel paper (79.0312);

(d) Commercial tort claim (79.0310);

(e) Certain consumer goods interests (79.0310);

(f) Negotiable documents (79.0312);

(g) Equipment (79.0310);

(h) Farm products (79.0310);

(i) Certain general intangible transactions (79.0310);

(j) Instruments (79.0312);

(k) Inventory (79.0310);

(l) Interests in investment property created by debtor other than broker or intermediary (79.0312).

(3) For the purposes of ORS 79.0516(2)(h), factors that indicate "the record is being filed for a purpose not within the scope of this chapter" shall include, but are not limited to:

(a) Collateral description/attachments that contain:

(A) Birth Certificate, Certificate of Live Birth, etc.

(B) Driver's License.

(D) Employer ID number.

(E) Private Setoff Account number.

(F) Marriage Certificate number.

(G) Bill of Exchange.

(H) Dollar amount(s) that are disproportionately large.

(b) References to:

(A) Public Policy HJR-192, Public Law 73-10.

(B) House Joint Resolution 192 of June 1933.

(A) "Exempt from Levy."

(B) "Exempt from all taxes, burden, charges and duty" or parts thereof.

(D) "Actual and Constructive Notice."

(E) "Strawman."

(F) "Non negotiable Notice of Transfer."

(G) "Notice of Dishonor."

(4) In determining under ORS 79.0516 whether or not there is one or more grounds to refuse a UCC record, the filing office will refuse a record that does not provide an address that meets the minimum requirements for an address as set forth in these administrative rules.

(5) In addition to rejection reasons under ORS 79.516, the filing office will refuse a record that contains a Social Security Number, a state identification number, a driver license number, a credit or debit card number or an account number that is not redacted so that not more than the last four digits of a number are accessible.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 56.037 & 79.0516
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2004, f. & cert. ef. 9-1-04
CORP 1-2002, f. 11-15-02, cert. ef. 12-1-02
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0203 Procedure Upon Refusal

If the filing officer finds grounds to refuse a UCC record, communication of the refusal, the reason(s) for the refusal and other related information will be made to the Remitter as soon as practicable and in any event within two business days after the refused UCC record was received by the filing office, by the same means as the means by which such UCC record was delivered to the filing office, or by mail or such more expeditious means as the filing office shall determine.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0520
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0204 Refusal Errors

If a secured party or a remitter demonstrates to the satisfaction of the filing officer that a UCC record that was refused for filing should not have been refused, the filing officer will file the UCC record with the filing date and time the UCC record was originally tendered for filing. The filing officer shall also file a filing officer statement noting when and why the record was changed.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0520
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08

Or. Admin. R. 160-040-0205 Notification of Defects

Nothing in these rules prevents a filing officer from communicating to a filer or a remitter that the filing officer noticed apparent potential defects in a UCC record, whether or not it was filed or refused for filing. However, the filing office is under no obligation to do so and may not, in fact, have the resources to do so or to identify such defects. The responsibility for the legal effectiveness of filing rests with filers and remitters and the filing office bears no responsibility for such effectiveness.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0520
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08

Or. Admin. R. 160-040-0300 Policy Statement

The filing officer uses a UCC information management system to store, index, and retrieve information relating to financing statements. The UCC information management system includes an index of the names of debtors included on financing statements that are active records. The rules in this section describe the UCC information management system.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0519
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0301 Primary Data Elements

The primary data elements used in the UCC information management system are the following.

(1) Identification numbers.

(a) Initial financing statements. Each initial financing statement is identified by its file number. Identification of the initial financing statement is stamped on written UCC records or otherwise permanently associated with the record maintained for UCC records in the UCC information management system. A record is created in the UCC information management system for each initial financing statement and all information comprising such record is maintained in such system. Such record is identified by the same information assigned to the initial financing statement.

(b) Other UCC records. A UCC record other than an initial financing statement is identified by a unique file number assigned by the filing officer. In the UCC information management system, records of all UCC records other than initial financing statements are linked to the record of their related initial financing statement.

(2) Type of record. The type of UCC record from which data is transferred is identified in the UCC information management system from information supplied by the remitter.

(3) Filing date and filing time. The filing date and filing time of UCC records are stored in the UCC information management system. Calculation of the lapse date of an initial financing statement is based upon the filing date.

(4) Identification of parties. The names and addresses of debtors and secured parties are transferred from UCC records to the UCC information management.

(5) Status of financing statement. In the UCC information management system, each financing statement has a status of active or inactive.

(6) Page count. The total number of pages in a UCC record is maintained in the UCC information management system.

(7) Lapse indicator. An indicator is maintained by which the UCC information management system identifies whether or not a financing statement will lapse and, if it does, when it will lapse. The lapse date is determined as provided in rules 160-040-0306(3); 160-040-0307; and 160-040-0308(1).

(8) Indexes of names. The filing office maintains in the UCC information management system a searchable index of organization debtor names, and a searchable index of individual debtor names. The filing office may also maintain a searchable index of names of secured parties of record. Such an index need not be a separate database but may by comprised of records in the UCC information management system indentified to be included in such searchable index.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0519
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0302 Individual Debtor Names

For purposes of these rules, an “individual debtor name” is any name provided as a debtor name in a UCC record in a format that identifies the name as that of a debtor who is an individual, without regard to the nature or character of the name or to the nature or character of the actual debtor.

(1) Individual name fields. Individual debtor names are stored in files that include only the individual debtor names, and not organization debtor names. Separate data entry fields are established for surnames (last or family names), first personal names (given), and additional names(s)/initial(s) of individuals. The name of a debtor with a single name (e.g., “Cher”) is treated as a surname and shall be entered in the individual surname field. The filing officer assumes no responsibility for the accurate designation of the components of a name but shall accurately enter the data in accordance with the filer’s designations.

(2) Titles, prefixes and suffixes. Titles, prefixes (e.g. “Ms.”) and suffixes or indications of status (e.g. “M.D.”) are not typically part of a debtor’s name. Suffixes used to distinguish between family members with identical names (e.g., “JR.”) should be provided in the Suffix field. However, when entering a “name” into the UCC information management system, the data will be entered exactly as they appear.

(3) Extended debtor name field. The Financing Statement form has limited space for individual debtor names. If any portion of the individual debtor name is too long for the corresponding field, the filer is instructed to check the box that indicates the name was too long and enter the name in item 10 of the Addendum Form UCC1AD. A filing officer shall not refuse to accept a Financing Statement that lacks debtor information in item 1 and/or item 2 in the record includes an Addendum that provides a debtor name in item 10.

(4) Truncation — individual names. Personal name fields in the UCC database are fixed in length. Although filers should continue to provide full names on their UCC records, a name that exceeds the fixed length is entered as presented to the filing officer, up to the maximum length of the data entry field. The length of data entry name fields are as follows.

(a) Surname: 40 characters.

(b) First Personal Name: 20 characters.

(d) Suffix: 10 characters.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0519
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0303 Organization Debtor Names

For purposes of these rules, an “organization debtor name” is any name provided as a debtor name in a UCC record in a format that identifies the name as that of a debtor who is an organization, without regard to the nature or character of the name or to the nature or character of the actual debtor.

(1) Single field. Organization debtor names are stored in files that include only organization debtor names and not individual debtor names. A single field is used to store an organization debtor name.

(2) Truncation organization names. The organization debtor name field in the UCC database is fixed in length. The maximum length is 250 characters. Although filers should continue to provide full names on their UCC records, a name that exceeds the fixed length is entered as presented to the filing officer, up to the maximum length of the organization debtor name field.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0519
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0304 Estates

Collateral being administered by a Decedent’s Personal Representative. The debtor name to be provided on a financing statement when the collateral is being administered by a decedent’s personal representative in the name of the relevant decedent. In order for the UCC information management system to function in accordance with the usual expectations of filers and searchers, the filer should provide the debtor name as an individual debtor name. However, the filing office will enter data submitted by a filer in the fields designated by the filer exactly as it appears in such fields.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.519
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0305 Trusts

Collateral held in a Trust. The debtor name to be provided when the collateral is held in a trust that is not a registered organization is the name of the trust as set forth in its organic record(s), if the trust has such a name or, if the trust is not so named, the name of the trust’s settlor. In order for the UCC information management system to function in accordance with the usual expectations of filers and searchers, the name of a trust or of a settlor that is an organization should be provided as an organization debtor name, and the name of a settlor who is an individual should be provided as an individual debtor name, in each case without regard to the nature or character of the debtor. Notwithstanding the foregoing, the filing office will enter data submitted by a filer in the fields designated by the filer exactly as it appears in such fields.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.519
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0306 Initial Financing Statement

Upon the filing of an initial financing statement the status of the parties and the status of the financing statement shall be as follows.

(1) Status of secured party. Each secured party named on an initial financing statement shall be a secured party of record, except that if the UCC record names an assignee, the secured party/assignor shall not be a secured party of record and the secured party/assignee shall be a secured party of record.

(2) Status of debtor. Each debtor name provided by the initial financing statement shall be indexed in the UCC information management system so long as the financing statement is an Active Record.

(3) Status of financing statement. The financing statement shall be an Active Record. A lapse date shall be calculated, five years from the file date, unless (i) the initial financing statement indicates as provided in rule 0306(4) that it is filed with respect to a public-financing transaction in which case the lapse date shall be thirty years from the file date, or (ii) the initial financing statement indicates as provided in rule 0306(4) that it is filed against a transmitting utility, in which case there shall be no lapse date.

(4) Transmitting utility and public-finance transactions. The only means to indicate to the filing office that an initial financing statement is being filed in connection with a public-finance transaction, or that a financing statement is being or has been filed against a debtor that is a transmitting utility, to affect the filing office’s determination of the lapse date under rule 0306(3) or 0307, is to so indicate by checking the appropriate box on a UCC1 initial financing statement.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0519
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0307 Amendment

Amendments generally. Upon the filing of an amendment the status of the parties shall be unchanged, except that in the case of an amendment that adds a debtor or a secured party, the new debtor or secured party shall be added to appropriate index and associated with the record of the financing statement in the UCC information management system. Notwithstanding the filing of an amendment that deletes a debtor or a secured party from a financing statement, no debtor or secured party of record is deleted from the UCC information management system. A deleted secured party will still be treated by the filing office as a secured party of record as the filing office cannot verify the effectiveness of an amendment. In general, the filing of an amendment does not affect the status of the financing statement.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0512
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0308 Assignment of Powers of Secured Party of Record

(1) Status of the parties. An assignment shall have no effect on the status of the parties to the financing statement, except that each assignee named in the assignment shall become a secured party of record.

(2) Status of financing statement. An assignment shall have no effect upon the status of the financing statement.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0514
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0309 Continuation

(1) Continuation of lapse date. Upon the timely filing of one or more continuations by any secured party(ies) of record, the lapse date of the financing statement shall be extended for five years.

(2) Status of parties. The filing of a continuation shall have no effect upon the status of any party to the financing statement.

(3) Status of financing statement. Upon the filing of a continuation statement, the status of the financing statement remains active.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0510 & 79.0526
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0310 Termination

(1) Status of parties. The filing of a termination shall have no effect upon the status of any party to the financing statement.

(2) Status of financing statement. A termination shall have no effect upon the status of the financing statement and the financing statement shall remain active in the UCC information management system until the lapse date, and accessible until one year after it lapses.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0510 & 79.0526
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0311 Information Statement

The filing of an information statement shall have no effect upon the status of any party to the financing statement, the status of the financing statement or to the information maintained in the UCC information management system.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0518
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2009, f. 12-22-09, cert. ef. 1-1-10
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0312 Filing Officer Statement

A filing officer statement affects the status of parties and of the relevant financing statement as provided in the corrective action described as having been taken in the filing officer statement.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.515 & 79.526
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0400 Lapse Date and Time

(1) Procedure Upon Lapse. If there is no timely filing of a continuation with respect to a financing statement, the financing statement lapses on its lapse date and the UCC information management system renders or is caused to render the financing statement inactive. On the first anniversary of such lapse date, the financing statement will no longer be made available to a searcher unless inactive statements are requested by the searcher and the financing statement is still retrievable by the UCC information management system.

(2) Lapse Date and Time. A lapse date is calculated for each initial financing statement (unless the debtor is indicated to be a transmitting utility). The lapse date is the same date of the same month as the filing date in the fifth year after the filing date or relevant subsequent fifth anniversary thereof if timely continuation statement is filed, but if the initial financing statement indicates that it is filed with respect to a public finance transaction, the lapse date is the same date of the same month as the filing date in the thirtieth year after the filing date. The lapse takes effect at the end of the business day of the lapse date. The relevant anniversary for a February 29 filing date shall be the March 1 in the fifth year following the year of the filing date.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.515 & 79.526
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0401 Errors of the Filing Officer

The filing office may correct the data entry and indexing errors of filing officer personnel in the UCC information management system at any time. If the correction occurs after the filing officer has issued a certification date that includes the filing date of the corrected document, the filing officer shall enter a filing officer statement in the UCC information management system identifying the record to which it relates, stating the date of the correction, and explaining the nature of the corrective action taken. The record shall be preserved as long as the record of the initial financing statement is preserved in the UCC information management system.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0515
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0402 Data Entry of Names

A filing should designate whether a name is a name of an individual or an organization. Filers should be aware that the inclusion of names in an incorrect field or failures to transmit names accurately to the filing office may cause filings to be ineffective.

(1) Organization names. Organization names are entered into the UCC information management system exactly as set forth in the UCC record, even if it appears that multiple names are set forth in the record or if it appears that the name of an individual has been included in the field designated for an organization name.

(2) Individual names. On a form that designates separate fields for surname, first personal name, additional name(s)/initial(s) and any suffix, the filing officer enters the names into the surname, first personal name, additional name(s)/initial(s) and suffix fields in the UCC information management system exactly as set forth on the form.

(3) If a UCC record is tendered that provides characters not permitted under rule 0101(6), and the filing office nevertheless accepts the form for filing, the filing office will substitute in its UCC information management system, for each such character, the character of the English alphabet A–Z, and symbols found on a standard QWERTY keyboard, that is its closest visual counterpart.

Example: an "ê" will be entered as an "e". A "¿" will be entered as a "?". "©" would not be entered at all and the filing will be rejected.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0519
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0403 Notice of Bankruptcy

The filing officer shall take no action upon receipt of a notification, formal or informal, of a bankruptcy proceeding involving a debtor named in the UCC information management system. Accordingly, financing statements will lapse as scheduled unless properly continued.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0522
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0404 Redaction of Certain Information

The filing officer is obliged to redact certain information from the information it provides to searchers and bulk data purchasers in accordance with ORS 56.037. Such information should not be included in UCC records and will be redacted in accordance with such laws.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 56.037
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08

Or. Admin. R. 160-040-0500 General Requirements

The filing officer maintains for public inspection a searchable index for all Active Records in the UCC information management system. Active Records will be retrievable by the name of the debtor or by the file number of the related initial financing statement, and each Active Record related to an initial financing statement is retrieved with the initial financing statement using either retrieval method.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0523
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0501 Search Requests

Search requests — required information. Search requests shall include the following:

(1) Name searched. A search request must set forth the name of the debtor to be searched using designated fields for organization and individual surname, first personal name and additional name(s)/initial(s). A search request will be processed using the data and designated fields exactly as submitted, including the submission of no data in a given field, without regard to the nature or character of the debtor that is the subject of the search.

(2) Requesting party. The name and address of the person to whom the search results is to be sent.

(3) Fee. The appropriate fee shall be tendered by a method described in rule 160-040-0104.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0523
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0502 Search Requests — Optional Information

A UCC search request may contain any of the following information.

(1) Copy request. The request may ask for copies of UCC records identified on the primary search response.

(2) Mode of delivery. A search request may specify a mode of delivery for search results and that request will be honored if the requested mode is made available by the filing office, and all requisite fees are tendered.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0523
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0503 Rules Applied to Search Requests

Search results are produced by the application of standardized search logic to the name presented to the filing officer. Human judgment does not play a role in determining the results of the search. The following rules apply to searches:

(1) Number of matches. There is no limit to the number of matches that may be returned in response to the search criteria.

(2) Case. No distinction is made between upper and lower case letters.

(3) “&” (and). The character “&” (the ampersand) is deleted and replaced with the characters “and” each place it appears in the name.

(4) Punctuation. Punctuation marks and accents are disregarded. For the purposes of this rule, punctuation and accents include all characters other than the numerals 0 through 9 and the letters A through Z (in any case) of the English alphabet.

(5) Organization names. The following words and abbreviations at the end of an organization name that indicate the existence or nature of the organization are “disregarded” to the extent practicable as determined by the filing office’s programming of its UCC information management system: Oregon “Ending Noise Words” List: [List not included. See ED. NOTE.]

(6) "The." The word “the” at the beginning of an organization debtor name is disregarded.

(7) Spaces. All spaces are disregarded.

(8) First personal name and additional name(s)/initial(s). For first personal name and additional name(s)/initial(s) of individual debtor names, initials are treated as the logical equivalent of all names that begin with such initials, and first personal name and no additional name(s)/initial(s) is equated with all additional name(s)/initial(s). For example, a search request for “John A. Smith” would cause the search to retrieve all filings against all individual debtors with “John” or the initial “J” as the first personal name, “Smith” as the surname, and with the initial “A” or any name beginning with “A” in the additional name(s)/initial(s)field. If the search request were for “John Smith” (first personal name and surnames with no designation in the additional name(s)/initial(s) field, the search would retrieve all filings against individual debtors with “John” or the initial J as the first personal name, “Smith” as the surname and with any name or initial or no name or initial in the additional name(s)/initial(s) field.

(9) Surname only. If the name being searched is the surname of an individual debtor name without any first personal name or addition al name(s)/initial(s)provided, the search will retrieve from the UCC information management system all Unlapsed Records or, if requested by the searcher, all Active Records that pertain to financing statements with individual debtor names that consist of such surname, any or no addition al name(s)/initial(s) and no first personal name.

(10) Suffixes. Suffixes of individual names, such as "Jr." and "III" will be disregarded as search criteria.

(11) After using the preceding rules to modify the name being searched, the search will retrieve from the UCC information management system all Active Records that pertain to financing statements with debtor names that, after being modified as provided in this rule, exactly match the modified name being searched.

[ED. NOTE: Lists referenced are available from the agency.]

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0506 & 79.0523
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0504 Notice of Changes

Changes in standard search logic. If the filing office changes its standard search logic or the implementation of its standard search logic in a manner that could alter search results, the filing office will provide public notice of such change.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0506 & 79.0523
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01

Or. Admin. R. 160-040-0505 Search Responses

Reports created in response to a search request shall include the following.

(1) Filing officer. Identification of the filing officer responsible for search report.

(2) Report date. The date and time the report was generated.

(3) Name searched. Identification of the name searched.

(4) Search string. Normalized name as provided in 160-240-0503.

(5) Unique search report identification number. Unique number which identifies the search report.

(6) Through date. The date at or prior to which a UCC record must have been filed with the filing office in order for it to be reflected on the search.

(7) Copies. Copies of all UCC records revealed by the search and requested by the searcher. Copies of all UCC records retrieved by the search will reflect any redaction of personal identifying information required by law.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0523
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08

Or. Admin. R. 160-040-0506 Search Report

The search report shall contain the following.

(1) Identification of financing statement. Identification of each initial financing statement, including a listing of all related amendments, information statements, or filing officer notices, filed on or prior to the through date corresponding to the search criteria (including whether the searcher has requested Active Records or only Unlapsed Records). Financing statement information shall include, but is not limited to the following:

(a) Initial financing statement file number. The initial financing statement file number.

(b) Initial financing statement filing date. The date it was filed.

(2) Debtor name. The debtor name(s) that appear(s) of record.

(3) Debtor address. The debtor address(s) that appear(s) of record.

(4) Secured party name. The secured party name(s) that appear(s) of record.

(5) Secured party address. The secured party address(es) that appear(s) of record.

(6) Amendment type. An indication of type of each amendment, if any.

(7) Amendment filing date and time. The date and time each amendment, if any, was filed.

(8) Amendment file number. The amendment file number of each amendment, if any.

(9) Information statement filing date and time. The date and time a correction statement, if any, was filed.

(10) Filing officer statement filing date and time. The date and time a filing officer statement, if any, was filed.

(11) Filing Type. The type of filing, including UCC financing statement, type of statutory lien or warrant, or EFS filing.

History

Statutory/Other Authority: ORS 79.0526
Statutes/Other Implemented: ORS 79.0523
CORP 1-2013, f. 7-31-13, cert. ef. 8-1-13
CORP 4-2008, f. 7-15-08, cert. ef. 8-1-08

Or. Admin. R. 160-040-0507 Renewal Report

In accordance with ORS 79.0515, a renewal notice report will be posted on the Corporation Division website twice a year: January 1 and July 1.

(1) The renewal notice report shall contain the following:

(a) Secured party name and address;

(b) Filing/lien number;

(A) UCC;

(B) EFS; or

(d) Lapse date; and

(e) Debtor name.

(2) The Renewal Report will be posted in the following formats:

(a) Microsoft Excel, and

(b) Tab-delimited text.

(3) A statement will be posted on the Corporation Division website that the secured party must file a continuation statement or an initial financing statement to continue a financing statement or effective financing statement.

History

Statutory/Other Authority: 79.0526
Statutes/Other Implemented: 79.0515
CORP 4-2009, f. 12-22-09, cert. ef. 1-1-10

Division 50 UNIFORM COMMERCIAL CODE

Or. Admin. R. 160-050-0100 Definitions and Abbreviations

(1) "APL": Agricultural Produce Lien

(2) "ASL": Agricultural Services Lien.

(3) "GPL": Grain Producer’s Lien

(4) "Standard Form": Those forms approved by the Secretary of State's Office for use in the ASL system. The approval specifications include the content, layout, and manner of printing. Forms that do not meet every criterion may not be considered standard forms.

(5) "UCC": Uniform Commercial Code.

History

Statutory/Other Authority: ORS 87.226, 87.246, 87.346, OL 2001 Ch. 301 Sec. 26 & 87.767
Statutes/Other Implemented: ORS 87.226, 87.705 & 87.755
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90

Or. Admin. R. 160-050-0110 Statutory Lien Standard Forms

The following forms have been approved by the Secretary of State as the standard forms for general use in filing statements. These forms are available through the Secretary of State’s web site and by fax. Some may also be purchased from publishers of legal forms.

(1) Agricultural Services Lien:

(a) Notice of Claim of Agricultural Services Lien — Farm Labor, Services, Materials;

(b) Certificate of Satisfaction of Agricultural Services Lien;

(2) Agricultural Produce Lie:

(a) Notice of Claim of Agricultural Produce Lien;

(b) Certificate of Satisfaction of Agricultural Produce Lien.

(3) Grain Producer’s Lien:

(a) Notice of Claim of Grain Producer’s Lien;

(b) Certificate of Satisfaction of Grain Producer’s Lien.

History

Statutory/Other Authority: ORS 87.246, 87.346, 2001 OL Ch. 301 Sec. 2 & 87.767
Statutes/Other Implemented: ORS 87.242, 87.346, 87.710, 87.735, 87.762 & 87.777
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90

Or. Admin. R. 160-050-0115 Statutory Lien Attestation

(1) The written notice of claim of lien, as described in ORS 87.242(2), shall include a statement verified by an attestation under penalty of perjury.

(2) The form of the attestation shall be signed by the lien claimant, and shall include the following sentence in prominent letters immediately above the signature of the lien claimant: “I hereby declare that the above statement is true to the best of my knowledge and belief, and that I understand it is made for use as evidence in court and is subject to penalty for perjury.”

History

Statutory/Other Authority: ORS 87.246
Statutes/Other Implemented: ORS 87.242
CORP 3-2012, f. & cert. ef. 3-1-12

Or. Admin. R. 160-050-0130 Statutory Filing Standards

(1) A filing officer is not required to determine if a lien is properly prepared or presented to the appropriate filing officer. This is the sole responsibility of the individual filing the lien.

(2) All forms filed with a UCC filing officer must comply with all information requirements and include all required fees and signatures.

(3) A filing officer is not required to determine if an Agricultural Produce Lien is filed for extension within the dates specified by ORS 87.710.

(4) Statutory Liens filed with the Secretary of State’s office shall use the forms listed in OAR 160-050-0110.

History

Statutory/Other Authority: ORS 87.242, 87.346, 87.710, 87.735, 87.762, 87.777, 465.335 & 466.835
Statutes/Other Implemented: ORS 87.242, 2001 OL Ch. 301 Sec. 2, 87.762, 465.335 & 466.835
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90

Or. Admin. R. 160-050-0140 Statutory Lien Filing and Search Fees

(1) The Statutory Lien filing fees are:

(a) Agricultural Produce Lien:

(A) Notice of Claim of Agricultural Produce Lien — $15 per form;

(B) Certificate of Satisfaction of Agricultural Produce Lien — No Charge.

(b) Agricultural Services Lien:

(A) Notice of Claim of Agricultural Services Lien — $15 per form;

(B) Certificate of Satisfaction — No Charge;

(A) Notice of Claim of Grain Producer's Lien — $15 per form;

(B) Certificate of Satisfaction — No Charge.

(d) Hazardous Waste Lien: Notice of Claim of Lien for Environmental Cleanup of Hazardous Waste — $15 per form.

(e) Federal Tax Lien:

(A) Notice of Federal Tax Lien — $15;

(B) Refiling of Notice of Federal Tax Lien — $15;

(D) Notice of Revocation of Certificate— $15.

(2) The Statutory Lien search fees are:

(a) Lien Search — $10 per name;

(b) Requested Lien Copy(ies) — $5;

History

Statutory/Other Authority: ORS 87.246(3), 87.767, 177.130 & 192.440
Statutes/Other Implemented: ORS 87.246, 87.736, 87.767, 177.130 & 192.440
CORP 5-2012, f. & cert. ef. 6-1-12
CORP 5-2010, f. 3-24-10, cert. ef. 4-2-10
CORP 3-2010(Temp), f. 2-3-10, cert. ef. 2-27-10 thru 8-26-10
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02
CORP 1-1995, f. 2-8-95, cert. ef. 9-1-95
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90
PRD 4-1988, f. & cert. ef. 3-17-88, Renumbered from 164-010-0030

Or. Admin. R. 160-050-0160 Statutory Lien Miscellaneous Services

(1) In addition to debtor name based search requests and summaries, the Secretary of State, Corporation Division, Uniform Commercial Code Section may provide other information retrieval and research services:

(a) The fees for research service shall be $20 per hour based on actual costs incurred. Amounts of less than one hour shall be charged in 1/2 hour increments;

(b) The fee for research service computer printouts shall be $1 per page.

(2) The UCC section may charge a fee for supplying copies of the Farm Products and Statutory Lien electronically stored records on request. Farm Products and Statutory Liens information shall be furnished according to the fees and formats outlined in OAR 160-040-0106 and 160-040-0107.

(3) Upon filing an agricultural statutory lien (ASL, APL, and GPL), the filer will be provided with a list of persons who have filed a financing statement under ORS 79.4010 that perfects a security interest in the inventory, proceeds or accounts receivable of the lien debtor or purchaser.

(a) This list will be produced using the same search logic as for search requests under OAR 160-040-0502.

(b) The information provided to the filer will correspond to a search report as defined in OAR 160-040-0504(1) through (6).

History

Statutory/Other Authority: ORS 177.130, 87.246(3), 2001 OL Ch. 301 Sec. 3 & 2001 SB 171 Sec. 97.9-526
Statutes/Other Implemented: 2001 SB 171 Sec. 94.9-523 & 2001 OL Ch. 301 Sec. 3
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90

Or. Admin. R. 160-050-0165 Statutory Lien Duration

(1) Agricultural Services Lien. Unless made inactive by a Certificate of Satisfaction filing, an ASL shall remain in the index maintained by the secretary for financing statements for two years from the date of its filing with that office.

(2) Agricultural Produce Lien. Unless made inactive by a Certificate of Satisfaction filing, an APL shall remain in the index maintained by the secretary for financing statements for one year from the date of its filing with that office.

(3) Grain Producer’s Lien. Unless made inactive by a Certificate of Satisfaction filing, a GPL shall remain in the index maintained by the secretary for financing statements for two years from the date of its filing with that office.

History

Statutory/Other Authority: ORS 87.246, 2001 OL Ch. 301 Sec. 2 & ORS 87.767
Statutes/Other Implemented: ORS 87.266, 2001 OL Ch. 301 Sec. 3 & ORS 87.762.
CORP 3-2001, f. 12-14-01 cert. ef. 1-1-02

Or. Admin. R. 160-050-0180 Oregon Farm Products Central Filing System

(1) Oregon Farm Products Central Filing System is a statewide filing system that permits the registering of a security interest in farm products by filing an effective financing statement (EFS) with the Office of the Secretary of State.

(2) Within the context of the Oregon Farm Products Central Filing System, farm products means an agricultural commodity including but not limited to wheat, corn, soybeans, or a species of fish or livestock such as cattle, hogs, sheep, horses, or poultry used or produced in farming operations, or a product of such crop, fish or livestock in its unmanufactured state, including but not limited to wool clip, milk and eggs, that is in the possession of a person engaged in farming operations.

(3) In Oregon, the effective financing statement does not create a security interest in the farm products. It is not the same as a financing statement or security agreement filed under the Uniform Commercial Code laws. The effective financing statement is a document that meets the requirements of Section 1324 of Public Law 99-198.

(4) The secured party must submit a UCC filing under ORS Chapter 79 to perfect a security interest in farm products.

History

Statutory/Other Authority: ORS 79.6020(4), 79.6020(5) & 79.6030
Statutes/Other Implemented: ORS 79.6030
CORP 1-2008, f. & cert. ef. 1-15-08
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90, Renumbered from 164-050-0010
SOS 24-1987, f. 11-5-87, ef. 11-15-87
SOS 11-1987, f. 7-9-87, ef. 8-1-87
SOS 1-1987, f. & ef. 1-2-87
SD 33-1986(Temp), f. 12-5-86, ef. 12-24-86

Or. Admin. R. 160-050-0190 Definitions and Abbreviations

(1) Where terms used in this rule are not explicitly or completely defined in ORS 80.100 or herein, definitions and usage of terms from the references are applicable.

(2) "EFS": An effective financing statement relating to farm products.

(3) "Debtor": For purposes of this rule, the term "debtor" shall mean any person subjecting farm products to security interests, even if such person does not owe a debt to the secured party but is subjecting farm products to a security interest for the debt of another.

History

Statutory/Other Authority: ORS 79.6020 - 79.7010
Statutes/Other Implemented: ORS 79.6030
CORP 1-2008, f. & cert. ef. 1-15-08
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90, Renumbered from 164-050-0020
SOS 1-1987, f. & ef. 1-2-87
SD 33-1986(Temp), f. 12-5-86, ef. 12-24-86

Or. Admin. R. 160-050-0200 EFS Requirements

(1) An EFS must be filed on a form prescribed and approved by the Secretary of State. The form shall be designated "EFS-1."

(2) The information on the Form EFS-1 should meet the following requirements:

(a) Name, address and telephone number of the secured party:

(A) The name and address of the secured party are required;

(B) The secured party name or names must be entered completely and precisely;

(C) The name of an individual must be entered in order of last name (surname), first name, and, if any, middle initial or name;

(D) Assumed business names and business entity names must appear beginning with first word or character that is not an article or punctuation mark;

(E) The address of the secured party must be the address where information pertaining to the security interest maybe obtained;

(F) The telephone number of the secured party is requested.

(b) Name and address of each debtor:

(A) The name and address of each debtor is required;

(B) The name of each debtor must be entered completely and precisely;

(C) The name of an individual must be entered in order of last name (surname), first name, and, if any, middle initial or name;

(D) Assumed business names and business entity names must be entered beginning with the first word or character that is not an article or punctuation mark;

(E) The address of the debtor is the mailing address of such person;

(A) Each farm product that is produced in Oregon is assigned a four-digit numerical code. The codes are located on the back side of the Form EFS-1;

(B) The farm product code is required;

(C) Each filing party is responsible for listing the appropriate farm product code for a farm product on which the EFS or notice of security interest is being filed;

(D) The four-digit product code for each farm product subject to the security interest must be entered. A table of product codes appears on the back of the Form EFS-1;

(d) Crop year:

(A) The crop year, for crops grown in soil, is the calendar year in which it is harvested or to be harvested;

(B) For animals, the crop year is the calendar year in which they are born or acquired;

(D) If an EFS does not show a crop year, it will be regarded as applicable to the crop or farm product in question for every year the EFS is effective;

(E) The crop year is a two-digit or four-digit code representing the actual year;

(F) The crop year must be shown on the Form EFS-1, unless every year of the farm product in question, for the duration of the EFS, is subject to the particular security interest.

(e) County Code:

(A) Each county in Oregon is assigned a two-digit numerical code. The county code represents the county in which the farm product is produced or is to be produced. The county codes are located on the back side of the Form EFS-1;

(B) The county code is required;

(i) Baker — 01;

(ii) Benton — 02;

(iii) Clackamas — 03;

(iv) Clatsop — 04;

(v) Columbia — 05;

(vi) Coos — 06;

(vii) Crook — 07;

(viii) Curry — 08;

(ix) Deschutes — 09;

(x) Douglas — 10;

(xi) Gilliam — 11;

(xii) Grant — 12;

(xiii) Harney — 13;

(xiv) Hood River — 14;

(xv) Jackson — 15;

(xvi) Jefferson — 16;

(xvii) Josephine — 17;

(xviii) Klamath — 18;

(xix) Lake — 19;

(xx) Lane — 20;

(xxi) Lincoln — 21;

(xxii) Linn — 22;

(xxiii) Malheur — 23;

(xxiv) Marion — 24;

(xxv) Morrow — 25;

(xxvi) Multnomah — 26;

(xxvii) Polk — 27;

(xxviii) Sherman — 28;

(xxix) Tillamook — 29;

(xxx) Umatilla — 30;

(xxxi) Union — 31;

(xxxii) Wallowa — 32;

(xxxiii) Wasco — 33;

(xxxiv) Washington — 34;

(xxxv) Wheeler — 35;

(xxxvi) Yamhill — 36.

(D) The county code(s) must be listed for each product code shown.

(f) Amount of farm product (where applicable):

(A) The amount of farm product may or may not be shown on every EFS and master list entry;

(B) The need to supply this additional information arises only where some of the debtor's farm product is subject to the security interest and some is not;

(C) If the EFS does not show an amount, this constitutes a representation that all of such product owned by the debtor is subject to the security interest in question;

(D) The amount shown must be sufficient to enable a reader of the information to identify what part of the debtor's farm product owned by the debtor is subject to the security interest, and what is not;

(E) Twenty characters have been allotted on the master list for providing information on the amount of farm product. The description of the amount should not be more than 20 characters.

(g) Brief Description of farm product:

(A) A brief description of the farm product maybe shown on the EFS and master list entry.

(B) The need to supply this additional information arises only where some of the debtor's farm product is subject to the security interest and some is not.

(C) Seventy-five characters have been allotted on the master list for providing information on the description of the farm product. The farm product description should not be more than 75 characters.

(h) Signature of the debtor, unless the debtor has executed a security agreement granting a security interest in the farm products to the secured party.

(3) The EFS will be rejected if it does not contain the name and address of the debtor, name and address of the secured party, farm product code, county code, or if it is not accompanied by the EFS filing fee.

(4) For the purposes of filing an effective financing statement, an electronically submitted document shall be considered an original document under ORS 80.115.

History

Statutory/Other Authority: ORS 80.106 & 80.115
Statutes/Other Implemented: ORS 80.115
CORP 3-2012, f. & cert. ef. 3-1-12
CORP 1-2008, f. & cert. ef. 1-15-08
CORP 2-2006, f. & cert. ef. 2-6-06
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90, Renumbered from 164-050-0030
SOS 11-1987, f. 7-9-87, ef. 8-1-87
SOS 1-1987, f. & ef. 1-2-87
SD 33-1986(Temp), f. 12-5-86, ef. 12-24-86

Or. Admin. R. 160-050-0210 Amendment, Continuation, Assignment and Lapse of EFS

(1) An EFS may be amended, assigned, continued or lapsed by the secured party of record. An amendment, assignment, continuation or lapse must be filed on a form prescribed and approved by the Secretary of State. The form shall be designated "Form EFS-3."

(2) The EFS-3 must include the document number assigned by the Secretary of State to the original effective financing statement.

(3) The EFS-3 shall include the full and current information for the filing for all the elements listed in 160-050-0200(2).

(4) After January 1, 2012, the amendment of an EFS supersedes the current registration of the effective financing statement, but does not serve as a continuation of the registration, unless its effectiveness is extended as provided in 160-050-0210(8).

(5) A Secured Party must sign, authorize or otherwise authenticate an EFS-3 that declares the lapse of an EFS.

(6) Unless the Debtor has executed a security agreement granting a security interest in the farm products to the secured party, the Debtor must sign, authorize or otherwise authenticate the EFS-3.

(7) For the purposes of uniformity, "lapse" will be considered synonymous with "termination" under ORS 79.0513 and this chapter. The EFS-3 form may refer to a "termination," instead of a "lapse."

(8) The EFS remains effective for a period of five years from the date of filing. Its effectiveness may be extended by an additional five years by filing a continuation statement within six months before the expiration of the current five-year period.

(9) Under the conditions described in ORS 80.115(4), if there is no outstanding secured obligation and no commitment to make advances, incur obligations or otherwise give value under the security interest, the secured party should file a statement of termination or lapse.

(10) Upon the expiration of the effective period of an EFS, the EFS lapses, unless effectively extended pursuant to ORS 80.115 and OAR 160-050-0210.

History

Statutory/Other Authority: ORS 80.106 & 80.11
Statutes/Other Implemented: ORS 80.115
CORP 3-2012, f. & cert. ef. 3-1-12
CORP 1-2008, f. & cert. ef. 1-15-08
CORP 2-2006, f. & cert. ef. 2-6-06
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90, Renumbered from 164-050-0040
SOS 11-1987, f. 7-9-87, ef. 8-1-87
SOS 7-1987(Temp), f. & ef. 5-13-87
SOS 1-1987, f. & ef. 1-2-87
SD 33-1986(Temp), f. 12-5-86, ef. 12-24-86

Or. Admin. R. 160-050-0215 Filing fees

(1) The fee for filing a Form EFS-1 is $15 for the first debtor name. Additional debtors may be added at no charge. The filing fee is required to be submitted with the EFS.

(2) If the Form EFS-3 is not accompanied by the filing fee, it will be rejected;

(3) The filing fees of Form EFS-3 transactions are set out in paragraphs (a) through (d) of this subsection as follows:

(a) Amendments: The filing fee for an amendment is $15 for the first debtor name. Additional debtors may be added at no charge.

(b) Assignment: The filing fee for an assignment is $15 for the first debtor name. Additional debtors may be added at no charge.

(c) Continuation: The filing fee for a continuation is $15 for the first debtor name. Additional debtors may be added at no charge.

(d) Termination: There is no filing fee for filing a termination/lapse statement.

History

Statutory/Other Authority: ORS 80.106 & 80.115
Statutes/Other Implemented: ORS 80.115
CORP 5-2010, f. 3-24-10, cert. ef. 4-2-10
CORP 3-2010(Temp), f. 2-3-10, cert. ef. 2-27-10 thru 8-26-10
CORP 1-2008, f. & cert. ef. 1-15-08

Or. Admin. R. 160-050-0220 Farm Products

(1) The list of Oregon farm products and codes is as follows:

(a) Grains:

(A) Barley — 0101;

(B) Corn for grain — 0102;

(D) Rye — 0104;

(E) Triticale — 0105;

(F) Wheat — 0106.

(b) Hay and Forage:

(A) Alfalfa — 0201;

(B) Ensilage — 0202;

(D) Hay — 0204;

(E) Sorghum — 0205.

(A) Alfalfa Seed — 0301;

(B) Bentgrass — 0302;

(D) Brome — 0304;

(E) Clover — 0305;

(F) Fescue — 0306;

(G) Field Peas — 0307;

(H) Orchardgrass — 0308;

(I) Rape Seed — 0309;

(J) Ryegrass — 0310;

(K) Timothy — 0311;

(L) Vetch — 0312;

(M) Wheat Grass — 0313;

(N) Other Grass Seed — 0314;

(O) Other Legume Seed — 0315;

(d) Field Crops:

(A) Herbs — 0401;

(B) Hops — 0402;

(D) Oil Seed — 0404;

(E) Potatoes — 0405;

(F) Sugarbeet — 0406;

(G) Vegetable and Flower Seeds — 0407;

(H) Canola — 0408.

(e) Fruits:

(A) Apples — 0501;

(B) Apricots — 0502;

(D) Cherries — 0504;

(E) Grapes — 0505;

(F) Peaches — 0506;

(G) Pears — 0507;

(H) Plums — 0508;

(I) Prunes — 0509;

(J) Watermelons — 0510;

(K) Kiwi — 0511.

(f) Nuts:

(A) Filberts — 0601;

(B) Walnuts — 0602.

(g) Berries:

(A) Blackberries — 0701;

(B) Blueberries — 0702;

(D) Other Caneberries — 0704;

(E) Cranberries — 0705;

(F) Currants — 0706;

(G) Elderberries — 0707;

(H) Gooseberries — 0708;

(I) Loganberries — 0709;

(J) Marionberries — 0710;

(K) Raspberries — 0711;

(L) Strawberries — 0712.

(h) Vegetables:

(A) Artichokes — 0801;

(B) Asparagus — 0802;

(D) Beets — 0804;

(E) Broccoli — 0805;

(F) Brussel Sprouts — 0806;

(G) Cabbage — 0807;

(H) Carrots — 0808;

(I) Cauliflower — 0809;

(J) Celery — 0810;

(K) Corn — 0811;

(L) Cucumbers — 0812;

(M) Eggplant — 0813;

(N) Garlic — 0814;

(O) Kohlrabi — 0815;

(P) Lettuce — 0816;

(Q) Mushrooms — 0817;

(R) Onions — 0818;

(S) Peas — 0819;

(T) Peppers — 0820;

(U) Pumpkins — 0821;

(V) Radishes — 0822;

(W) Rhubarb — 0823;

(X) Rutabagas — 0824;

(Y) Spinach — 0825;

(Z) Squash — 0826;

(AA) Tomatoes — 0827;

(BB) Turnips — 0828.

(i) Speciality Products:

(A) Bees — 0901;

(B) Bees Wax — 0902;

(D) Greenhouse Stock — 0904;

(E) Honey — 0905;

(F) Logs — 0906;

(G) Nursery Stock — 0907;

(H) Standing Timber — 0908;

(I) Trees (Except Standing Timber) — 0909;

(J) Turf Sod — 0910;

(K) Worms — 0911.

(j) Livestock:

(A) Cattle and Calves — 1001;

(B) Goats — 1002;

(D) Horses — 1004;

(E) Llamas — 1005;

(F) Milk — 1006;

(G) Mink — 1007;

(H) Mules — 1008;

(I) Rabbits — 1009;

(J) Sheep and Lamb — 1010;

(K) Wool — 1011;

(L) Buffaloes — 1012;

(M) Alpaca — 1013;

(N) Reindeer — 1014.

(k) Poultry:

(A) Broilers — 1101;

(B) Chickens — 1102;

(D) Eggs — 1104;

(E) Geese — 1105;

(F) Turkeys — 1106;

(G) Ostriches — 1107;

(H) Emu — 1108;

(H) Rhea — 1109.

(l) Fish and Shellfish: Fish and Shellfish — 1201.

(2) Pursuant to the Administrative Procedures Act, the Secretary of State may add, modify or delete farm products and codes.

(3) Buyers, commission merchants, selling agents, farmers or any interested person may suggest changes to the farm product list. These suggestions must be submitted in writing.

History

Statutory/Other Authority: ORS 79.6020, 79.6030 & 79.6070(1)
Statutes/Other Implemented: ORS 79.6070
CORP 1-2008, f. & cert. ef. 1-15-08
CORP 2-1995, f. 7-31-95, cert. ef. 8-1-96
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90, Renumbered from 164-050-0050
SOS 11-1987, f. 7-9-87, ef. 8-1-87
SOS 1-1987, f. & ef. 1-2-87
SD 33-1986(Temp), f. 12-5-86, ef. 12-24-86

Or. Admin. R. 160-050-0230 Master List and Portions of Master List

(1) The master list shall contain all the information submitted on EFSs filed in the Secretary of State's Office. It contains the name and address of the debtor, name and address of secured party, farm product code, farm product name, description of farm product, description of location, amount of farm product, crop year, county, date of filing, time of filing, and EFS file number. This information shall be compiled and entered into a computerized record for farm products in the system.

(2) The Secretary of State shall produce a monthly master list. The master list may be organized alphabetically by debtor name and farm product, and shall be made available for all counties and crop years.

(3) Portions of the master list may be provided by an online search engine. Registrants may enter the debtor name and receive all the data from EFSs filed on that individual.

(4) After data entry is complete at the end of the month, the master list will be available online. It will include all filings as of the last business day of the month.

History

Statutory/Other Authority: ORS 79.6070
Statutes/Other Implemented: ORS 79.6070
CORP 1-2011, f. & cert. ef. 9-22-11
CORP 1-2008, f. & cert. ef. 1-15-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90, Renumbered from 164-050-0060
SOS 24-1987, f. 11-5-87, ef. 11-15-87
SOS 11-1987, f. 7-9-87, ef. 8-1-87
SOS 1-1987, f. & ef. 1-2-87
SD 33-1986(Temp), f. 12-5-86, ef. 12-24-86

Or. Admin. R. 160-050-0240 Registration of Buyers, Commission Merchants and Selling Agents; Subscription to Master Lists or Portions of Master Lists

(1) The proper place to register as a buyer, commission merchant or selling agent of farm products is in the Secretary of State's Office. The registration or renewal of registration must be submitted on a form prescribed and approved by the Secretary of State. The form shall be designated "EFS FPR-1". The registration fee is part of the subscription fee.

(2) Registration is part of the process to subscribe for master lists. Each registrant will be assigned a permanent registration number by the Secretary of State. A copy of the administrative rules on registration is available upon request at no charge. The master list will be accessible to registrants online.

(3) Registration is effective for a period of 12 calendar months. Renewal of registration may be filed at any time after 90 days prior to expiration of a current registration period. The registrant must indicate the registration number on the renewal registration form.

(4) The registration may be amended by filing an amended registration.

(5) The Secretary of State shall maintain a list of all buyers of farm products, commission merchants and selling agents who register with the Secretary of State.

(6) Subscriptions for master lists are made at the time of registration.

(7) A subscription for any master list will be for the period of the registration.

(8) The person registering with the Secretary of State must provide the following information on the Form EFS FPR-1:

(a) Name and mailing address of the registrant. The registrant must identify the registration as being for a buyer, commission merchant or selling agent;

(b) Telephone number;

(d) Farm product code(s);

(e) Crop year or years for which master list or portion of master list is to be sent;

(f) Indication of the type of master list or portion of master list requested;

(g) Signature of the registrant;

(h) Registration/Subscription fee;

(i) Original registration number, if renewal or amended registration.

(9) Lists will be made available for download in spreadsheet format online to the registrant within seven working days from the end of the month.

(10) Fees.

(a) The registration/subscription fee for the online master list is $20 per year;

(b) The registration/subscription fee for the alternative paper master list is $500 per year per product;

History

Statutory/Other Authority: ORS 79.6070 & 79.7010
Statutes/Other Implemented: ORS 79.6070 & 79.7010
CORP 1-2011, f. & cert. ef. 9-22-11
CORP 1-2008, f. & cert. ef. 1-15-08
CORP 2-2001, f. 7-9-01, cert. ef. 8-1-01
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90, Renumbered from 164-050-0070
SOS 11-1987, f. 7-9-87, ef. 8-1-87
SOS 1-1987, f. & ef. 1-2-87
SD 33-1986(Temp), f. 12-5-86, ef. 12-24-86

Or. Admin. R. 160-050-0250 Forms Used in Oregon Farm Products Central Filing System

The Secretary of State prescribes and approves the list of forms below for use in the Oregon Farm Products Central Filing System:

(1) Form EFS-1 — Farm Products Effective Financing Statement;

(2) Form EFS-3 — Farm Products — Statement of Continuation, Amendment, Assignment and Lapse;

(3) Form EFS-4 — Buyer, Commission Merchant, Selling Agent Registration/ Subscription.

History

Statutory/Other Authority: ORS 79.6030
Statutes/Other Implemented: ORS 79.6030
CORP 1-2008, f. & cert. ef. 1-15-08
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94
PRD 1-1989, f. 12-12-89, cert. ef. 1-1-90, Renumbered from 164-050-0080
SOS 11-1987, f. 7-9-87, ef. 8-1-87
SOS 4-1987, f. & ef. 2-24-87
SOS 2-1987(Temp), f. & ef. 1-9-87
SOS 1-1987, f. & ef. 1-2-87
SD 33-1986(Temp), f. 12-5-86, ef. 12-24-86

Or. Admin. R. 160-050-0280 EFS Search Fees

(1) The Effective Financing Statement search fees are:

(a) UCC-11 information search, Standard form — $10 per name (each distinct debtor name to be searched);

(b) Requested copies of EFS documents — $5 per name searched.

(2) Copy fee will be levied per request, whether or not any copies are found.

Examples: The copy fee for EFS documents found on a search for John Doe is:

For Information search, $10;

Plus, for requested copies, $5;

Total, $15.

The copy fee for EFS documents found on a search for John and Jane Doe is:

For information search ($10 per name x 2 =), $20;

Plus, for requested copies, ($5 per name x 2 =), $10;

Total, $30.

(a) State Seal Certificate — $10 per certificate; plus, for requested copies — $5 per name searched;

(b) Copy(ies) of a EFS (filing number provided) — $5.

History

Statutory/Other Authority: ORS 79.6030
Statutes/Other Implemented: ORS 79.6080
CORP 1-2008, f. & cert. ef. 1-15-08
CORP 1-1995, f. 2-8-95, cert. ef. 9-1-95

Division 70 OFFICE OF SMALL BUSINESS ASSISTANCE

Or. Admin. R. 160-070-0010 Definitions

As used in ORS 56.200 to 56.209:

(1) “Agency” refers to the state executive branch agency(s), board(s) or commission(s) named in a complaint.

(2) “Complainant” means the aggrieved owner or principal or their designee or agent of a for-profit or nonprofit organization with 100 or fewer employees, their designee or agent

(3) “Complaint” means a specific, written charge filed with the Office of Small Business Assistance by a complainant. Every complaint will generate a report from the Office of Small Business Assistance. The complaint shall:

(a) Give the name and address of the aggrieved business or nonprofit organization and its owner, their designee or agent;

(b) Name the agency(s);

(d) Describes the complaint, including:

(A) The date(s) of occurrence;

(B) The names of any employees of the agency involved in the complaint;

(D) How the complainant has already tried to solve the problem; and

(E) How the complainant believes their complaint can be resolved.

(4) “Complaint” does not mean a charge that involves one or more provisions of ORS 56.206(2)(a)-(h).

(5) “Office” means the Secretary of State’s Office of Small Business Assistance.

(6) “Notification” and “Notify” mean written communication from the Office of Small Business Assistance to the complainant or agency, including electronic or email communication.

(7) “Public Record” has that meaning assigned in ORS 192.410(4)(a).

(8) “Report” is a summary document produced at the conclusion of an investigation as described in ORS 56.206(6). All versions of reports from the Office of Small Business Assistance are public records.

(a) “Preliminary Report” is a summary document described in ORS 56.206(6)(b).

(b) “Final Report” is a summary document described in ORS 56.206(6)(d).

History

Statutory/Other Authority: ORS 56.203(5) & ORS 192.410(4)(a)
Statutes/Other Implemented: ORS 56.200 to 56.209
CORP 1-2018, adopt filed 03/20/2018, effective 04/01/2018

Or. Admin. R. 160-070-0020 Filing a Complaint

Complainant may file a written complaint with Office of Small Business Assistance through mail, email or through an internet form. Complainant may contact the Office of Small Business Assistance and request that staff write the complaint. Staff will subsequently send the written complaint to the complainant for their approval and acknowledgement as required under OAR 160-070-0000(3)(c).

History

Statutory/Other Authority: ORS 56.203(2)
Statutes/Other Implemented: ORS 56.200 to 56.209
CORP 1-2018, adopt filed 03/20/2018, effective 04/01/2018

Or. Admin. R. 160-070-0030 Withdrawal of Complaint

(1) A complainant may withdraw a complaint at any time after filing it and before the first draft of a report prepared under the provisions of ORS 56.206(6) by submitting a written and signed or otherwise acknowledged request for withdrawal.

(2) In the event that a complaint is withdrawn before the first draft of a report is prepared, the Office will not release a report.

History

Statutory/Other Authority: ORS 56.206
Statutes/Other Implemented: ORS 56.200 to 56.209
CORP 1-2018, adopt filed 03/20/2018, effective 04/01/2018

Or. Admin. R. 160-070-0040 Complaint Review

The Office will determine whether to investigate the complaint based on one or more provisions of ORS 56.206(2) (a)-(h).

History

Statutory/Other Authority: ORS 56.206(2)
Statutes/Other Implemented: ORS 56.200 to 56.209
CORP 1-2018, adopt filed 03/20/2018, effective 04/01/2018

Or. Admin. R. 160-070-0050 Complaint Investigation

(1) The Office will notify the complainant if an investigation will be performed within 30 days of receiving the complaint.

(2) If the complainant is non-responsive to requests for information required to investigate the complaint, the Office may close the case and notify the complainant and agency of such closure in writing.

(3) If the Office learns that complainant provided false information in their complaint, the Office may close the case and notify the complainant and agency of such closure in writing.

(4) Upon completion of the investigation, the Office shall prepare a report according to the provisions of ORS 56.206(6).

History

Statutory/Other Authority: ORS 56.206
Statutes/Other Implemented: ORS 56.200 to 56.209
CORP 1-2018, adopt filed 03/20/2018, effective 04/01/2018

Or. Admin. R. 160-070-0060 Report

(1) The office shall notify a complainant as to whether the office will review and investigate the complaint within 30 days of receiving the complaint as required by ORS 56.206(3).

(2) Before finalizing a report prepared under the provisions of ORS 56.206(6)(a), the Office shall provide the complainant with a draft copy of the report for their review within 15 calendar days. The Office may extend this review period at their discretion.

(3) Following review of the draft report by the complainant and before finalizing a report prepared under the provisions of ORS 56.206(a) and (b), the Office shall provide the state agency that is the subject of the report with a copy of the draft report for their review within 15 calendar days. The Office may extend this review period at their discretion.

(4) Following review of the draft report by the complainant and the state agency, the Office shall provide the state agency that is the subject of the report with a preliminary report according to the provisions of ORS 56.206(b).

(5) The final report shall conform to ORS 56.206(6)(a), (d) and (e).

History

Statutory/Other Authority: ORS 56.206
Statutes/Other Implemented: ORS 56.200 to 56.209
CORP 1-2018, adopt filed 03/20/2018, effective 04/01/2018

Or. Admin. R. 160-070-0070 Protections for Complainants and Public Records

(1) ORS 56.209 provides that a complainant or other person who participates in a review and investigation of a complaint under ORS 56.206 may not be subject to a penalty, sanction or restriction in connection with the person’s employment or be denied any right, privilege or benefit because of the complaint or because of any review and investigation of the complaint.

(2) All versions of reports from the Office are public records and subject to disclosure.

(3) The Office may disclose aggregate data on their work, provided it does not individually identify any specific business or nonprofit.

(4) A complainant may provide written authorization to the Office to disclose specific elements of their case, which may then by disclosed by the Office.

(5) Except as otherwise provided by this rule in subsections (2), (3), and (4) above, the Office may not disclose records prepared by or received by the Office or communications to and from the Office.

History

Statutory/Other Authority: ORS 56.209 & ORS 56.203
Statutes/Other Implemented: ORS 56.200 to 56.209
CORP 1-2018, adopt filed 03/20/2018, effective 04/01/2018

Division 100 NOTARIES PUBLIC

Or. Admin. R. 160-100-0000 Definitions

As used in ORS 194.205 to 194.990, and OAR 160-100-0000 to 160-100-0850:

(1) “Public Records Address” shall mean postal or street address.

(2) “Days” means calendar days.

(3) “Electronic notarial signature” means an electronic signature, as defined in ORS 194.215, used by the notary to officially sign electronic records.

(4) “Notary,” as used in these rules, means “notary public.”

(5) “Oath of Office” in accordance with ORS 194.315(3), a notary public shall keep on file an Oath of Office with the Secretary of State, affirming the notary’s intent to follow the laws and constitutions of the United States of America and the State of Oregon.

(6) “Official Misconduct” means the grounds to deny, revoke, suspend, or condition the commission of a notary public, as stated in ORS 194.340.

(7) “Official Stamp” or “Official Notary Stamp” means a physical image affixed to a tangible record that can be legibly reproduced by a photographic method, and that meets the description of OAR 160-100-0100; or information required under 160-100-0100(3) that is attached to or logically associated with an electronic record. An official stamp does not include a stamping device, as defined in ORS 194.215(17). The official stamp of a notary public is an official notarial seal for all purposes under the law of this state.

(8) “Practice” means conducting a course of repeated notarizations in Oregon beyond a 30-day period.

(9) “Record” means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form.

(10) “Remote online notarization” means a notarial act performed for a remotely located individual by means of communication technology.

(11) “Remote online notarization vendor” means a third-party that offers the services of a tamper-evident technology approved for remote online notarization acts.

(12) "Secretary of State" means the Corporation Division of the Secretary of State's office.

(13) “Tamper-evident” means in a manner that is capable of independent verification and renders any subsequent change or modification to the electronic record evident .

(14) “Venue” shall include both the jurisdiction of the Oregon notary public and the county in which the notarial act was performed.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.315, HB 4212 (2020), ORS 194.215 & ORS 194.340
CORP 1-2021, amend filed 02/18/2021, effective 02/18/2021
CORP 1-2020, temporary amend filed 07/01/2020, effective 07/01/2020 through 12/27/2020
CORP 2-2014, f. 3-4-14, cert. ef. 3-6-14
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0000
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0010 Date of Mailing

Whenever ORS Chapter 194.205 to 194.990 and OAR 160-100-0000 to 160-100-1150 require or permit a record or object to be mailed to the Secretary of State, the date of mailing shall be the date the record or object was actually received by the Secretary of State.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-2007, f. 2-15-07, cert. ef. 3-1-07
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0010
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0020 Name of Notary Public

(1) Whenever ORS Chapter 194 and OAR 160-100-0000 to 160-100-1150 refer to the name of a notary public, the name shall be the legal name of the notary public as it appears on the notary public's current oath of office.

(2) For the purposes of this chapter, the legal name on the applicant’s oath of office must be proven with satisfactory evidence per ORS 194.240(2). Unless proven otherwise, the name shall consist of the applicant’s first personal name (first name), additional name(s) (middle name), and surname (family or last name).

Examples: (a) Oregon Driver License reads, “John Alexander Smith” Applicant’s name on the oath must read, “John Alexander Smith.”

The applicant name may not read, “John A. Smith;” “J. Alexander Smith;” “John Smith;” “J.A. Smith;” “John Alexander;” “Smith;” “John;” “JAS;” “Alexander;” or some nickname, such as “Jack.”

(b) U.S. Passport reads, “Susan M. Jones Smith.”

Applicant’s name must read, “Susan M. Jones Smith.”

The applicant name may not read, “Susan M. J. Smith;” Susan Jones Smith;” “Sue M Jones Smith;” or other variant.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 5-2008, f. 9-15-08 cert. ef. 10-15-08
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0020
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0030 Signature of Notary Public

(1) Whenever ORS 194 and OAR 160-100-0000 to 160-100-1150 require or permit a notary public to sign his or her name, the notary public shall use the signature that is evidenced on the notary public’s current oath of office, or, for electronic records, the electronic signature on file with the Secretary of State.

(2) For the purposes of this chapter, the legal signature on the notary public’s oath of office must be proven with satisfactory evidence per ORS 194.240(2).

History

Statutory/Other Authority: ORS 194.240
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 5-2008, f. 9-15-08 cert. ef. 10-15-08
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0030
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0040 Administrative Services Fees

The Secretary of State shall charge the following fees for performing the administrative services indicated:

(1) $10 for each apostille or authentication certificate for a public official, including a notary public.

(2) $10 for each notary public certificate of good standing.

(3) $10 for each notarial act performed by a Corporation Division notary public.

(4) $50 for each list of new notaries public.

(5) $50 for each standard list of all active notaries public.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 6-2010, f. 4-27-10, cert. ef. 5-3-10
CORP 7-2009, f. 12-22-09, cert. ef. 1-1-10
CORP 1-1994, f. 12-30-94, cert. ef. 1-1-95
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0040
Reverted to SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90
Suspended by SOS-AD 2-1992(Temp), f. & cert. ef. 2-14-92
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0100 Description of Imprint of Official Stamp

(1) The reasonably legible imprint of an official stamp of a notary public shall contain:

(a) The state seal, as described in ORS 186.020;

(b) The following words, in descending order, centered in the official stamp to the right of the state seal:

(A) The words "Official Stamp";

(B) The printed name of the notary public;

(D) The words "Commission No." immediately followed by the notary public’s commission number;

(E) The words "My Commission Expires", immediately followed by the notary public's commission expiration date, expressed in terms of the month (spelled-out), two-digit date, and complete year.

(2) The imprint of an official stamp of a notary public on a tangible record shall be an imprint capable of being photocopied or reproduced.

(3) The official stamp of a notary public on an electronic record shall contain:

(a) The printed name of the notary public;

(b) The words "Notary Public — Oregon";

(d) The words "My Commission Expires", immediately followed by the notary public's commission expiration date, expressed in terms of the month (spelled-out), two-digit date, and complete year.

EXAMPLES: [Examples not included. See ED. NOTE.]

[ED. NOTE: Examples referenced are available from the agency.]

History

Statutory/Other Authority: ORS 194.290
Statutes/Other Implemented: ORS 194.290
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 10-2010, f. 8-30-10, cert. ef. 9-1-10
CORP 8-2010(Temp), f. 6-11-10, cert. ef. 7-1-10 thru 12-28-10
CORP 2-2010, f. 1-22-10 cert. ef. 2-3-10
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0100
Renumbered from 165-027-0010, SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90
SD 7-1978, f. & ef. 8-10-78

Or. Admin. R. 160-100-0110 Use of Official Stamp

(1) A notary public shall use the notary public's official stamp to perform a notarial act.

(2) A notary public shall use the notary public's official stamp

(a) For a tangible record, by placing a legible imprint of the official stamp on a notarial certificate at the time of the performance of the notarial act.

(b) For an electronic record, by attaching or logically associating it with the electronic record.

(3) A notary public shall not place an imprint of the notary public's official stamp over any signature in a record to be notarized or in a notarial certificate, or over any writing in a notarial certificate.

(4) When a notarial certificate is on a separate piece of paper attached to the tangible record to be notarized, or when there are attachments to the tangible record to be notarized, a notary public may use one additional imprint of the notary public's official stamp to mark for identification the tangible record or attachment, if the imprint does not make any part of the record or attachment illegible. The additional stamp will be partially stamped on the notarial certificate, and partially on the record or attachment to the notarized record.

(5) A notary public shall not use the notary public's official stamp for any purpose other than to perform a notarial act.

(6) A notary public shall not permit any other person to use the notary public's official stamp for any purpose.

(7) A notary public shall not use any other notary public's official stamp or any other object in lieu of the notary public's official stamp to perform a notarial act.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.280 & 194.360
CORP 1-2020, temporary amend filed 07/01/2020, effective 07/01/2020 through 12/27/2020
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 10-2010, f. 8-30-10, cert. ef. 9-1-10
CORP 8-2010(Temp), f. 6-11-10, cert. ef. 7-1-10 thru 12-28-10
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0110
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0120 Description of Official Stamping Device

(1) Stamping device, as used in ORS 194.215(17) and 194.295, does not include an ink-less embosser or crimper.

(2) A stamping device must be capable of affixing or logically associating the official stamp such that the record to which the official stamp is so affixed or associated may be copied, filmed, scanned, or otherwise legibly reproduced.

History

Statutory/Other Authority: ORS 194.290-295
Statutes/Other Implemented: ORS 194.290-295
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 10-2010, f. 8-30-10, cert. ef. 9-1-10
CORP 8-2010(Temp), f. 6-11-10, cert. ef. 7-1-10 thru 12-28-10
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0120
Renumbered from 165-027-0005, SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90
SD 7-1978, f. & ef. 8-10-78

Or. Admin. R. 160-100-0125 Certificate of Authorization

(1) Upon appointment as a notary public, the Secretary of State shall send to the person appointed a notarial commission certificate and a Certificate of Authorization with which the person appointed shall obtain an official stamp.

(2) Only upon presentation by the notary public of the Certificate of Authorization is a vendor authorized to provide the notary with the official stamp described in OAR 160-100-0120 or an electronic stamp described in OAR 160-100-0140 and OAR 160-100-0146.

(3) Subject to the procedures set forth under ORS 194.980, any vendor of official stamps who furnishes an official stamp to any person in violation of section (2) of this rule may incur a civil penalty in the amount of $500 per offense.

History

Statutory/Other Authority: ORS 194.360 & ORS 194.980
Statutes/Other Implemented: ORS 194.360
CORP 3-2021, minor correction filed 11/02/2021, effective 11/02/2021
CORP 1-2020, temporary amend filed 07/01/2020, effective 07/01/2020 through 12/27/2020
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13

Or. Admin. R. 160-100-0130 Use of an Embosser

(1) A notary public may use an embosser in the performance of a notarial act but only in addition to the notary public's official stamp.

(2) A notary public shall not place the embossment over any signature in a record to be notarized, or in a notarial certificate or over any writing in a notarial certificate.

(3) When a notarial certificate is on a separate piece of paper attached to the record to be notarized or when there are attachments to the record to be notarized, such as pictures, a notary public may use an embossment to mark for identification the record or attachment, if the embossment does not make any part of the record or attachment illegible.

(4) A notary public shall not use any other notary public’s embosser or any other object in lieu of the notary public’s official stamp to perform a notarial act.

History

Statutory/Other Authority: ORS 194.290 & 194.360
Statutes/Other Implemented: ORS 194.290 & 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0130
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0140 Notification of Secretary of State of the Use of Electronic Notarization

(1) A notary public who wishes to perform notarial acts with respect to electronic records shall file the following information using the prescribed form with the Secretary of State before such notarization:

(a) Commission name;

(b) Commission number;

(d) Email address;

(e) Name of electronic notarization technology vendor;

(f) Contact information for electronic notarization vendor;

(g) Website for electronic notarization vendor;

(h) A statement under penalty of perjury that the method of electronic notarization meets the July 13, 2011, National Electronic Notarization Standards adopted by the National Association of Secretaries of State. For the purposes of this statement, the notary may rely on an electronic notarization vendor’s declaration that the technology does meet these standards; and

(i) An exemplar of a notarized record that includes the notary’s official stamp, the electronic notarial signature, and the electronic notarial certificate. The exemplar shall be a generic sample and not an actual notarized private record.

(2) The example provided in section (1) of this rule must be an electronic file submitted in a PDF format.

(3) In addition to any other technologies used in attaching the electronic notarial signature, the signature must include a graphic reproduction of the notary’s handwritten signature on file with the Secretary of State.

(4) In addition to any other technologies and information the notary’s official stamp, as evidenced by an official Certificate of Authorization issued by the Secretary of State, shall be logically associated with the notarial certificate and underlying record.

(5) The notice under this rule shall be emailed to the Secretary of State using the form provided to the notary public.

(6) Once information is received and approved by the Secretary of State, a confirmation will be sent to the notary to verify approval.

History

Statutory/Other Authority: ORS 194.305 & ORS 194.360
Statutes/Other Implemented: ORS 194.305 & HB 4212 (2020)
CORP 1-2021, amend filed 02/18/2021, effective 02/18/2021
CORP 1-2020, temporary amend filed 07/01/2020, effective 07/01/2020 through 12/27/2020
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0140
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0146 Notification of Secretary of State of the Use of Remote Online Notarization

A commissioned Notary Public may apply to the Secretary of State to perform remote online notarizations using communication technology after completing the required Remote Online Notarization training and receiving acknowledgment from the Secretary of State.

(1) A notary public who wishes to perform notarial acts with respect to remote online notarization shall file the following information using the prescribed form with the Secretary of State before such notarization:

(a) Commission name;

(b) Commission number;

(d) Email address;

(e) Name of remote online notarization vendor(s);

(f) Contact information for remote online notarization vendor(s);

(g) Website for remote online notarization vendor(s);

(h) Attached copy of electronic stamp and signature as generated by the remote online notarization vendor; and

(i) A statement under penalty of perjury that the technology and method of remote online notarization meets the system requirements in this chapter. For the purposes of this statement, the notary may rely on a remote online notarization vendor’s declaration that the technology and method does meet these standards.

(2) Once information is received and approved by the Secretary of State, a confirmation will be sent to the notary to verify approval.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: HB 4212 (2020)
CORP 1-2021, adopt filed 02/18/2021, effective 02/18/2021

Or. Admin. R. 160-100-0150 Certificate of Authorization

(1) A Certificate of Authorization to obtain a stamp will be emailed to the notary in PDF form upon the acceptance of the notary’s Oath of Office by the Secretary of State.

(a) In order to obtain a stamp for tangible and electronic records, the Certificate of Authorization shall be submitted by the notary to the stamp vendor, so that the vendor will know:

(A) The notary is commissioned by the State of Oregon

(B) The requirements of the stamp, and

(b) Except as provided in (1)(a), the notary public shall be required to keep the Certificate of Authorization secure from access by non-authorized persons.

(2) A notary public whose Certificate of Authorization to Obtain a Stamp is lost, misplaced, destroyed or otherwise unavailable may file with the Secretary of State a written request, under oath or affirmation, for a replacement Certificate of Authorization.

(3) The request shall set forth:

(a) A statement of whether the Certificate of Authorization is lost, misplaced, destroyed or in some other manner made unavailable;

(b) An explanation of how the Certificate of Authorization became unavailable;

(d) If lost or misplaced, a statement that the notary public does not possess the Certificate of Authorization and does not know who possesses it or where it is located;

(e) A request that the Secretary of State issue a new Certificate of Authorization to the notary public.

(4) The Secretary of State shall issue a replacement Certificate of Authorization to the notary public.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0150
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0160 Notification of Secretary of State That Stamping Device is Unavailable

(1) A notary public whose stamping device is lost, misplaced or stolen shall personally deliver or mail to the Secretary of State a written statement, under oath or affirmation, within ten days after the date the notary public discovers that the stamping device was lost, misplaced, stolen or is otherwise unavailable.

(2) The statement shall include:

(a) A statement of whether the stamping device is lost, misplaced, stolen or is otherwise unavailable;

(b) The date the notary public discovered that the official stamping device was unworkable;

(c) A statement that the notary public does not possess the stamping device and does not know who possesses it or where it is located;

(d) A statement that if the notary public subsequently reacquires possession of the lost, misplaced or stolen stamping device, then the notary public shall file a statement with the Secretary of State within ten days after the date the notary public reacquires possession of the lost, misplaced, or stolen stamping device;

(e) A request that the Secretary of State issue a replacement Certificate of Authorization to the notary public.

(3) If a notary public subsequently reacquires possession of a lost, misplaced, or stolen stamping device, then the notary public shall file with the Secretary of State a written statement of explanation within ten days after the date the notary public reacquires possession of the lost, misplaced or stolen stamping device.

History

Statutory/Other Authority: ORS 194.295 & 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0160
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0170 Notification of Secretary of State of Change in Information

(1) A notary public must notify the Secretary of State within 30 days of any change in the information on file with the Secretary of State, including the notary’s:

(a) Legal Name

(b) Official Signature

(d) Electronic notarization technology, in accordance with OAR 160-100-0140.

(e) State of residency

(f) Place of employment or practice in Oregon, if not a resident.

(2) When a notary public changes the Legal Name on file with the Secretary of State, a notarized statement evidencing the name change must be submitted, using the form prescribed by the Secretary of State.

(3) When a notary public changes the Legal Signature on file with the Secretary of State, a notarized statement evidencing the signature change must be submitted, using the form prescribed by the Secretary of State.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2020, minor correction filed 07/20/2020, effective 07/20/2020
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2005, f. & cert. ef. 11-1-05

Or. Admin. R. 160-100-0200 Form and Content of Notarial Journal

A paper notarial journal of a notary public may be in any form that meets the physical requirements set out in this rule and the entry requirements set out in section 18(3), chapter 219, Oregon Laws 2013:

(1) The cover and pages inside the cover shall be bound together by any binding method that is designed to prevent the insertion or removal of the cover or a page;

(2) Each page shall be consecutively numbered from the beginning to the end of the journal. If a journal provides two pages on which to record the required information about the same notarial act, then both pages may be numbered with the same number or each page may be numbered with a different number. A page number shall be preprinted;

(3) Each line(or entry if the journal is designed with numbered entry blocks) shall be consecutively numbered from the beginning to the end of the page. If a line extends across two pages, the line shall be numbered with the same number on both pages. A line or entry number shall be preprinted;

(4) A notarial journal of a notary public shall contain on the inside of the front cover or on the first page the following information in any order:

(a) The name of the notary public;

(b) The notary public's commission number;

(d) The notary public's residence or business street or mailing address;

(e) The earliest date the journal may be destroyed, which shall be ten years after the date of the last act chronicled in the journal;

(f) One of the following statements:

(A) That, in the event of the decease of this notary public, the journal shall be delivered or mailed to the Secretary of State; or

(B) That, in the event the notary public has entered into a written agreement with his/her employer pursuant to OAR 160-100-0360, the date such written agreement was entered into, the name and address of the employer and instructions that the journal shall be delivered or mailed to the employer in the event of the decease of the notary public.

(g) The meaning of any not commonly abbreviated word or symbol used in recording a notarial act in the notarial journal;

(h) The signature of the notary public;

(i) At the respective time of entry, the dates of the first and last notarial acts recorded in the notarial journal.

EXAMPLE: First entry on July 6, 2009, last entry on January 7, 2013.

(5) If a notary public's name, commission number, commission expiration date, or address that is written in the notarial journal changes before the notary public ceases to use the notarial journal, the notary public shall draw a single line through the old information and write the new information to the side of the old information.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 2-2007, f. 12-14-07 cert. ef. 1-15-08
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0200
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0210 Form and Content of an Electronic Notarial Journal

(1) A notary may record an electronic notarization in a paper notarial journal, an electronic notarial journal, or both.

(2) In an electronic notarial journal, the signature of the signer must be:

(a) Attached to or logically associated with the electronic notarial journal.

(b) Linked to the data in such a manner that any subsequent alterations to the electronic notarial journal entry are detectable and may invalidate the electronic notarial journal entry.

(3) Entries from the notarial journal must be available upon demand by the Secretary of State in a PDF format.

(4) If submission of the notarial journal is required under these rules, the electronic notarial journal must be submitted in a single PDF file.

(5) Actions completed as part of a remote online notarization act must be recorded in an electronic notary journal, which may be provided by the remote online notarization vendor.

(6) Each entry in any electronic journal shall meet the requirements under ORS 194.300.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300 & HB 4212 (2020)
CORP 1-2021, amend filed 02/18/2021, effective 02/18/2021
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2008, f. 4-15-08, cert. ef. 5-1-08
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0210
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0215 Storage of Electronic Notarial Journal

(1) The records of a notary public shall remain within the exclusive control of the notary public at all times.The notary must ensure that records of remote online notarizations are retained in compliance with ORS 194.300.

(2) Records of a remote online notarization shall be maintained electronically in devices that are capable of recording the information required by OAR 160-100-0210 and OAR 160-100-0850.

(3) A remote online notary public may contract with a remote online notarization vendor to provide such storage if the remote online notarization vendor:

(a) has provided reasonable evidence to the remote online notary public that it is capable of providing such services; and

(b) provides complete access to the remote online notary public of all the remote online notary's records for an agreed period of time.If the contract between the remote online notary public and the remote online notarization vendor is terminated, all records must be transferred to the remote online notary public.

History

Statutory/Other Authority: ORS 194.360 & ORS 194.300
Statutes/Other Implemented: HB 4212 (2020)
CORP 1-2021, adopt filed 02/18/2021, effective 02/18/2021

Or. Admin. R. 160-100-0220 Notification of Secretary of State of Lost or Stolen Journal

(1) A notary public whose notarial journal is lost, misplaced, destroyed or otherwise unusable may file a written notice, under oath or affirmation, with the Secretary of State.

(2) The notice shall set forth:

(a) A statement of whether the notarial journal is lost, misplaced, destroyed or in some other manner made unusable;

(b) An explanation of how the notarial journal became unusable.

(d) A statement that the notary public does not possess the notarial journal and does not know who possesses it or where it is located.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0220
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0230 Additional Notarial Acts That May Be Recorded in Notarial Journal

A notary public may, but is not required to, record in a notarial journal any information about the following notarial acts performed or records notarized by the notary public:

(1) Administering an oath or affirmation;

(2) Certifying or attesting a copy of a record;

(3) Affidavits;

(4) Billing statements for media advertising;

(5) Protests of commercial paper (to be recorded as provided in ORS 194.090 and 73.0505).

(6) Verifications upon oath or affirmation.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0230
SOS-AD 1-1991, f. & cert. ef. 1-7-91
Reverted to SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90
SOS-AD 3-1990(Temp), f. & cert. ef. 7-2-90
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0240 Information Required to Be Recorded in Record of Protests

A notary public shall maintain a record of information about each protest of commercial paper performed by the notary public consisting of copies of source originals.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0240
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0301 Disposition of Notarial Records Upon Suspension of Commission

(1) A notary public whose commission was suspended shall arrange for the storage of his/her notarial records, except records of protests of commercial paper (see OAR 160-100-0350), in any form and at any location. The records or any reproduction of the records must be readable and the notary public must be able to obtain possession of such records within 15 days of receipt of a request for such records.

(2) A notary public shall store such records for a period of ten years after the date of the last act chronicled in the journal. After the ten-year period, the notary public may destroy such records.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 4-2010, f. 2-22-10, cert. ef. 3-1-10

Or. Admin. R. 160-100-0310 Disposition of Notarial Records Upon Termination of Commission Due to Resignation

(1) A notary public whose commission was terminated because of resignation shall arrange for the storage of his/her notarial records, except records of protests of commercial paper (see OAR 160-100-0350), in any form and at any location. The records or any reproduction of the records must be readable and the notary public must be able to obtain possession of such records within 15 days of receipt of a request for such records.

(2) A notary public shall store such records for a period of 10 years after the performance of the last Notarial act. After the ten-year period, the notary public may destroy such records.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0310
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0320 Disposition of Notarial Records Upon Termination of Commission Due to Expiration

(1) A notary public whose commission was terminated because of expiration, and who has not applied for a new commission within 30 days after the date of termination, shall arrange for the storage of his/her notarial records, except records of protests of commercial paper (see OAR 160-100-0350), in any form and at any location. The records or any reproduction of the records must be readable and the notary public must be able to obtain possession of such records within 15 days of receipt of a request for such records.

(2) A notary public shall store such records for a period of 10 years after the performance of the last Notarial act. After the ten-year period, the notary public may destroy such records.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0320
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0330 Disposition of Notarial Records Upon Termination of Commission Due to Revocation

(1) A notary public whose commission was terminated because of revocation shall file his/her notarial records with the Secretary of State within 30 days after the date of revocation.

(2) At the same time that the notary public files such records with the Secretary of State, a notary public shall file with the Secretary of State the notary public's official stamping device.

(3) The Secretary of State shall store such records for a period of ten years after the date of revocation. After the ten-year period, the Secretary of State may destroy such records. The Secretary of State shall destroy the official stamping device.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0330
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0340 Disposition of Notarial Records Upon Termination of Commission Due to Death or Incompetency

(1) After the termination of a notary public's commission as a result of death, or the adjudication of incompetency, the notary public’s personal representative, guardian, conservator, or trustee shall file the notary public's notarial records with the Secretary of State, unless the notary public entered into a written agreement with his/her employer pursuant to OAR 160-100-0360.

(2) The personal representative, guardian, conservator, or trustee may file a statement with the Secretary of State. The statement may include:

(a) The name of the notary public;

(b) The notary public's commission number;

(d) The cause of termination of the notary public's commission, i.e., the notary public is deceased;

(e) The notary public's date of death.

(3) At the same time that the notary public’s personal representative, guardian, conservator, or trustee files such record and statement with the Secretary of State, the notary public’s personal representative, guardian, conservator, or trustee shall render the notary public’s official stamping device unusable by destroying, defacing, damaging, erasing the device or securing it against use.

(4) The Secretary of State shall store such records for a period of ten years after the date of the last act chronicled in the journal. After the ten-year period, the Secretary of State may destroy such records.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0340
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0350 Record of Protests of Commercial Paper

(1) A notary public whose commission terminates because of expiration, resignation or revocation, shall file his/her records of protests of commercial paper and any other notarial record relating only to protests of commercial paper with the Secretary of State within 30 days after the date of termination.

(2) At the same time that the notary public files such records with the Secretary of State, a notary public shall file a statement with the Secretary of State. The statement shall include:

(a) The name of the notary public;

(b) The notary public’s commission number;

(d) The cause of termination of the notary public’s commission, i.e., expiration, resignation or revocation;

(e) The notary public’s commission termination date.

(3) The Secretary of State shall store such records for a period of ten years after the date of termination. After the ten-year period, the Secretary of State may destroy such records.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0350
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0360 Notary Public’s Responsibilities When Agreement Has Been Entered Into with Employer

A notary public who has entered into an agreement with his or her employer relating to the employer’s retention and disposal of the notary public’s notarial records following termination of employment pursuant to ORS 194.300 shall retain a written copy of the agreement which may be examined by the Secretary of State upon request. The agreement shall contain at least the following information:

(1) Date agreement was entered into;

(2) Names of parties to agreement;

(3) Terms of agreement, including retention of records by the employer for a period not less than ten years after the date of the last act chronicled in the journal;

(4) Signatures of all parties to agreement.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0360
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0400 Maximum Amount of Notary Fees Permitted to be Charged

(1) Notwithstanding section 2 of this rule, a notary public shall not charge, attempt to charge, or receive a notary fee that is more than $10 per notarial act.

(2) In accordance with ORS 194.400(2)(a)(b) and 194.400(3), a notary may also charge a fee for traveling to perform a notarial act.

(3) A notary public performing a remote online notarization shall not charge, attempt to charge, or receive a notary fee that is more than $25 per notarial act.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.400 & HB 4212 (2020)
CORP 1-2021, amend filed 02/18/2021, effective 02/18/2021
CORP 1-2020, temporary amend filed 07/01/2020, effective 07/01/2020 through 12/27/2020
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 7-2009, f. 12-22-09, cert. ef. 1-1-10
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0400
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0410 Displaying List of Notary Fees

A notary public who charges a fee for a notarial act shall either display a list, in English, of notary fees specified in OAR 160-100-0400 in a conspicuous location in the notary public's place of business or give a copy of the notice to any person requesting a notarial act to read before having the notarial act performed. A place of business is the notary public's residence, business office or any other location in which the notary public performs a notarial act.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300 & 194.400
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0410
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0420 Filing Statement of Waiver of Notary Fees; Withdrawing Statement of Waiver

(1) A notary public may file with the Secretary of State a statement waiving the right to charge a notary fee.

(2) If a notary public files a written statement of waiver, then the notary public shall:

(a) Not charge, attempt to charge or receive any notary fee for a notarial act performed after the date the notary public filed the statement of waiver;

(b) Not display a list of notary fees otherwise required by OAR 160-100-0410.

(3) If a notary public who has filed a statement of waiver wants to charge a fee to perform a notarial act, then notary public shall file with the Secretary of State a written statement withdrawing the statement of waiver and shall comply with the requirements of OAR 160-100-0400 and 160-100-0410.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300 & 194.400
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0420
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0430 Filing Complaint Against Notary Public; Investigation of Notary Public by Secretary of State

(1) A person may file a complaint against a notary public with the Secretary of State. A complaint shall be submitted on the standard form provided by the Secretary of State, signed and dated by the person filing the complaint. A complaint that does not comply with the requirements of this section shall not be filed, responded to or acted upon by the Secretary of State.

(2) The Secretary of State may commence an investigation of a notary public as a result of information received from any source.

(3) Complaint forms received by the Secretary of State are not exempt from disclosure under Public Records Law, and shall be available to the accused notary public and others under ORS 192.410 to 192.505.

(4) Notwithstanding section (3), personal information of the complainant revealed in a notary public complaint shall not be disclosed if:

(a) The complainant can show that public disclosure thereof would constitute an unreasonable invasion of privacy, unless;

(b) In the determination of the Secretary of State, the public interest by clear and convincing evidence requires disclosure in the particular instance.

(c) “Personal information” shall, in this context, include but not be limited to the residence address, phone number and identifying information, such as Social Security Number, or driver’s license. The name of the complainant and incidental information do not fall within the definition of “personal information.”

(5) An investigation of the Secretary of State under sections (1) and (2) of this rule may include:

(a) An initial request for information from the accused notary;

(b) A copy of the complaint forwarded to the accused; and

(6) A notary, upon request by the Secretary of State, shall disclose the contents of the notary's journal or journals, or any parts thereof, as part of the investigative process. The notary shall provide accurate, true and complete copies of the requested information, and/or shall provide the journal in question for examination by the Secretary of State.

(7) Upon a finding by the Secretary of State, copies of the finding shall be mailed to the complainant and the accused.

(8) Failure of an accused notary to comply with Secretary of State investigation directives shall result in revocation of the commission, subject to the provisions of ORS 183.413 to 183.470.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-2001, f. 6-14-01, cert. ef. 7-1-01
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0430
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0500 Notification of Secretary of State of Conviction

Within 30 days of the notification of conviction of any felony or crime involving fraud, dishonesty or deceit by a notary public, the Secretary of State shall conduct an investigation of the notary public, in accordance with OAR 160-100-0430(2)–(8).

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0500
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0510 Conviction of a Lesser Offense Incompatible with the Duties of a Notary Public

"…(A) crime involving fraud, dishonesty or deceit" as cited ORS 194.340 and OAR 160-100-0610(9) shall mean having been convicted in any court of the State of Oregon or any other state or federal jurisdiction of one of the crimes listed below or any comparable crime:

(1) 162.075 — False swearing;

(2) 162.085 — Unsworn falsification;

(3) 162.235 — Obstructing governmental or judicial administration;

(4) 162.295 — Tampering with physical evidence;

(5) 162.305 — Tampering with public records;

(6) 162.335 — Compounding a felony;

(7) 162.355 — Simulating legal process;

(8) 162.365 — Criminal impersonation;

(9) 162.375 — Initiating a false report;

(10) 162.385 — Giving false information to police officer for a citation;

(11) 162.425 — Misuse of confidential information;

(12) 165.007 — Forgery in the 2nd degree;

(13) 165.017 — Criminal possession of a forged instrument in the 2nd degree;

(14) 165.037 — Criminal simulation;

(15) 165.042 — Fraudulently obtaining a signature;

(16) 165.080 — Falsifying business records;

(17) 165.095 — Misapplication of entrusted property;

(18) 165.100 — Issuing a false financial statement;

(19) 165.102 — Obtaining execution of documents by deception;

(20) Any conviction of the offenses listed in ORS 194.990;

(21) Any other offense of a similar nature to the above listed crimes involving fraud, dishonesty or deceit.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.340
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0510
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0600 Refusal to Issue, Revocation, Suspension, Civil Penalties and Official Warning

(1) OAR 160-100-0610 identifies official misconduct, as defined in section 22, chapter 219, Oregon Laws 2013 and names sanctions that may be taken by the Secretary of State for first acts of official misconduct, including refusing to issue, revoking, or suspending a commission, assessing a civil penalty, or issuing an official warning.

(2) The Secretary of State may assess increasingly severe sanctions up to and including a $1500 civil penalty and revocation of a notary public's commission, where applicable, for:

(a) Failure to correct or cease official misconduct within time periods specified by the Secretary of State in a final order (final notice of assessment) or Official Warning letter;

(b) A repeated act or acts of official misconduct which occur subsequent to any previous sanction assessed by the Secretary of State for the same type of misconduct;

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.980
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0600
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0610 Conduct Which Constitutes Official Misconduct

The following conduct constitutes official misconduct, as defined in ORS 194.340, for purposes of refusing to issue, revoke or suspend a notary public's commission, assessing a civil penalty against a person pursuant to 194.980, or issuing an Official Warning to Cease Violation to a person pursuant to 194.985:

Relating to the Notary Public Status

(1) A person performed a notarial act within the state of Oregon when the person was not commissioned as a notary public or was otherwise authorized by statute. See ORS 194.990. Sanction for First Act of Misconduct: Refuse to commission or Class B Misdemeanor or both.

(2) A notary public performed a notarial act in another state pursuant to the authority of the notary public's Oregon commission. See ORS 194.260. Sanction for First Act of Misconduct: Official warning.

(3) A notary public performed a notarial act using a name other than the current commission name on file with the Secretary of State. See OAR 160-100-0020. Sanction for First Act of Misconduct: Official warning.

(4) A notary public made a representation that the notary public had powers, qualifications, rights or privileges that the notary public did not have. See ORS 194.340. Sanction for First Act of Misconduct: $500 civil penalty.

(5) A notary public failed to maintain the qualifications to be a notary public required under ORS 194.340. See ORS 194.340. Sanction for First Act of Misconduct: Revocation of commission.

(6) A notary public purports to be a citizen of a country other than one officially recognized by the United States Department of State. See ORS 194.350. Sanction for First Act of Misconduct: Official warning.

Relating to Disqualifying Interest, Fraud, Dishonesty or Deceit

(7) A notary public or notary public applicant made a substantial and material misstatement or omission of fact in an application submitted to the Secretary of State. See ORS 194.340. Sanction for First Act of Misconduct: Revocation of commission or refusal to issue commission.

(8) A notary public committed an act involving dishonesty, fraud or deceit with the intent to substantially benefit the notary public or another or substantially injure another. See ORS 194.350. Sanction for First Act of Misconduct: Suspension of commission for a period of 90 days and $1,000 civil penalty.

(9) A notary public or notary public applicant was convicted of a felony, or of any crime involving fraud, dishonesty or deceit. See ORS 194.340. Sanction for First Act of Misconduct: Revocation of commission or refusal to issue commission.

(10) A notary public or a notary public applicant had a finding against, or admission of liability in any legal proceeding or disciplinary action based on the notary’s or applicant’s fraud, dishonesty or deceit. See ORS 194.340. Sanction for First Act of Misconduct: Revocation of commission or refusal to issue commission.

(11) A notary public was judicially determined to be liable for damages in a suit for fraud or misrepresentation or in a suit for failing to discharge fully and faithfully the duties as a notary public. See ORS 194.340. Sanction for First Act of Misconduct: Revocation of commission.

(12) A notary public notarized a record in which the notary public or the notary public’s spouse is a party. See ORS 194.225. Sanction for First Act of Misconduct: Official warning.

(13) A notary public notarized a record in which the notary public or the notary public’s spouse has a direct beneficial interest. See ORS 194.225. Sanction for First Act of Misconduct: Official warning.

(14) A notary public performed an acknowledgment of an instrument executed to or by a business entity of which the notary public was a shareholder, director, officer, employee, member or partner at the time of the notarization when the notary public was a party to the record either in an individual or representative capacity. See ORS 194.385. Sanction for First Act of Misconduct: Official warning.

(15) A notary public engaged in the unauthorized practice of law. See ORS 194.350. Sanction for First Act of Misconduct: Suspension of commission for a period of 90 days and $1,000 civil penalty.

Relating to Advertisement

(16) A notary public used a false or misleading advertisement in which the notary public represented that the notary public had powers, qualifications, rights or privileges that the office of notary public does not have, including but not limited to the power to counsel on immigration matters. See ORS 194.350. Sanction for First Act of Misconduct: Suspension of commission for a period of 90 days and $1,000 civil penalty.

(17) A notary public endorsed or promoted a product, service, contest or other offering by using the notary public's title or official stamp. See ORS 194.340. Sanction for First Act of Misconduct: $500 civil penalty.

(18) A notary public, who was not licensed to practice law in the state of Oregon and who advertised in a language other than English to perform a notarial act, did not include in the advertisement the statement: "I am not an attorney licensed to practice law. I am not allowed to draft legal records, give advice on legal matters, including immigration, or charge a fee for those activities.” See ORS 194.350. Sanction for First Act of Misconduct: Official warning.

(19) A notary public, who was not licensed to practice law in the state of Oregon and who advertised in a language other than English to perform a notarial act, did not include in the advertisement a list of notarial fees specified in ORS 194.350. Sanction for First Act of Misconduct: Official warning.

(20) A notary public, who was not licensed to practice law in the state of Oregon and who advertised in a language other than English to perform a notarial act, did not display the statement and list of notarial fees required by ORS 194.350 in a conspicuous place in the notary public's place of business. See ORS 194.350. Sanction for First Act of Misconduct: Official warning.

(21) A notary public, other than an attorney licensed to practice law, used the term "notario publico" or “notario” in reference to the notary. See ORS 194.350. Sanction for First Act of Misconduct: Official warning.

Relating to Proper Notification of the Secretary of State

(22) A notary public did not deliver or mail to the Secretary of State a written notice of change of name within 30 days after the date the notary public's name changed. See ORS 194.340(1)(a) and OAR 160-100-0170. Sanction for First Act of Misconduct: Official warning.

(23) A notary public did not deliver or mail to the Secretary of State a written notice of change of address within 30 days after the date the notary public changed the notary public's public records address or employer’s address or both. See ORS 194.340(1)(a) and OAR 160-100-0170. Sanction for First Act of Misconduct: Official warning.

(24) A notary public, whose official stamp device was lost, misplaced, or stolen, did not personally deliver or mail to the Secretary of State a written notice of that fact within ten days after the date the notary public discovered that the notary public's official stamp device was lost, misplaced, or stolen. See ORS 194.340(1)(a) and OAR 160-100-0160(1). Sanction for First Act of Misconduct: Official warning.

(25) A notary public who subsequently reacquired possession of a lost, misplaced or stolen official stamp device did not file with the Secretary of State a written statement of explanation within ten days after the date the notary public reacquired possession of the lost or misplaced official stamp. See ORS 194.340(1)(a) and OAR 160-100-0160. Sanction for First Act of Misconduct: Official warning.

Relating to Vacancy of Office

(26) A notary public whose commission was terminated because of expiration and who was not recommissioned did not arrange for the storage of his/her notarial records. See ORS 194.300 and 194.340. Sanction for First Act of Misconduct: Official warning.

(27) A notary public whose commission was terminated because of expiration did not destroy the notary public's official stamp device. See ORS 194.295 and 194.340. Sanction for First Act of Misconduct: Official warning.

(28) A notary public whose commission was terminated because of resignation did not arrange for the storage of his/her notarial records. See ORS 194.300 and 194.340. Sanction for First Act of Misconduct: Official warning.

(29) A notary public whose commission terminated because of resignation did not destroy the notary public's official stamp device. See ORS 194.295 and 194.340. Sanction for First Act of Misconduct: Official warning.

(30) A notary public whose commission terminated because of revocation did not file his/her notarial records with the Secretary of State. See ORS 194.300 and 194.340. Sanction for First Act of Misconduct: $500.

(31) A notary public whose commission terminated because of revocation did not file the notary public's official stamp device with the Secretary of State. See ORS 194.295 and 194.340. Sanction for First Act of Misconduct: $500.

(32) A notary public whose commission was terminated because of expiration, resignation or revocation did not file with the Secretary of State the notary public's record of protests and any other notarial records relating only to protests of commercial paper in accordance with OAR 160-100-0350 within 30 days after the date of termination. See ORS 194.340 and 194.390. Sanction for First Act of Misconduct: Official warning.

Relating to Identity and Appearance

(33) A notary public did not determine either from personal knowledge or from satisfactory evidence as defined in ORS 194.240 that the person acknowledging a record in the presence of the notary public was the person whose signature was on the record. See ORS 194.230 and 194.340. Sanction for First Act of Misconduct: Suspension of commission for a period of 30 days.

(34) A notary public did not determine either from personal knowledge or from satisfactory evidence as defined in ORS 194.240 that the person verifying a statement by oath or affirmation in the presence of the notary public is the person whose signature was on the statement. See ORS 184.230 and 184.340. Sanction for First Act of Misconduct: Suspension of commission for a period of 30 days.

(35) A notary public did not determine either from personal knowledge or from satisfactory evidence as defined in ORS 194.240 that the signature on a record was the signature of the person signing the record in the presence of the notary public and named in the record. See ORS 194.230 and 194.340. Sanction for First Act of Misconduct: Suspension of commission for a period of 30 days.

(36) A notary public did not determine that the copy of a record presented to the notary public was a full, true and accurate transcription or reproduction of the record or item. See ORS 194.240 and 194.340. Sanction for First Act of Misconduct: Suspension of commission for a period of 30 days.

(37) A notary public did not require the physical presence of the signer at the time of notarization of a signature executed on a record. See ORS 194.235 and 194.240. Sanction for First Act of Misconduct: Suspension of commission for a period of 30 days and/or a $500 civil penalty.

Relating to Notarial Certificate

(38) A notary public did not evidence a notarial act, as defined in ORS 194.215, by issuing a certificate of notarial act. See ORS 194.280 and 194.340. Sanction for First Act of Misconduct: Official warning.

(39) A notary public did not include one or more of the following elements of the certificate of notarial act: the signature of the notary public, the title of the notary public, the date the notary public's commission expires, the date the notary public performed the notarial act, the venue in which the notarial act was performed, the official stamp of the notary public and the actions of the notary public sufficient to meet the requirements of the notarial act. See ORS 194.280 and 194.340. Sanction for First Act of Misconduct: Official Warning.

(40) A notary public did not evidence a notarial act by a certificate of notarial act in a form permitted or prescribed by a law of the United States or of the State of Oregon or in a form designed by the notary public that describes the acts of the notary public and such acts meet all of the requisite elements of the notarial act. See ORS 194.285 and 194.340. Sanction for First Act of Misconduct: Official warning.

(41) A notary public, through error or negligence, executed a notarial certificate that contained false information. See ORS 194.285 and 194.340. Sanction for First Act of Misconduct: Official Warning.

(42) A notary public executed a notarial certificate that contained a statement known to the notary public to be false. See ORS 194.344. Sanction for First Act of Misconduct: Revocation of commission or refusal to issue commission.

Relating to Stamp and Stamp Device

(43) A notary public used an official stamp that did not conform to ORS 194.290 and OAR 160-100-0100 to perform a notarial act. See ORS 194.340. Sanction for First Act of Misconduct: Official warning.

(44) A notary public used the notary public's official stamp for a purpose other than to perform a notarial act. See ORS 194.340. Sanction for First Act of Misconduct: Official warning.

(45) A notary public did not use the notary public's official stamp in performing a notarial act. See ORS 194.280 and 194.340. Sanction for First Act of Misconduct: Official warning.

(46) A notary public used as an official stamp device an object that was not a stamp device, or was a stamp device but the device was made of a substance that was incapable of making a legible imprint on paper or was incapable of making an imprint that could be legibly reproduced under a photographic method. See ORS 194.280 and 194.340. Sanction for First Act of Misconduct: Official warning.

(47) A notary public used the notary public's official stamp device to perform a notarial act but placed the official stamp over a signature in a record to be notarized or in a notarial certificate or over any writing in a notarial certificate. See ORS 194.295, 194.340 and OAR 160-100-0110. Sanction for First Act of Misconduct: Official warning.

(48) A notary public permitted another person to use the notary public's official stamp device. See ORS 194.285, 194.340 and OAR 160-100-0110. Sanction for First Act of Misconduct: Suspension of commission for a period of 30 days or $500 civil penalty or both.

(49) A notary public used another notary public's official stamp device, or an object in lieu of the notary public's official stamp device, to perform a notarial act. See ORS 194.285, 194.340 and OAR 160-100-0110(7). Sanction for First Act of Misconduct: Suspension of commission for a period of 30 days or $500 civil penalty or both.

(50) A notary public used an embosser in lieu of the notary public's official stamp. See ORS 194.280, 194.340 and OAR 160-100-0130(1). Sanction for First Act of Misconduct: Official warning.

Relating to Notarial Journal

(51) A notary public did not provide, keep, maintain or protect a chronological journal of notarial acts performed by the notary public during the term of a commission. See ORS 194.300 and 194.340. Sanction for First Act of Misconduct: Official warning.

(52) A notary public used a notarial journal that was not in the form required by section 18, chapter 219, Oregon Laws 2013. See OAR 160-100-0200 and 160-100-0210. Sanction for First Act of Misconduct: Suspension of commission for a period of 30 days or $500 civil penalty or both.

(53) A notary public did not enter in a notarial journal the information about each notarial act performed by the notary public required by ORS 194.300. See ORS 194.340. Sanction for First Act of Misconduct: Official warning.

(54) A notary public recorded information about multiple notarial acts performed by the notary public in a notarial journal in a manner that did not comply with the requirements of ORS 194.300. See ORS 194.340. Sanction for First Act of Misconduct: Official warning.

(55) A notary public used a record of protests that did not contain the information about each certificate of dishonor issued by the notary public required by OAR 160-100-0240. See ORS 194.340 and 194.380. Sanction for First Act of Misconduct: Official warning.

(56) A notary public who entered into an agreement with an employer relating to the employer's retention and disposal of the notary public's notarial records following termination of employment pursuant to ORS 194.300 did not retain a written copy of the agreement or make such available upon request of the Secretary of State. See ORS 194.340 and OAR 160-100-0360. Sanction for First Act of Misconduct: Official warning.

Relating to Fees

(57) A notary public charged a notary fee that was more than the maximum fee specified in ORS 194.400. See ORS 194.340. Sanction for First Act of Misconduct: $500 civil penalty.

(58) A notary public who charged a fee for traveling to perform a notarial act did not explain to the person who requested the notarial act that the traveling fee was in addition to the fee to perform the notarial act or was not required by law, or did not obtain in advance the agreement of the person who requested the notarial act to the amount of the traveling fee. See ORS 194.340 and 194.400. Sanction for First Act of Misconduct: Official warning.

(59) A notary public, except a notary public who filed with the Secretary of State a statement waiving the right to charge a notary fee, did not comply with the fee display requirements specified in OAR 160-100-0410. See ORS 194.340 and 194.400. Sanction for First Act of Misconduct: Official warning.

Relating to Commercial Protests

(60) A notary public who does not meet the qualifications of ORS 194.375 protested commercial paper, as provided in ORS 73.0505. See ORS 194.340. Sanction for First Act of Misconduct: Official Warning.

(61) A notary public did not determine the identity of the negotiable instrument, that presentment was required and made, or that presentment was excused and not made and the reason why presentment was excused, that the instrument was dishonored by nonacceptance or nonpayment, or all or any combination of the above. See ORS 194.230 and 194.340. Sanction for First Act of Misconduct: Suspension of commission for a period of 30 days.

(62) A notary public issued a certificate of dishonor of a negotiable instrument (also known as a protest of commercial paper as defined in ORS 73.0505(2)) but in the certificate did not identify the negotiable instrument protested, certify that due presentment was made or the reason why presentment was excused, or certify that the instrument protested was dishonored by nonacceptance or nonpayment, as required by ORS 73.0505(2). ORS 194.340 and 194.280. Sanction for First Act of Misconduct: Official warning.

(63) A notary public did not keep a record of all certificates of dishonor (also known as a protest of commercial paper as defined in ORS 73.0505(2)) issued by the notary public during the term of a commission. See 194.340 and 194.380. Sanction for First Act of Misconduct: Official warning.

(64) A notary public issued a certificate of dishonor of a negotiable instrument (also known as a protest of commercial paper as defined in ORS 73.0505(2)) that was owned or held for collection by a financial institution, trust company or investment company when the notary public was a party to the commercial paper in an individual capacity. ORS 194.340 and 194.375. Sanction for First Act of Misconduct: Official warning.

(65) A notary public issued a certificate of dishonor (also known as a protest of commercial paper as defined in ORS 73.0505(2) of a non-commercial or other record that does not fit the definition of negotiable instrument as defined in ORS 73.0104. See ORS 194.340 and 194.375. Sanction for First Act of Misconduct: Official warning.

(66) A notary public issued a certificate of dishonor (also known as a protest of commercial paper as defined in ORS 73.0505(2) in a manner not in accordance with ORS 73.0505. See ORS 194.340. Sanction for First Act of Misconduct: Official warning.

Miscellaneous

(67) A notary public who submits the following types of records to the Secretary of State in reply to correspondence from the Secretary of State or other government agency or seeks to initiate proceedings through the following record types:

(a) Conditional Acceptance, or a similar record purporting to "conditionally accept" presentment of an official record, and demanding proof of a list of claims in order to fully accept the official record.

(b) Affidavit in Support of Conditional Acceptance, or a similar record purporting to attest to the facts of a record described in section (71)(1) and signed by the same notary public who is attesting.

(c) Notice of Dishonor, or a similar record purporting to give notice that a Conditional Acceptance (see section (71)(1)) has not been accepted by the government agency to which it was sent and thereby was dishonored.

(d) Accepted for Value, or similar stamp or certificate purporting to accept for a disclosed or undisclosed value an official record sent to the notary public by the Secretary of State or other governmental agency. The certificate claims to establish an amount of money payable or accrued to the signor of the certificate.

(e) Notice of Protest, or a similar record purporting to be a Protest of Commercial Paper that has been dishonored, when said Commercial Paper is not, in fact, a negotiable instrument under ORS Chapter 73 and subject to the laws stated therein regarding dishonor and protest.

(f) Other records attempting to apply ORS Chapter 73 to non-negotiable instruments or other records not included in the scope of said chapter.

(g) Other record type purporting to follow the Uniform Commercial Code (U.C.C.), and not related to an ORS Ch. 79 filing.

(h) Other record type purporting to be according to ORS Ch. 79 that does not constitute filing under ORS Ch. 79.0516. See ORS 194.340. Sanction for First Act of Misconduct: Revocation of commission or refusal to issue commission.

(68) A notary public engaged in any other act or omission involving any act prohibited or mandated by ORS Chapter 194, or any rule adopted by the Secretary of State, or any other law governing notarization. See ORS 194.340. Sanction for First Act of Misconduct: Official Warning.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.300 & 194.340
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 6-2009, f. 12-22-09, cert. ef. 1-1-10
CORP 1-2003, f. 3-14-03, cert. ef. 4-1-03
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0610
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0620 Appeal Process

In the event the Secretary of State sanctions a notary public for official misconduct or proposes to refuse to appoint or proposes to revoke or suspend a commission, an opportunity for a public hearing will be provided pursuant to ORS 194.340, the contested case procedures set out in ORS 183.413 through 183.500 and the Attorney General's Model Rules of Procedure for Contested Cases.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.340
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 1-1993, f. 12-29-93, cert. ef. 1-1-94, Renumbered from 164-100-0620
SOS-AD 2-1990, f. 5-9-90, cert. ef. 7-1-90

Or. Admin. R. 160-100-0700 Satisfactory Evidence

For the purposes of ORS 194.240:

(1) Temporary forms of the Oregon Driver License (ODL) or Oregon Identity Card shall be considered equivalent to the Oregon Driver License before their expiration in the following manner:

(a) An Instruction Permit will be satisfactory evidence in the same way as a permanent ODL or State ID card.

(b) A Provisional Driver License will be satisfactory evidence in the same way as a permanent ODL.

(c) A Hole-punched Driver License or Identity Card shall not be sufficient in itself, but may be used in conjunction with the Interim Driver License or Identity Card to establish identity,

(d) An Interim Driver License or Identity Card, which is good for no more than 30 days, is given to those awaiting the processing and arrival of their permanent ODL or State ID card, and may be used by itself or in addition to the Hole-punched Driver License or Identity Card. The Interim Driver License or Identity Card may only be so used while it is unexpired.

(e) A Limited Term Driver License or Identification Card, given to people temporarily in the United States, is noted by the words “Limited Term” in the bottom right corner of the ID and an expiration date between 1-8 years after the issuance date. A Limited Term ID will be satisfactory evidence in the same way as a permanent ODL or State ID card.

(2) “United States passport” means a U.S. passport and a U.S. passport card issued by the U.S. Department of State.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.240
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 8-2009, f. 12-22-09, cert. ef. 1-1-10

Or. Admin. R. 160-100-0805 Credential Analysis and Authentication for Remote Online Notarization

(1) The requirement for at least two different types of identity proofing under ORS 194.240 is satisfied if the notary public identifies a remotely located individual in accordance with the requirements of this section.

(2) Credential analysis must be provided by a reputable third-party remote online notarization vendor or software tool that can demonstrate proven credential analysis processes and shall employ technology that provides the following:

(a) The signer’s identity must be linked to the signer following successful knowledge-based authentication; and

(b) Remote online notarization shall provide for human visual comparison between the signer and the signer's identification presented to the notary.

(3) Remote online notarization providers shall use an automated software process to aid the notary in verifying each signer's identity.

(a) The identification shall pass an authenticity test that:

(A) Uses appropriate technologies to confirm the integrity of visual, physical or cryptographic security features;

(B) Uses appropriate technologies to confirm that the identification is not fraudulent or inappropriately modified;

(C) Uses information held or published by the issuing source or authoritative source, as available, to confirm the validity of the identification details; and,

(D) Provides the result of the authenticity test to the notary.

(b) The credential analysis procedure shall enable the notary to visually compare the following for consistency:

(A) The information and photo on the identification image presented; and

(B) The signer as viewed by the notary in real time through the audio/video system.

(c) If the notary public is unable to validate the identification of the signer, or to match the signer's physical features with the credential, the notary public shall not complete the notarial act.

(d) The identification shall meet the requirements of ORS 194.240

(e) All identification images necessary to perform visual inspection and credential analysis shall be captured and the notary shall confirm that:

(A) The signer is in possession of the identification at the time of the notarial act;

(B) The identification images submitted for credential analysis have not been manipulated; and

(f) The following general principles shall be considered in the context of image resolution:

(A) Image resolution shall be sufficient for the issuing source or authoritative source to perform credential analysis per the requirements above; and

(B) Image resolution shall be sufficient to enable visual inspection by the notary, including legible text and clarity of photographs, barcodes, and other identification features; and

(4) Knowledge-based authentication procedure must meet the following requirements:

(a) Each signer must answer questions and achieve a passing score. The procedure must include:

(A) Five multiple choice questions, drawn from public or private data sources.

(B) A minimum of five possible answer choices per question.

(b) Each signer is to be provided a reasonable number of attempts per signing session.

(A) If a signer fails their first quiz, they may attempt up to two additional quizzes within 48 hours from the first failure.

(B) During any quiz retake, a minimum of 40% (2) of the prior questions shall be replaced.

(c) If biometric sensing technologies are used for remote online notarization in the areas of authentication, credential analysis, and identity proofing verification may include facial, voice, and fingerprint recognition.

(5) If a signer exits the notarial act during the notarial act, they shall restart the credential analysis and knowledge-based authentication workflow from the beginning.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: HB 4212 (2020)
CORP 1-2021, adopt filed 02/18/2021, effective 02/18/2021

Or. Admin. R. 160-100-0855 General Technology Requirements for Remote Online Notarization

(1) Each document completed as part of a remote online notarization shall be electronically signed and rendered tamper-evident.

(2) The method of remote online notarization shall ensure privacy and data security.

(3) The method of remote online notarization shall ensure all applicable consumer data, privacy and information security laws are satisfied through their information security programs.

(4) Records of a remote online notarization must be retained in a safe and secure manner for ten years following the date of the notarization. Records must be available to the Secretary of State upon request.

(5) The audio and video quality requirements for a remote online notarization operating model should:

(a) Consist of reliable, continuous, synchronous audio and video feeds with clarity such that all participants can be clearly seen and understood.

(b) Ensure the audio and video are adequate for communication and ability to terminate the session if adequate conditions are not met.

(6) The audio/video recording shall:

(a) Include the person-to person interaction required as part of the notarial act;

(b) Be logically associated to the electronic notary journal;

(7) The transaction documents executed in the remote online notarization act shall not be recorded as part of the video recording.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: HB 4212 (2020)
CORP 1-2021, adopt filed 02/18/2021, effective 02/18/2021

Or. Admin. R. 160-100-1000 Definitions

(1) Certificate of Approval. The Oregon Secretary of State Certificate of Approval (OAR 160-100-1010) signifies only that the provider named therein offers an education program curriculum similar to the education program curriculum offered by the Secretary of State and has complied with the requirements of these rules. The Certificate of Approval does not imply endorsement of the provider, nor any products or services offered by the provider.

(2) Certificate of Education. The Certificate of Education (OAR 160-100-1060) signifies that the person named therein has completed the approved education program provided by the provider.

(3) Course of study. For the purposes of this division, "course of study" applies only to a live classroom or on-line education.

(4) Notary public applicant. For the purposes of this division, a "notary public applicant" is a person who applies for a commission as an Oregon notary public, who does not already hold a current notary public commission, and who must attend a course of instruction in order to qualify for commission as a notary public.

(5) Provider. For purposes of this division, a "provider" is an individual or business entity that provides a notary public education course of study.

(6) Oregon business registration number. For the purposes of these rules, an Oregon business registration number is the number assigned by the Corporation Division to a business entity or assumed business name that indicates registration in the public record of the Division.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1010 Provider Certificate of Approval

Before offering any course of study pursuant to Oregon Revised Statute Chapter 194.325, a provider must obtain a Certificate of Approval from the Secretary of State for each course of study offered.

(1) To apply for a Certificate of Approval, a provider must submit to the Secretary of State a completed Notary Public Education Provider Application or Amendment form, hereby incorporated by reference, an active Oregon business registration number, and a lesson plan satisfying the requirements in OAR 160-100-1020.

(2) The Secretary of State will issue either a Certificate of Approval, in accordance with section (3), or a deficiency notice, in accordance with OAR 160-100-1030, within 90 days of receipt of an application and lesson plan.

(3) Upon approval of an application and lesson plan, the Secretary of State will send a Certificate of Approval to the provider by first class mail to the address listed on the Notary Public Education Provider Application or Amendment form.

(4) The Certificate of Approval will include the following:

(a) The name of the approved provider as listed on the Notary Public Education Provider Application or Amendment form.

(b) The address listed on the Notary Public Education Provider Application or Amendment form.

(d) The date the course of study was approved by the Secretary of State.

(5) An approved provider must not alter or substitute the lesson plan reviewed and approved by the Secretary of State, unless the revisions are approved by the Secretary of State in accordance with OAR 160-100-1050.

(6) For the purposes of this chapter, a provider must be authorized to transact business in Oregon in order to be certified. Authorization to transact business must be evidenced by an active Oregon business registration number.

(7) For the purposes of this chapter, an approved provider is responsible for all employees, agents, instructors, contractors, and subcontractors providing or involved in providing an approved course of study on behalf of the approved provider and the acts of the employees, agents, instructors, contractors, and subcontractors will be deemed the acts of the approved provider.

(8) The Certificate of Approval will expire 3 years from the date of issuance, and it must be renewed to continue as a state-approved course of instruction. A provider may apply for renewal up to 90 days before the expiration of the Certificate. Upon expiration of the Certificate, the provider must submit a new application, not a renewal, in order to offer state-approved education.

(9) A Certificate of Approval is non-transferable and may not be conveyed to another provider or applied to another course of study.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360 & ORS 194.325
CORP 4-2020, minor correction filed 07/20/2020, effective 07/20/2020
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1020 Lesson Plan

A lesson plan must meet the following requirements:

(1) The lesson plan must be based on the laws of Oregon concerning the functions and duties of a notary public. The lesson plan must cover at least the Oregon Notary Public Knowledge Statements, hereby incorporated by reference. The Oregon Notary Public Knowledge Statements may be obtained from the Secretary of State by request.

(2) The lesson plan must contain a table of contents, and the pages of the lesson plan must be consecutively numbered.

(3) The lesson plan must provide sufficient detail to enable the Secretary to evaluate the specific information to be presented and to determine the accuracy of the information to be presented.

(4) The lesson plan must contain the procedures to ensure that a person attending a course of study is present for the required time.

(5) The lesson plan must include a schedule of the time allotted for the following:

(a) Break periods, if any;

(b) Each major subject area;

(d) Each student participation activity, if any.

(6) Completion, correction, and discussion of any practice tests used and the method of correction to be used, if any.

(7) If any movie or video is used for instruction, the lesson plan must include a brief synopsis of the information presented therein. The synopsis must detail the specific information presented by the movie or video. In addition, the provider must include the movie or video in the materials presented to the Secretary of State for review.

(8) Copies of any handout materials, workbooks, visuals aids, description of student participation exercises, and practice tests used during the course of study must be submitted for approval with the lesson plan.

(9) If the course provides for an evaluation by the students, time to complete the evaluation must not be included as part of the course of instruction.

(10) All materials submitted to the Secretary of State under this rule become the property of the Secretary of State and may be returned to the provider at the sole discretion of the Secretary.

History

Statutory/Other Authority: ORS 194.360
Statutes/Other Implemented: ORS 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1030 Deficient Application or Lesson Plan

(1) If the Secretary of State determines that a Notary Public Education Provider Application or Amendment form is incomplete, or that a lesson plan does not satisfy the requirements of ORS 194.360 or this chapter, the Secretary of State will issue a deficiency notice containing an itemized description of the deficiencies identified. The deficiency notice will be sent by first class mail to the provider's address listed on the Notary Public Education Provider Application or Amendment form.

(2) A provider has 30 days from the date on which the deficiency notice was mailed by the Secretary of State to submit documentation to the Secretary of State curing the deficiencies identified in the deficiency notice.

(3) The Secretary of State may issue more than one deficiency notice to a provider regarding the same Notary Public Education Provider Application or Amendment form and lesson plan at any time during the review process.

(4) The Secretary of State may disapprove a Notary Public Education Provider Application or Amendment form if the deficiencies are not cured in accordance with section (2).

(5) After the disapproval of a provider's application or amendment, the provider has the right to a hearing on the matter, and the proceeding will be conducted in accordance with the contested case procedures set out in ORS 184.313 through 183.500, and the Attorney General's Model Rules of Procedure for Contested Cases.

(6) Upon the effective date of a final order in a contested case, or if the final order is appealed, a final appellate judgment disapproving an application or amendment, a provider may cure the deficiencies identified in the decision by submitting a Notary Public Education Provider Application or Amendment form in accordance with OAR 160-100-1030.

History

Statutory/Other Authority: ORS 194.325 & 194.360
Statutes/Other Implemented: ORS 194.325 & 194.360
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1040 Notification of Changes of Approved Provider Information

Within 30 days of any changes in the information contained in the most recent application approved by the Secretary of State, an approved provider must submit to the Secretary of State a Notary Public Education Provider Application or Amendment form identifying the changes. An approved provider may confirm receipt by the Secretary of State by phone or e-mail.

History

Statutory/Other Authority: ORS 194.325 & 194.360
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1050 Lesson Plan Revisions

(1) Within 30 days of the effective date of a new Oregon law or rule concerning the duties and functions of notaries public, an approved provider must revise an approved lesson plan as necessary to ensure that the information provided in an approved course of study reflects the new Oregon law or rule.

(2) Any provider-initiated revisions to the contents or methods of instruction detailed in an approved lesson plan must be approved by the Secretary of State at least 30 days before implementing the proposed revisions in an approved course of study.

(3) To apply for a Certificate of Approval for a revised lesson plan, an approved provider must submit a completed Notary Public Education Provider Application or Amendment form, and a revised lesson plan in accordance with OAR 160-100-1020.

(4) The provisions in OAR 160-100-1010, 160-100-1020, and 160-100-1030 apply to a revised lesson plan.

(5) Upon approval of a revised lesson plan, the Secretary of State will issue a Certificate of Approval pursuant to OAR 160-100-1010.

(6) A provider may only follow the lesson plan corresponding to the most current Certificate of Approval.

History

Statutory/Other Authority: ORS 194.325 & 194.360
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1060 Certificate of Education

(1) An approved provider must issue a Certificate of Education to a notary public applicant upon completion of an approved course of study, as provided in section (3).

(2) The Certificate of Education shall be issued by the provider to a notary public applicant only after the person has completed the approved course of study.

(3) The Certificate of Education must consist of a certificate signed by an approved provider or an employee, agent, instructor, contractor, or subcontractor of an approved provider, which contains the following information:

(a) The name of the approved provider as it appears on the Certificate of Approval issued by the Secretary of State for the approved course of study.

(b) The name of the notary public applicant who completed the approved course of study.

(d) The Notary Education Identification Number, consisting of the Provider Identification Code and a unique six-digit number.

(e) The statements that:

(A) The Certificate of Education must be valid for a period of six months from the date of issuance; and

(B) The student must provide the Notary Education Identification Number on the notary public application when submitted to the Secretary of State.

(4) The Certificate of Education of an approved course of study is for six months from the date of issuance.

History

Statutory/Other Authority: ORS 194.325 & 194.360
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1070 List of Attendees

(1) An approved provider must maintain a list of persons who attend each session of an approved course of study.

(2) The List of Attendees must be maintained for a period of five years from the date of issuance of the Certificates of Education corresponding to that session.

(3) The list must include the following:

(a) The name of the approved provider as listed in the Certificate of Approval for the approved course of study.

(b) The provider identification code issued by the Secretary of State.

(d) The date, time, and location of the approved course of study.

(e) The names of all the attendees in alphabetical order by the last name of the attendee.

(f) The Notary Education Identification Number corresponding to the attendee, if any.

(4) An approved provider must not collect the social security numbers of any attendees.

(5) Upon request, an approved provider must submit a list of attendees in a data format approved by the Secretary of State.

(6) An approved provider, former approved provider, or employee, agent, instructor, contractor, or subcontractor of an approved provider or former approved provider must not copy or release any list of attendees or any information contained therein to any person, except the Secretary of State, Attorney General, a district attorney, or a city attorney.

History

Statutory/Other Authority: ORS 194.325
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1080 Secretary of State Attending Approved Course of Study

An approved provider must permit the Secretary of State or representatives of the Secretary of State to attend any approved course of study, without prior notice and at no charge, for the purpose of observation, monitoring, auditing, and investigating the instruction given.

History

Statutory/Other Authority: ORS 194.325
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1090 Duty to Respond to a Written Request from the Secretary of State

An approved provider must respond in writing within 30 days of receiving a written request for information from the Secretary of State. A written request may be sent to the mailing address, facsimile number, or e-mail address listed on the most current Notary Public Education Provider Application or Amendment form filed pursuant to OAR 160-100-1020 or 160-100-1050.

History

Statutory/Other Authority: ORS 194.325
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1100 Cancellation or Delay of Scheduled Approved Course of Study

(1) Before charging any fees to a notary public applicant for an approved course of study, an approved provider must disclose the refund policy of the approved provider.

(2) An approved provider must refund all fees within 30 days of a scheduled course date to any notary public applicant who registered to attend an approved course of study if one of the following occurs:

(a) An instructor fails to appear at the scheduled time, date, or place of the approved course of study;

(b) An approved course of study is delayed in starting more than 15 minutes after the scheduled time, and a notary public applicant immediately informs the approved provider of his or her request for a refund, and the notary public applicant leaves the approved course of study before its start; or

History

Statutory/Other Authority: ORS 194.325
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1105 Complaints Against an Approved Provider

(1) A person may file a complaint against an approved provider with the Secretary of State. A complaint shall be submitted on the standard form provided by the Secretary of State, signed and dated by the person filing the complaint. A complaint that does not comply with the requirements of this section shall not be filed, responded to or acted upon by the Secretary of State.

(2) The Secretary of State may commence an investigation of an approved provider as a result of information received from any source.

(3) Complaint forms received by the Secretary of State are not exempt from disclosure under Public Records Law, and shall be available to the approved provider and others in conformity with ORS 192.410 to 192.505.

(4) An investigation of the Secretary of State under sections (1) and (2) of this section may include:

(a) An initial request for information from the accused provider;

(b) A copy of the complaint forwarded to the accused; and

(5) A provider, upon request by the Secretary of State, shall provide accurate, true and complete copies of the requested information.

(6) Upon a finding by the Secretary of State, copies of the finding shall be mailed to the complainant and the accused.

(7) Failure of an approved provider to comply with Secretary of State investigation directives shall result in revocation of the Certificate of Approval, subject to the provisions of ORS 183.413 to 183.470.

History

Statutory/Other Authority: ORS 194.325
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1110 List of Approved Providers

(1) The Secretary of State may also make a list of approved providers available online at the Corporation Division's website. The approved provider list may include the following information:

(a) The name of approved provider.

(b) Contact information — a mailing address; a telephone number; a fax number; an e-mail address; and a website address.

(2) The Secretary of State may only update the list of approved providers to add, delete, or amend approved provider information that is filed in accordance with OAR 160-100-1040. A list of approved providers may be updated by the first day of each month following the month during which there were additions, deletions, or amendments to the list of approved providers.

(3) The Secretary of State reserves the right to delete any information from the list compiled pursuant section 21, chapter 219, Oregon Laws 2013 or section (2) of this rule that the Secretary of State determines is misleading to the public or of an inappropriate nature.

History

Statutory/Other Authority: ORS 194.325
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 7-2010, f. & cert. ef. 6-1-10
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1120 Renewal of a Certificate of Approval

Ninety days before the certificate's expiration, the Secretary of State will notify a provider, by e-mail, fax, or written mail, of the need to renew the provider's Certificate of Approval.

History

Statutory/Other Authority: ORS 194.325
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1130 Grounds for Termination of a Certificate of Approval

The Secretary of State may terminate a Certificate of Approval upon any of the following grounds:

(1) Violation of any of the provisions of this chapter or ORS 194.325.

(2) Misrepresentation of the laws of Oregon concerning the duties and functions of a notary public.

(3) Deviation from the lesson plan for a course of study approved by the Secretary of State.

(4) Failure to respond to a request from the Secretary of State.

(5) Representations by the provider that any product, goods, or services provided by the provider are endorsed, recommended or required by the Secretary of State. Certification only recognizes that the education program curriculum of the provider is similar to the state's curriculum.

History

Statutory/Other Authority: ORS 194.325 & ORS 194.360
Statutes/Other Implemented: ORS 194.325
CORP 3-2020, minor correction filed 07/20/2020, effective 07/20/2020
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1140 Termination of Certificate of Approval

(1) If the Secretary of State proposes to terminate the Certificate of Approval of a provider, opportunity for hearing shall be accorded as provided in the contested case procedures set out in ORS 183.413 through 183.500 and the Attorney General's Model Rules of Procedure for Contested Cases.

(2) If the provider does not request a hearing, termination shall be effective 21 days after the termination notice.

(3) The cancellation of the provider's Certificate of Approval does not bar the Secretary of State from instituting or continuing an investigation or disciplinary proceedings.

(4) Upon completion of the disciplinary proceedings, the Secretary of State may enter an order finding the facts and stating the conclusion that the fact would or would not have constituted grounds for termination of the Certificate of Approval if the Certificate of Approval had still been in effect.

History

Statutory/Other Authority: ORS 194.325
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06

Or. Admin. R. 160-100-1150 Cancellation of Certificate of Approval

(1) An approved provider may cancel its Certificate of Approval by submitting a written notice of cancellation to the Secretary of State. Unless otherwise stated in the notice of cancellation, the effective date of the cancellation of the Certificate of Approval is 30 days after receipt of the notice of cancellation. The provider may confirm receipt by the Secretary of State by phone or e-mail.

(2) Within 30 days of the effective date of a cancellation of a Certificate of Approval, a provider must refund all fees to all individuals who paid to take an approved course from a provider, if the course is scheduled after the effective date of the cancellation.

History

Statutory/Other Authority: ORS 194.325
Statutes/Other Implemented: ORS 194.325
CORP 2-2013, f. 8-30-13, cert. ef. 9-1-13
CORP 3-2006, f. & cert. ef. 6-19-06