Tenn. Comp. R. & Regs. 1360 — Department of State

Chapter 1360-01-01 Notice of Rulemaking

Tenn. Comp. R. & Regs. 1360-01-01-.01 NOTICE TO SECRETARY OF STATE OF TENNESSEE

(1) Whenever an agency is required by law to hold a public hearing as part of its rulemaking process and is required to transmit a notice of such rulemaking hearing to the Secretary of State for publication in the Tennessee Administrative Register, that notice shall be filed using form SS-7037 prescribed by this chapter and made available on the Secretary of State’s web site. The general information required for all notices shall be added by the agency on the prescribed form.

History

Authority: T.C.A. § 4-5-203.
Administrative History: (For history prior to June 22, 1984, see pages 1- 1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed July 29, 2008; effective November 28, 2008.

Tenn. Comp. R. & Regs. 1360-01-01-.02 PAPER SIZE AND MARGINS

(1) All notices of rulemaking hearings filed with the Secretary of State must be on white paper, size eight and one-half by eleven inches. The margins of this form will be preselected by the Secretary of State. After the form is completed it can be printed and copies made for submission to the Secretary of State.

History

Authority: T.C.A. § 4-5-203.
Administrative History: (For history prior to June 22, 1984, see pages 1- 1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed July 29, 2008; effective November 28, 2008. Amendments filed July 24, 2020; effective October 22, 2020.

Tenn. Comp. R. & Regs. 1360-01-01-.03 FORMS AND COMPLETION OF FORMS

(1) A Notice of Rulemaking Hearing filed with the Secretary of State will require the following:

(a) Three (3) original forms (SS-7037) documents with original signatures in hard copy or a single PDF copy of the signed original form (SS-7037). Signatures may be affixed electronically.

The following guidelines apply to the document:

(i) The documents must be clean and legible copies.

(ii) Use of capitals and lower case in all text. No “all caps.”

(iii) No bold, underline or italic fonts.

(iv) No auto numbering on paragraphs in text of rule.

(v) Do not use the MS Word function “track changes.”

(vi) No unneeded punctuation. Example: No comma between rule number and

rule title or apostrophe after agency name in main heading.

(vii) Use T.C.A. for Tennessee Code Annotated.

(viii) No hard return at the end of lines within a paragraph. Use only at end of paragraph.

(ix) Use the enter key to put space between paragraphs. Do not use paragraph formatting before or after the paragraph to create space. This function does not work with style pallets.

(x) Use hyphens on keyboard with no spaces between hyphen and rule numbers. Variations can cause search options to overlook target.

(xi) No single digits on rule and chapter numbers. Place “0” with single numbers. Example: 1200-5-5 = 1200-05-05.

(xii) Font style shall be Arial and point size 10.

(b) A digital version of the original form (SS-7037) shall be submitted contemporaneously with the filing.

The file must be transmitted to the Division of Publications in MS Word format via email to publications.information@tn.gov.
The email must include the following information within the body of the email:

(i) Chapter and rule number.

(ii) Name, address, telephone number and email of the person who is responsible for the contents of the filing.

(iii) Files not required by the Secretary of State should not be included within the email.

(iv) Electronic submission of forms shall not be encrypted. Any transmission of encrypted material to the Secretary of State pursuant to the Uniform Administrative Procedures Act will be rejected and returned to the agency as noncompliant.

(2) Page numbering – Page one of all filings will be on the prescribed form. All additional pages will be numbered sequentially at the bottom, middle of the page.

(3) The substance of the proposed rules(s) shall be added to the form at the designated place.

The text must be formatted according to the rules of the Secretary of State (see Rule 1360- 01-02).

(4) The Secretary reserves the right to reject any filing not in compliance with these rules or other rules pertaining to rulemaking.

(5) A completed sample of form SS-7037 can be found at the Secretary of State’s web site.

History

Authority: T.C.A. § 4-5-203.
Administrative History: (For history prior to June 22, 1984, see pages 1- 1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Amendment filed April 16, 1990; effective July 29, 1990. Amendment filed June 12, 1995; effective October 27, 1995. Amendment filed August 17, 1998; effective December 29, 1998. Repeal and new rule filed July 29, 2008; effective November 28, 2008. Emergency rules filed March 18, 2020; effective through September 14, 2020. Emergency rules expired effective September 15, 2020, and the rules reverted to their previous statuses. Emergency rules filed September 16, 2020; effective through March 15, 2021. Amendments filed July 24, 2020; effective October 22, 2020.

Tenn. Comp. R. & Regs. 1360-01-01-.04 REPEALED

History

Authority: T.C.A. § 4-5-203.
Administrative History: Original rule filed June 12, 1995; effective October 27, 1995. Repeal filed July 29, 2008; effective November 28, 2008.

Tenn. Comp. R. & Regs. 1360-01-01-.05 REPEALED

History

Authority: T.C.A. § 4-5-203.
Administrative History: (For history prior to June 22, 1984, see pages 1- 1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Amendment renumbering rule (formerly 1360-01-01-.04) filed June 12, 1995; effective October 27, 1995. Repeal filed July 29, 2008; effective November 28, 2008.

Chapter 1360-01-02 Filing of Rules

Tenn. Comp. R. & Regs. 1360-01-02-.01 PURPOSE

It is the intent of the Secretary of State to simplify the rulemaking process for state agencies with rulemaking authority by incorporating a series of forms that shall be completed by the agency and submitted to the Secretary. These forms are furnished at the Secretary of State web site. The agency is then to go to the Publications Division within the site and follow the instructions. These forms are to be completed by computer and printed for submission to the Secretary of State.

History

Authority: T.C.A. §§ 4-5-202 and 4-5-206.
Administrative History: (For history prior to June 22, 1984, see pages 1-1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed July 29, 2008; effective November 28, 2008. Amendments filed July 24, 2020; effective October 22, 2020.

Tenn. Comp. R. & Regs. 1360-01-02-.02 DEFINITIONS OF RULES

The following are definitions of types of rules that can be filed with the Secretary of State pursuant to the Uniform Administrative Procedures Act.

(1) The term “rules” shall mean rulemaking hearing rules, proposed rules, and emergency rules.

Each term mentioned is applicable to its own form.

(2) Form SS-7039 is applicable to “rulemaking hearing rules.” These are rules filed by an agency after a rulemaking hearing is conducted pursuant to T.C.A. § 4-5-202.

(3) Form SS-7038 is applicable to “proposed rules.” These are rules filed by an agency without a rulemaking hearing pursuant to T.C.A. § 4-5-205.

(4) Form SS-7040 is applicable to “emergency rules.” These are filed by an agency pursuant to T.C.A. § 4-5-208(a), where:

(a) An immediate danger to the public health, safety or welfare exists, and the nature of this danger is such that the use of any other form of rulemaking authorized by this

chapter would not adequately protect the public; or (b) The rule only delays the effective date of another rule that is not effective; or (c) It is required by the constitution or court order; or (d) It is required by an agency of the federal government and adoption of the rule through ordinary rulemaking procedure described in this chapter might jeopardize a federal program or funds; or (e) The agency is required by an enactment of the general assembly to implement rules within a prescribed period of time that precludes utilization of rulemaking procedures described elsewhere in this chapter for the promulgation of permanent rules.

(5) Reserved

History

Authority: T.C.A. §§ 4-5-202, 4-5-206, 4-5-208, 4-5-209, and Public Chapter 566 of the 106 th General Assembly.
Administrative History: (For history prior to June 22, 1984, see pages 1-1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed July 29, 2008; effective November 28, 2008. Amendments filed August 24, 2009; effective January 29, 2010.

Tenn. Comp. R. & Regs. 1360-01-02-.03 PAPER SIZE, MARGINS AND NUMBERING OF RULES

(1) All rules filed with the Secretary of State must be on white paper, size eight and one-half by eleven inches. The margins of this form will be preselected by the Secretary of State. After the form is completed it can be printed and copies made for submission to the Secretary of State.

(2) Control Number. A four-digit number has been assigned to each state agency authorized by law to make rules or determine contested cases. This control number will be used on all rules filed for publication with the Secretary of State pursuant to the Administrative Procedures Act, Tennessee Code Annotated Title 4, Chapter 5.

(3) Numbering Rules (a) Where the agency is small and its functions are limited to one particular area, the second number designating the major division of primary subject matter may be dispensed with.

Example: 1200-06-01-.01 1200 06 01 .01 Control number Division Chapter Rule (4) Rule Structure. All separate parts of a rule shall be designated by a letter or number. Rules shall be organized, numbered and referenced according to the following outline form:

(1) Paragraph (a) subparagraph 1. part (i) subpart (I) item I. subitem A. section (A) subsection

History

Authority: T.C.A. §§ 4-5-206, 4-5-220, and 4-5-221.
Administrative History: (For history prior to June 22 1984, see pages 1-1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Amendment filed June 12, 1995; effective October 27, 1995. Repeal and new rule filed July 29, 2008; effective November 28, 2008. Amendments filed July 24, 2020; effective October 22, 2020.

Tenn. Comp. R. & Regs. 1360-01-02-.04 FORMS AND THE COMPLETION OF FORMS

The forms supplied by the Secretary of State through the web site shall be completed by the rule filer and the following guidelines are to be followed:

(1) A Proposed Rulemaking Form, Rulemaking Hearing Form and an Emergency Rule Filing Form shall require the following:

(a) Three (3) original forms documents with original signatures in hardcopy or a single PDF copy of the signed original form document. Signatures may be affixed electronically.

The following guidelines apply to the document:

(i) The documents must be clean and legible.

(ii) Use of capitals and lower case in all text. No “all caps.”

(iii) No bold, underline or italic fonts.

(iv) Do not use auto-numbering on paragraphs in the text of rule.

(v) Do not use the MS Word function “track changes.”

(vi) Do not use unneeded punctuation. Example: No comma between the rule number and rule title or apostrophe after agency name in main heading.

(vii) Use T.C.A. for Tennessee Code Annotated.

(viii) No hard return at the end of lines within a paragraph. Use at the end of a paragraph.

(ix) Use the enter key to put space between paragraphs. Do not use paragraph formatting before or after the paragraph to create space. This function does not work well with style pallets.

(x) Use hyphens on keyboard with no space between hyphen and rule numbers. Variations can cause search options to overlook target.

(xi) No single digits on rule and chapter numbers. Place “0” with single numbers. Example: 1200-5-5 = 1200-05-05.

(xii) Responses to comments are not part of the Government Operations Committee statement. Compose responses on separate sheet of paper. If there were no comments to respond to, draft a memo stating that fact.

(xiii) Font style for all submissions shall be Arial and point size 10.

(b) A digital version of the original form shall be submitted contemporaneously with the filing.

The file must be transmitted to the Division of Publications in MS Word format via email to publications.information@tn.gov. Contact the Division of Publications if unsure about software requirements.
The email must include the following information within the body of the email:

(i) Chapter(s) and rule number(s).

(ii) Name, address, telephone number and email address of the person who is responsible for the contents of the filing.

(iii) Files not required by the Secretary of State should not be included within the email.

(2) Page numbering – Page one of all filings will be on the prescribed form. All additional pages will be numbered sequentially at the bottom, middle of the page.

(3) Each rule filed with the Secretary of State shall clearly show at the bottom of that rule the statutory authority (rulemaking as well as substantive) for each rule. Where a particular group of rules has the same statutory authority, then that authority need only be cited once at the end of that group of rules.

(4) New rules and amendments may be filed together with the same set of signatures so long as they are grouped and separated by the headings “New Rules” and/or “Amendments.” When filing multiple amendments involving more than one rule and/or chapters within one document, the amendments must be in numeric order.

History

Authority: T.C.A. §§ 4-5-202, 4-5-202(c), 4-5-203(e), 4-5-206, 4-5-206(d), 4-5-208, and 4-5-209.
Administrative History: (For history prior to June 22, 1984, see pages 1-1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Amendment filed June 12, 1995; effective October 27, 1995. Amendment filed August 17, 1998; effective December 29, 1998. Repeal and new rule filed July 29, 2008; effective November 28, 2008. Amendment filed August 24, 2009; effective January 29, 2010. Amendment filed October 20, 2011; effective March 30, 2012. Emergency rules filed March 18, 2020; effective through September 14, 2020. Emergency rules expired effective September 15, 2020, and the rules reverted to their previous statuses. Emergency rules filed September 16, 2020; effective through March 15, 2021. Amendments filed July 24, 2020; effective October 22, 2020.

Tenn. Comp. R. & Regs. 1360-01-02-.05 ADDITIONAL REQUIREMENTS

(1) Responses to comments (a) When filing rulemaking hearing rules, a document containing responses to comments submitted at the rulemaking hearing must accompany the rule filing as prescribed in T.C.A. § 4-5-222. One copy of the responses is required to be filed with the filing. This requirement states only agency responses to comments are required. Letters of inquiry from parties questioning the rule will not be accepted. These comments can be summarized.

(b) When no comments are received at the hearing then there will be no responses by the agency. In this case the agency should draft a memorandum, or provide a statement on the filing, stating such and send to the Secretary of State with the filing. Minutes of the meetings will not be accepted.

(2) Joint Government Operations Committee Legislative Oversight (a) The Secretary of State will forward the rule filings and the information submitted pursuant to T.C.A. § 4-5-225(i)(1) through (9) to the Government Operations Committee. This enables the required information to be received by the committee at the same time as the rule filings, thus facilitating the committee’s review of the rule filings.

(3) Regulatory Flexibility Act (a) Pursuant to the Regulatory Flexibility Act all agencies shall submit a statement that will accompany the rule filing with relation to the impact on small businesses.

(b) Requirements of this section can be found in Public Chapter 464 of the Acts of 2007.

(c) If applicable, the statement shall be added to the rule filing document after the signature of the Secretary for publication in the Tennessee Administrative Register by the Secretary of State.

(4) “Redline” Copy of Rule Filing (a) Pursuant to Public Chapter 741 of the 105 th General Assembly, all agencies shall submit a “redline” version of the filing in addition to the three (3) copies required by the Secretary of State. This copy will be forwarded to the General Assembly by the Secretary of State for review by the appropriate committees. When submitting the electronic copy via email, submit two files—one in PDF format including all signatures and one in redline format. Do not submit one file in redline format.

(b) “Redline” form is a copy of the filing that shall “denote all amendments to an existing

rule by placing a line through all language to be deleted and by including all language to be added in brackets or underlined or by another clearly recognizable method that indicates the changes made to the rule.”

History

Authority: T.C.A. §§ 4-5-202, 4-5-206, 4-5-222, and Public Chapters 464 and 741 of the 105 th General Assembly.
Administrative History: Original rule filed June 12, 1995; effective October 27, 1995. Amendment filed August 17, 1998; effective December 29, 1998. Repeal and new rule filed July 29, 2008; effective November 28, 2008. Amendment filed May 9, 2012; effective October 29, 2012. Emergency rules filed March 18, 2020; effective through September 14, 2020. Emergency rules expired effective September 15, 2020, and the rules reverted to their previous statuses. Emergency rules filed September 16, 2020; effective through March 15, 2021. Amendments filed July 24, 2020; effective October 22, 2020.

Tenn. Comp. R. & Regs. 1360-01-02-.06 FORMS FOR RULEMAKING

The following forms are required for rulemaking. These forms can be found at the Secretary of State’s web site.

(1) Proposed rule filing form is SS-7038.

(2) Rulemaking hearing rule filing form is SS-7039.

(3) Emergency rule filing form is SS-7040.

History

Authority: T.C.A. § 4-5-206 and Public Chapter 566 of the 106 th General Assembly.
Administrative History: (For history prior to June 22, 1984, see pages 1-1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Amendment renumbering rule (formerly 1360-01-02-.05) filed June 12, 1995; effective October 27, 1995. Repeal and new rule filed July 29, 2008; effective November 28, 2008. Amendment filed August 24, 2009; effective January 29, 2010. Amendments filed July 24, 2020; effective October 22, 2020.

Tenn. Comp. R. & Regs. 1360-01-02-.07 RESERVATION OF RIGHT OF REJECTION BY THE SECRETARY OF STATE

The Secretary of State reserves the right to reject agency submittals for noncompliance with these rules.

History

Authority: T.C.A. §§ 4-5-202 and 4-5-206.
Administrative History: Original rule filed July 29, 2008; effective November 28, 2008.

Chapter 1360-01-03 Withdrawal of Rules, Stays of Effective Dates, and Withdrawal of Stay of Effective Date

Tenn. Comp. R. & Regs. 1360-01-03-.01 DEFINITIONS

(1) Withdrawal of Rules – An agency may, after filing, withdraw a rule prior to the effective date of the rule. The rule withdrawal shall take effect upon delivery of written notification of such withdrawal to the Department of State.

(2) Stay of Effective Date of Rules – Prior to the effective date of a rule the agency proposing the

rule may stay the running of the ninety (90) day period for a duration not to exceed seventy (75) days. Such stay shall become effective at such time as the agency files written notice with the Secretary of State and shall specify the effective length of the stay.

(3) Withdrawal of Stay of Effective Date – Prior to its expiration, the stay may be withdrawn by the agency. Withdrawal or expiration of the stay shall reactivate the running of the balance of the ninety (90) day period that remained upon the date the stay was filed.

History

Authority: T.C.A. §§ 4-5-206, 4-5-214, 4-5-215, and Public Chapter 566 of the 106 th General Assembly.
Administrative History: (For history prior to June 22, 1984, see pages 1-1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed July 29, 2008; effective November 28, 2008. Amendments filed August 24, 2009; effective January 29, 2010.

Tenn. Comp. R. & Regs. 1360-01-03-.02 FORMS AND THE COMPLETION OF FORMS

The forms supplied by the Secretary of State through the web site shall be completed by the rule filer and the following guidelines are to be followed.

(1) A Notice of Withdrawal of Rules, Notice of Stay of Effective Date, or Notice of Withdrawal of Stay of Effective Date (Form Number SS-7041) shall require the following:

(a) Three (3) original forms documents with original signatures in hard copy or a single PDF copy of the signed original form document. Signatures may be affixed electronically.

The following guidelines apply to the document:

(i) The documents must be clean and legible.

(ii) Use of capitals and lower case in all text. No “all caps.”

(iii) No bold, underline or italic fonts.

(iv) Do not use auto-numbering on paragraphs in the text of rule.

(v) Do not use the MS Word function “track changes.”

(vi) Do not use unneeded punctuation: Example: No comma between the rule number and rule title or apostrophe after agency name in main heading.

(vii) Use T.C.A. for Tennessee Code Annotated.

(viii) No hard return at the end of lines within a paragraph. Use at the end of a paragraph.

(ix) Use the enter key to put space between paragraphs. Do not use paragraph formatting to add space before or after the paragraph. This function does not work well with style pallets.

(x) Use hyphens on keyboard with no space between hyphen and rule numbers. Variations can cause search options to overlook target.

(xi) No single digits on rule and chapter numbers. Place “0” with single numbers. Example: 1200-5-5 = 1200-05-05.

(xii) Font style for all submissions shall be Arial and point size 10.

(b) A digital version of the original form shall be submitted contemporaneously with the filing.

The file must be transmitted to the Division of Publications in MS Word format via email to publications.information@tn.gov. Contact the Division of Publications if unsure about software requirements.
The email must include the following information within the body of the email:

(i) Chapter(s) and rule number(s).

(iv) Name, address, email address and telephone number of the person who is responsible for the contents of the filing.

(v) Files not required by the Secretary of State should not be included within the email.

(vi) Electronic submission of forms shall not be encrypted. Any transmission of encrypted material to the Secretary of State pursuant to the Uniform Administrative Procedures Act will be rejected and returned to the agency as noncompliant.

(2) Page numbering – Page one of all filings will be on the prescribed form. All additional pages will be numbered sequentially at the bottom, middle of the page.

History

Authority: T.C.A. §§ 4-5-202, 4-5-206, 4-5-214, and 4-5-215.
Administrative History: (For history prior to June 12, 1984, see pages 1-1.001.) Repeal and new rule filed May 23, 1984 effective June 22, 1984. Repeal and new rule filed July 29, 2008; effective November 28, 2008. Amendment filed May 9, 2012; eff ective October 29, 2012. Emergency rules filed March 18, 2020; effective through September 14, 2020. Emergency rules expired effective September 15, 2020, and the rules reverted to their previous statuses. Emergency rules filed September 16, 2020; effective through March 15, 2021. Amendments filed July 24, 2020; effective October 22, 2020.

Tenn. Comp. R. & Regs. 1360-01-03-.03 RESERVATION OF RIGHT OF REJECTION BY THE SECRETARY OF STATE

The Secretary of State reserves the right to reject agency submittals for noncompliance with these rules.

History

Authority: T.C.A. §§ 4-5-202 and 4-5-206.
Administrative History: (For history prior to June 22, 1984, see pages 1-1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Amendment filed April 16, 1990; effective July 29, 1990. New rule filed June 12, 1995; effective October 27, 1995. Repeal and new rule filed July 29, 2008; effective November 28, 2008.

Tenn. Comp. R. & Regs. 1360-01-03-.04 REPEALED

History

Authority: T.C.A. §§ 4-5-202 and 4-5-206.
Administrative History: (For history prior to June 22, 1984, see pages 1-1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal filed July 29, 2008; effective November 28, 2008.

Chapter 1360-01-04 Repealed

Tenn. Comp. R. & Regs. 1360-01-04-.01 REPEALED

History

Authority: T.C.A. §§4-5-202.
Administrative History: (For history prior to June 22, 1984, see pages 1- 1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal filed July 29, 2008; effective November 28, 2008.

Tenn. Comp. R. & Regs. 1360-01-04-.02 REPEALED

History

Authority: T.C.A. §§4-5-202.
Administrative History: (For history prior to June 22, 1984, see pages 1- 1.001.) Repeal and new rule filed May 23, 1984 effective June 22, 1984. Repeal filed July 29, 2008; effective November 28, 2008.

Tenn. Comp. R. & Regs. 1360-01-04-.03 REPEALED

History

Authority: T.C.A. §§4-5-202.
Administrative History: (For history prior to June 22, 1984 see pages 1-1. 001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Amendment filed June 12, 1995; effective October 27, 1995. Repeal filed July 29, 2008; effective November 28, 2008.

Tenn. Comp. R. & Regs. 1360-01-04-.04 REPEALED

History

Authority: T.C.A. §§4-5-202.
Administrative History: (For history prior to June 22, 1984, see pages 1- 1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal filed July 29, 2008; effective November 28, 2008.

Chapter 1360-01-05 Repealed

Tenn. Comp. R. & Regs. 1360-01-05-.01 REPEALED

History

Authority: T.C.A. §4-5-202.
Administrative History: (For history prior to June 22, 1984, see pages 1- 1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal filed July 29, 2008; effective November 28, 2008.

Tenn. Comp. R. & Regs. 1360-01-05-.02 REPEALED

History

Authority: T.C.A. §4-5-202.
Administrative History: (For history prior to June 21, 1984, see pages 1- 1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal filed July 29, 2008; effective November 28, 2008.

Tenn. Comp. R. & Regs. 1360-01-05-.03 REPEALED

History

Authority: T.C.A. §4-5-202.
Administrative History: (For history prior to June 22, 1984 see pages I - I. 001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal filed July 29, 2008; effective November 28, 2008.

Tenn. Comp. R. & Regs. 1360-01-05-.04 REPEALED

History

Authority: T.C.A. §4-5-202.
Administrative History: (For history prior to June 22, 1984 see pages I - 1.001.) Repeal and new rule filed May 23, 1984; effective June 22, 1984. Repeal filed July 29, 2008; effective November 28, 2008. -- 1 of 1 --

Chapter 1360-01-06 Repealed

Tenn. Comp. R. & Regs. 1360-01-06 Repealed

RULES

OF THE TENNESSEE DEPARTMENT OF STATE

1360—1—6 REPEALED.

Authority: T.C.A. §4—5—203. Administrative History: Original chapter filed February 25, 1976; effective March 25, 1976. Repeal filed May 23, 1984; effective June 22, 1984.

Chapter 1360-01-07 Redesignated as 1360-04-01

Tenn. Comp. R. & Regs. 1360-01-07 Redesignated as 1360-04-01

RULES

OF THE TENNESSEE DEPARTMENT OF STATE

CONTESTED CASES BEFORE STATE ADMINISTRATIVE AGENCIES

1360—1—7 REDESIGNATED AS 1360-4-1.

Authority: T.C.A. §4-5-219 and 4-5-321. Administrative History: Original chapter filed November 22, 1978; effective January 8, 1979. Redesignated as 1360-4-1 filed May 23, 1984; effective June 22, 1984. -- 1 of 1 --

Chapter 1360-02-01 Introduction

Tenn. Comp. R. & Regs. 1360-02-01-.01 ADOPTION AND PROMULGATION

The following rules and regulations for the purchase and use of punch card voting systems in the State of Tennessee are hereby adopted and promulgated by the Coordinator of Elections of the State of Tennessee and approved by the Tennessee Secretary of State under the

authority of T.C.A. §2—11—201(c).

History

Authority: T.C.A. §§2—910, 2—11—201(c) .
Administrative History: Original rule filed April 19, 1974; effective May 19. 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-01-.02 INTENT OF REGULATIONS

(1) It is the intent of these regulations to provide for the use of punch card voting devices and ballots in the State of Tennessee in such a manner that:

(a) The freedom and purity of the ballot is safeguarded;

(b) The several county election commissions in this state shall have the option, with the approval of the Coordinator of Elections and the State Election Commission, to use alternate electoral devices, the regulation of which is not presently provided in the Election Code of the state of Tennessee as embodied in Chapter 740, Public Acts of the General Assembly of Tennessee 1972 (Title 2, Tennessee Code Annotated).

(d) A uniform procedure for the use of a punch card system of voting will be in use throughout the State of Tennessee;

(e) Maximum participation by all citizens in the electoral process will be encouraged; and (f) The total of votes cast will accurately reflect the will of the majority of voters voting in any given election.

History

Authority: T.C.A. §§2—901, 2—11—201(c) .
Administrative History: Original rule filed April 19, 1974; effective May 19. 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-01-.03 STATE ELECTION CODE GOVERNS

The Election Code of the State of Tennessee as embodied in Chapter 740, Public Acts of the General Assembly of Tennessee, 1972 (Title 2, Tennessee Code Annotated), as amended, shall govern all elections conducted with the use of punch card voting devices and ballots except as otherwise necessarily modified by these regulations; provided, however, that the ballots herein provided for are not and shall not be construed to be, ‘paper ballots’ as that term is used in Title 2, Chapter 1—20, as amended, and the provisions of said Title with respect to paper ballots shall not apply to ballots covered by these regulations except as herein expressly provided otherwise. -- 1 of 2 --

History

Authority: T.C.A. §§2—910, 2—11—201(c) .
Administrative History: Original rule filed April 19, 1974; effective May 19. 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-01-.04 REGULATIONS HAVE FORCE OF LAW

These regulations shall have the force of law until otherwise adopted, modified, amended, or repealed by the General Assembly of the State of Tennessee.

History

Authority: T.C.A. §§2—910, 2—11—201(c) .
Administrative History: Original rule filed April 19, 1974; effective May 19. 1974. Repeal and new rule filed August 19, 994; effective December 29, 1994. -- 2 of 2 --

Chapter 1360-02-02 State Certification

Tenn. Comp. R. & Regs. 1360-02-02-.01 CERTIFICATION OF MANUFACTURERS

(1) No manufacturer of punch card voting devices may be certified in the State of Tennessee until it has proven to the satisfaction of the Coordinator of Elections of the State of Tennessee and to the Tennessee State Election Commission that (a)It has a history of ethical conduct in the sales and use of its equipment;

(b) It is financially responsible;

(d)It can affirmatively demonstrate that it has provided adequate assistance to jurisdictions purchasing its equipment; and (e)It agrees that it will contract with each jurisdiction in the State of Tennessee purchasing its voting devices that it will provide adequate professional assistance to such jurisdictions for not less than the first two county-wide elections using such devices.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-02-.02 CERTIFICATION OF VOTING MACHINES

(1) No punch card voting machines or device will be approved for use in the State of Tennessee that does not:

(a) Provide facilities for voting for candidates at both primary and general elections or at nonpartisan elections or at a combination of a nonpartisan and partisan primary or general election;

(b) Permit a voter to vote for any person for any office, whether or not nominated as a candidate by a political party;

(d) Permit a voter to vote for any candidate or on any special measure for whom or on which such voter is lawfully entitled to vote;

(e) Provide sufficient illumination to enable the voters while in the voting booth to read the ballot labels and see the ballot card;

(f) Permit each voter, at presidential elections, by one punch or mark to vote for the candidates of any party for president, vice-president, and their presidential electors;

(g) Clearly indicate, through the use of similarly colored ballot pages and ballot cards, proper differentiation and identification of the various primaries being voted on in any election.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-02-.03 CERTIFICATION OF VOTING MACHINES USING COMPUTERS TO TALLY

VOTES.

(1)No punch card voting device using electronic computers or automatic tabulating devices for the tabulating of the results of any election shall be certified in the State of Tennessee unless such computers or tabulating devices may be programmed to:

(a) Reject all votes for any office or measure when the number of votes exceeds the number which the voter is entitled to cast;

(b) Reject all votes for an office or measure for which the voter is not entitled to vote;

(c) Report the results by precinct for each office and each measure properly appearing on the ballot and periodically report cumulative totals throughout the counting procedure; and (d) Accept, in any order, general election ballots and primary ballots for any party appearing on such ballots and accurately tally the results of each such primary and general election individually. By this requirement, it is meant that the tallying of one election need not be completed before the next election is tallied and that general election ballots and majority party ballots and minority party ballots need not be segregated before being fed into the computer or automatic tallying device.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-02-.04 WITHDRAWAL OF CERTIFICATION

Certification for any county may be withdrawn if, in the opinion of the Coordinator of Elections of the State of Tennessee or in the opinion of the Tennessee State Election Commission, a material violation of these Regulations has occurred in any election. This Section shall not be construed to encompass harmless errors of action or judgment or violations not affecting in any way, in the opinion of the Coordinator or the Commission, the result of any election. County election commissions are instructed, however, to train all workers, in their duties and responsibilities and to enforce their observance.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Chapter 1360-02-03 Purchase of Punch Card Devices

Tenn. Comp. R. & Regs. 1360-02-03-.01 PURCHASE BY COUNTIES

No county election commission or county governing body shall purchase any punch card voting device not certified by the Coordinator of Elections with the approval of the State Election Commission. No county election commission and no county governing body shall purchase any punch card voting device certified by the Coordinator of Elections with approval of the State Election Commission until application has been made to, and approval given by, the Coordinator of Elections and the State Election Commission.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-03-.02 INVESTIGATION BY COUNTY ELECTION COMMISSIONS

County Election Commission shall have the responsibility for investigating the feasibility, necessity, or desirability of the use of punch card voting devices within their respective counties. No such voting machine shall be purchased by any county governing body unless and until such machines have been certified for use by such county’s election commission. No such contract for purchase or lease shall be entered into until it is determined by the county election commission that such contract meets the minimum requirements of these regulations. Such county election commission shall have authority to add such other requirements to such contract as, in its discretion, may seem necessary or desirable for its county.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-03-.03 STATE FINANCING

Any punch card voting devices certified by the Coordinator of Elections with the approval of the State Election Commission shall qualify for state financing under T.C.A.§§2—9—112 through 2—9—114.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-03-.04 CONTRACT REQUIREMENTS

(1) No county election commission and no county governing body shall enter into a contract for the purchase, lease, or lease-purchase of any punch card voting machines or devices unless such contract provides for adequate assistance by such manufacturer or sales agency to the county election commission for not less than the first two county-wide elections conducted with the use of such punch card voting machines or devices. The manufacturers or sales agency shall agree to provide, as minimum assistance: educational materials, including films, newspaper copy, brochures, press kits, and radio scripts; on-site computer operations training; written and personal instructions to counting center personnel; ballot layout forms; maintenance manuals; design of ballot pages and ballot cards; two separate and different program decks and adequate personnel to provide all such assistance. -- 1 of 2 -- (2) One copy of every such contract entered into shall be supplied to the Coordinator of Elections of the State of Tennessee and one copy of every such contract shall be forwarded to the Chairman of the Tennessee Election Commission.

Tenn. Comp. R. & Regs. 1360-02-03-.05 COMPUTER AVAILABILITY

No county election commission or county governing body may purchase any punch card voting devices or machines until computer availability is assured and an expert computer programmer is available. Such assurance and availability shall not be evidenced by written contract: provided, however, that computer availability shall not be a prerequisite where the county purchases or leases from the manufacturer of the punch card voting machines, or from another electoral jurisdiction using identical voting equipment, an electronic tabulator for its own individual and exclusive use; and provided, further, that the expert computer programmer (1) need not be a resident of the County, and (2) may be a representative of the manufacturer.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994. -- 2 of 2 --

Chapter 1360-02-04 Ballot Specifications

Tenn. Comp. R. & Regs. 1360-02-04-.01 BALLOT PAGE AND BALLOT CARD COLORS

(1) The following ballot page and ballot card colors shall be used in all elections in the State of Tennessee using punch card voting machines:

(a) General Elections (when no primary is held simultaneously) - Buff (b) Democratic Primary - White or Democratic Primary plus General Election - White (c) Republican Primary - Blue or Republican Primary plus General Election - Blue (d) Third Party Primary - Green or Third Party Primary plus General Election - Green

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-04-.02 DUPLICATE BALLOTS

All duplicate ballots used for duplicating damaged ballots shall have the word “DUPLICATE” printed in large letters across the face of each such ballot.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-04-.03 NUMBERS TO BE PRINTED ON BALLOT CARDS

All ballot cards shall contain numbers on the face thereof to identify the pre-scored blocks numerically or by location.

History

Authority: T.C.A.§§2—910, 2—7—117 and 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994. -- 1 of 2 --

Tenn. Comp. R. & Regs. 1360-02-04-.04 BALLOT STUBS

All ballot cards, including demonstration ballots, used in the State of Tennessee shall have one stub, which shall contain the serial number of the ballot.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-04-.05 BALLOTS TO BE SERIALLY NUMBERED

All ballots shall be serially numbered and the county election commission shall, from election to election, vary the serial numbers sent to each precinct within the county on a random basis. The serial numbers assigned to each precinct shall not be made public prior to the date of election nor shall any officer of election be apprised of the serial numbers he will receive prior to his picking up his election supplies.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-04-.06 PRECINCT AND PARTY DESIGNATION

(1) All ballot cards shall have the precinct designation pre-punched by the manufacturers thereof. The precinct designation for each precinct in the county using the punch card voting system shall be varied on such pre-punched cards from election to election.

(2) All ballot cards to be used in a primary election shall have the party designation pre-punched by the manufacturer thereof so that the ballot tabulator or computer will reject any votes cast thereon in another primary.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-04-.07 BALLOT PAGE ARRANGEMENT

The arrangement of the offices and candidates on the ballot pages shall conform to the regulations separately promulgated by the Coordinator of Elections and the State Election Commission in accordance with T.C.A. §2—5—206(b)(2), and all such ballot page arrangements shall be submitted to the Coordinator of Elections for approval prior to the printing thereof as required by the said statute.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed June 4, 1974; effective Juky 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994. -- 2 of 2 --

Chapter 1360-02-05 Duties of County Election Commissions

Tenn. Comp. R. & Regs. 1360-02-05-.01 BALLOT TESTS

The respective county election commissions using the punch card voting machine shall design and order sufficient ballot pages and ballot cards to conduct each election. Such ballot pages and ballot cards, upon receipt, shall be subjected to a random test by the full commission to assure that all such ballot pages and all such ballot cards are accurately printed and accurately positioned. The ballot cards shall be placed under lock and key until distributed to the precincts.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-05-.02 MACHINE CARRIERS TO BE SEALED

The voting machine carriers shall be sealed by the county election commission after ballot pages for each election are inserted and before delivery to the polls. The officer of election shall be provided with a list of seal numbers and he shall inspect each carrier before setting up the voting machines to determine that the seal numbers are correct and the seals are intact. No machine shall be used in that election if the seal is damaged or the seal number is incorrect.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-05-.03 POLL OFFICIALS

(1) Each county election commission shall appoint under the provisions of T.C.A.§2—4—105, for each precinct, an officer of elections, three judges, not less than two registrars, a poll book clerk, a ballot clerk, an application clerk, and one or more demonstration clerks. In computerized counties utilizing a voter signature list, a poll book clerk and application clerk may be omitted. In precincts with 500 registered voters or less, the ballot clerk and the pollbook clerk may be the same person and the application clerk and the demonstration clerk may be the same person. One of the judges should be of the same political party as the officer of election and two of the judges should be of the opposite political party. One registrar shall represent the majority party in the State of Tennessee, and one registrar shall represent the minority party in the State of Tennessee. The election commission shall appoint all workers in each precinct as equally as possible between the two major parties in the State of Tennessee. This requirement of political affiliation shall govern all elections, except such primary elections held by only one political party, whether partisan in nature or not.

(2) The county election commission shall schedule, in advance of each election, a school for all workers at the polls. No person shall be certified to work at any poll on election day who has not previously attended a school. The county election commission may limit attendance at instructional meetings to only those persons who are inexperienced or otherwise need such training.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-05-.04 VOTER EDUCATION

The county election commission shall provide advance publicity through the media of newspapers, television, radio, and brochures on the method of voting on punch card voting machines. Such commissions shall endeavor to secure maximum publicity, education, and training for the voter prior to election day.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-05-.05 BALLOT BOXES

(1) Each election commission using the punch card voting machines shall provide to each precinct in the county a metal ballot box capable of being locked. The ballot box shall be equipped with an unlocked padlock and a plastic padlock seal. No two locks shall be opened by the same key and the keys shall be retained by the county election commission in a safe locked place inaccessible to any except the county election commission; provided, however, that the election commission may use a master key at the election counting center under appropriate safeguards.

(2) Each officer of election shall be admonished not to lock the ballot box until just prior to the opening of the polls and not before it has been emptied in the sight of all persons present just prior to opening the polls and not before it has been examined by all persons present. Thereupon each officer shall be instructed to lock and seal the ballot box. The ballot box shall not be opened by any person at any time during the day and shall be opened only at the counting center after the closing of the polls and only by the processing board or the reception board.

(3) The election commission shall provide with each ballot box a cover made of cardboard, or metal which shall lay over the top of the ballot box at all times when a voter is not depositing a ballot therein. Such cover shall be of light material and easily movable by the judge or judges of election responsible for the care or oversight of the ballot box.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-05-.06 COMPUTER USE

(1) The county election commission shall provide for the use of electronic computer capable of receiving and tallying all ballots cast using the punch card voting machine. The commission shall take adequate steps to insure that the program for each election is in its hands, and tested, at least seven (7) days prior to each such election. The commission shall further require that the following safeguards be instituted to completely clear the computer equipment before ballot processing commences and to insure that no other work is in process:

(a)Secure the operating system and the application program as one unit.

(b)Lock out unwarranted actions on the console and log all actions.

(c)Generate an operating system that does not include multi-programming capabilities.

(d)Physically lock out all unused input-output devices. This provision means that before beginning vote-tallying program testing or running on a computer also used for other purposes, all extraneous peripheral equipment should be physically disconnected. The erasure of memory locations that are to remain accessible to the system, except those minimally required to load a new operating system, if any, should be accomplished. Active measures should be undertaken to assure that any tapes or disks to be used that are supposed to be initially blank are actually blank (except for machine-readable inventory identifiers) and have no defects.

(e)Physically protect the master console or ballot tabulator after initial program loading. This shall mean that some person unanimously agreed upon by the county election commission shall stand guard over the said master console or ballot tabulator to prevent unauthorized tampering with it. Such person shall take the oath provided in T.C.A. §2—1—111.

(f)Require written certification to the Coordinator’s office by the registrar and county election commissioners that the foregoing actions were properly taken.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-05-.07 PROGRAM TEST AND AUDIT

(1) The county election commission shall arrange by contract with an independent firm of certified public accountants, or public accountants, to provide test ballots, the predetermined number of votes and results known only to the auditor. The auditor shall receive sufficient ballots from the election commission to design a ballot test in the tested precincts. All ballots used for testing purposes shall be recorded by the registrar and deleted from the official ballots to be used by the voters. The ballot information and candidate positions for each precinct shall be provided to the auditor by the registrar.

The county election commission shall perform a test of the ballot tabulating program according to the following procedures.

(2) The presence of all election commissioners in conducting these tests is mandatory; provided, however, in the absence of a member for good cause, the tests may be done in the presence of members of the minority and majority party.

(3) Test One (1) of the ballot tabulation program shall be of at least one precinct in each district selected at random by the auditor. These test ballots shall be delivered at least seven (7) days prior to the day of the election, in sealed envelopes to the county election commission. The correct results of each of the test ballots shall be in a separately sealed envelope.

(4) Test Two (2) of the ballot tabulation program shall be a random testing of Five (5) precincts in the county which were not part of test One (1). The second test program shall be run within one hour prior to the closing of the polls in the presence of the full county election commission and the accuracy of the program rechecked through such second set of simulated ballots in the same manner as the first test. Following each test, the computer shall be instructed to erase the test results from its memory bank so that such test results are not included in the report of the election. A printout shall be made to show that all candidates and measures have zero (000) balances.

(5) Test Three (3) of the ballot tabulation program shall be recertified after the completion of the tally for the total election using either the first or second test program, or both. Such final certification of the election program shall be done in the presence of all county election commissioners.

(6) The auditor shall be instructed to test all ballot positions for each office including over votes. After each test, the county election commission shall ensure that the test results are cleared from the tabulator memory.

(7) The county election commission shall be permitted to conduct any additional tests needed in the development of the ballot tabulation program.

(8) Within twenty-four (24) hours following the election, the election commission shall cause an audit of the election to be made by an independent firm of certified public accountants, or public accountants.

The auditor shall compare the number of signatures on the applications or the voter signature list with the number of ballot stubs, the number of ballots counted by the computer, and ballots issued per the reconciliation sheets in each of five (5) precincts picked at random by each of the five (5) commissioners.

(9) Within twenty-four hours following the election, the auditor may, at the discretion of the election commissions, run the voted ballots from any or all precincts.

(10) The County Election Commission, after completing the comparison of the results, shall make and certify the official tabulation and certification of results, showing both precinct and county totals. The certification report shall contain an oath by the election commissioners of certification, the office and issue report and the write-in report, if necessary.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Chapter 1360-02-06 Procedure Prior to Election

Tenn. Comp. R. & Regs. 1360-02-06-.01 ADDITIONAL REQUIREMENTS

In addition to all other requirements of Chapter 7 of Title 2 of the Election Code of the State of Tennessee (Section 2-7-101 et seq., Tennessee Code Annotated), the following sections of this Chapter and Chapters VII and VIII of these regulations shall govern election day activities in those counties in which punch card voting machines or devices are used.

History

Authority: T.C.A. §§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-06-.02 POLLING PLACE ARRANGEMENT

An approved arrangement for polling places is attached hereto as Figure 1.

History

Authority: T.C.A. §§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-06-.03 SIGNS DISPLAYED IN POLLING PLACES

In addition to all other signs required by law for display in each polling place, the county election commission shall provide to each precinct the following commercially printed signs:

(1) To be attached to the front of the ballot box or in a prominent place immediately above or below such ballot box the following sign: “PLEASE CHECK THE BACK OF YOUR BALLOT BEFORE DEPOSITING IN BALLOT BOX - REMOVE ALL HANGING BITS OF CARDBOARD.”

(2) To be placed in each voting booth: “USE STYLUS - PUNCH FIRMLY OPPOSITE CANDIDATE’S NAME - PUNCH STRAIGHT DOWN.”

(3) To be placed prominently above or below the demonstration machine: “DEMONSTRATION MACHINE - PLEASE STOP HERE.”

(4) To be placed above or below the poll book clerk, a very large sign, not less than thirty-six inches by twenty-four inches (36 x 24) in size: “WARNING! NO ONE BUT THE VOTER HIMSELF MAY TOUCH A VOTER’S BALLOT FOR ANY PURPOSE AFTER HE HAS RECEIVED IT.”

(5) To be placed over the ballot box slot immediately upon the last voter casting his ballot, the closing of the polls, and the spoiled ballot envelope having been sealed and deposited in the box, one and only one, heavy paper sign with a pressure adhesive or moisture-activated glue on the reverse side thereof, not less than 12 inches by 8 inches in size: “PASTE OVER TOP OF BALLOT BOX WHEN POLL IS CLOSED.” -- 1 of 2 --

Authority T.C.A.§§2—910, 2—11—201(c). Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-06-.04 DEMONSTRATION MACHINE AND APPLICATION FOR BALLOT TABLES

The officer of election shall place the demonstration machine or machines at a suitable location in the polling place, generally near the entrance to the polling place. The sign “DEMONSTRATION MACHINE - PLEASE STOP HERE” shall be hung prominently above or below such machines. As provided in T.C.A. §2—5—213, no machine may contain the names of or names similar to those of candidates in the election.

History

Authority: T.C.A. §§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-06-.05 LOCATION OF VOTING MACHINES; TESTS

The officer of election shall set up all voting devices at least 15 feet, if space permits, from the closest poll worker. The machines shall be not less than four (4) feet apart, one from the other. The officer of election and one judge from the opposite party shall test each machine by inserting a yellow demonstration ballot card into each device and attempting to punch each of the positions. If this cannot be done, the defective device shall not be placed into service, and the election commission shall be so notified immediately.

Authority T.C.A.§§2—910, 2—11—201(c). Administrative History: Original rule filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-06-.06 EXAMINATION, LOCKING AND SEALING OF BALLOT BOX

(1) At exactly three minutes prior to the opening of the polls, the officer of election shall call all persons present to witness the locking of the ballot box. He shall open the ballot box in the sight of all persons, shall turn it upside down to empty it, and shall ask each person present to look inside the box to verify that it is indeed empty. He shall then close, lock and seal the ballot box. The cover provided by the election commission shall then be placed over the slot and shall be removed by the judge in charge of the ballot box only to receive ballots from the voter.

(2) There shall be sufficient ballot boxes at each precinct, and such ballot box(es) shall receive the ballots, including write-in ballots, for the general election and all primary elections. It shall be the duty of the officer of election to insure that the ballot boxes are not left unattended by a judge at any time during the entire voting period.

History

Authority: T.C.A. §§2—910, 2—11—201(c).
Administrative History: Original rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-06-.07 VOTING MACHINE CHECKS

The voting machines must be checked frequently during the day to make sure that they are in proper working order and that the ballot label pages have not been marked or defaced during the process of voting. Any pencils or other instruments which might be used to punch the ballot cards should be removed. Voters are entitled to take sample ballots or other written memoranda into the voting booth with them but are not entitled to leave it in the voting booth when they depart. The officer of election and the judges shall check frequently during the day to remove all such sample ballots, fliers, or other paper items.

History

Authority: T.C.A. §§2—910, 2—11—201(c).
Administrative History: Original rule filed August 19, 1994; effective December 29, 1994. -- 2 of 2 --

Chapter 1360-02-07 Procedure During Election

Tenn. Comp. R. & Regs. 1360-02-07-.01 VOTER DEMONSTRATION

(1) After the voter enters the polls, he shall be given a voting demonstration upon request. The demonstration clerk may be a votomatic judge or any other official designated by the Officer of election. The demonstration clerk shall show the voter how to punch the ballot card. He shall use a new demonstration card for each voter. He should ask each voter to punch the demonstration ballot at least once so that faulty punching techniques can be corrected prior to the voter being issued his official card. The following instructions with a demonstration of each point, should be substantially as follows:

(a)“Let me show you how to vote on the voting device. We want to be sure that you understand how this voting device is used.”

(b)“Insert the ballot card and place the slots over the red pins (demonstrate). You cannot punch the ballot card until the ballot card is in the correct position.”

(c)“Take the stylus and, holding it straight up and down, punch THROUGH (demonstration) the ballot card after the name of the candidate of your choice. (Have the voter take the stylus in hand and punch one or two positions).”

(d)“Notice the black spot, which shows that you have recorded a vote. After you have finished voting, withdraw the ballot card. It should look like this. (Hold up a ballot card for the voter to actually see the holes.)”

(e)“Please DO NOT USE PENCILS OR OTHER INSTRUMENTS in punching the ballot cards.

ONLY THE STYLUS is to be used in punching.”

(f)“Upon completing your ballot, remove carefully from the voting device so as not to tear or injure it.”

(g)“Take your ballot to the ballot box. DO NOT PUT YOUR BALLOT IN THE BALLOT BOX UNTIL INSTRUCTED BY THE JUDGE. He will instruct you how to remove the foldover stub and remind you to check for the hanging bits of cardboard. Only when the judge indicates your ballot is now ready should you deposit it in the ballot box.

(h)“Turn your card over to see the reverse side (demonstrate). If there are any bits of cardboard hanging from the holes you have punched, carefully remove them.”

(i)“Do you have any questions?”

History

Authority: T.C.A. §§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-07-.03 PROCEDURAL STEPS GOVERNED BY ELECTION CODE: WHEN TO GIVE VOTER

HIS BALLOT. The provisions of T.C.A. §2—7—112 except as modified by §1360—2—5—.10 of these regulations, which shall be in addition to the requirements of said code section, shall govern the next steps in the electoral process. In counties utilizing a voter signature list the registrar shall hand the ballot to the voter after verifying the voter’s signature, address and recording the voter’s ballot number after receiving the ballot from the ballot official. In counties utilizing a poll list the poll book official shall record the ballot number on said list. The registrar will hand the ballot to the voter; provided, however, THAT THE BALLOT CARD SHALL NOT BE ISSUED TO ANY VOTER UNTIL THERE IS A VOTING DEVICE AVAILABLE FOR THE VOTER’S IMMEDIATE USE. The voter shall immediately take his or her ballot to a voting machine and cast his or her vote.

One judge shall be assigned during the entire voting period to directing voters to available machines.

History

Authority: T.C.A. §§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974; Amendment filed June 4, 1974; Amendment filed March 13, 1980; effective April 26, 1980; Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-07-.04 WRITE-IN VOTES

(1)The county election commission shall provide sufficient write-in envelopes for each election at each precinct on any election day. Any voter desiring to cast a ballot for a candidate whose name is not on the voting machine ballot may request a write-in envelope to be furnished to the voter by the ballot judge (clerk). Punch card ballots and write-in envelopes shall be exclusively used in any election.

There shall be no paper ballots used for elections for write-in purposes.

(2)An adequate number of write-in envelopes shall be provided for each polling location. When the voter desires to write in a candidate, the ballot clerk shall issue the voter a punch card ballot and a write-in envelope. Additional write-in envelopes may be issued if needed. Write-in envelopes must be requested by the voter, not offered by the ballot clerk.

(3)Upon issuing a punch card ballot and a write-in envelope to the voter, the ballot clerk will instruct the voter substantially as follows:

(a) “Vote all offices on the punch card ballot except for these offices that you want to write in.

Write in BOTH the title of the office and the candidate’s name on the write-in envelope as indicated. (Open envelope and show the voter instructions and space for write- in). After you have voted, insert the ballot card with the stub exposed into the envelope pocket and close the flap. Take your ballot and write-in envelope(s) to the ballot box. Do not put your ballot into the ballot box until instructed by the judge. Do you need a pen? (Pens will be supplied to the ballot clerk for write-in purposes). Please give the pen to the judge when you deposit your ballot. Do you have any questions?”

(4)A voter who has cast a write-in ballot shall be instructed as to the proper method of depositing both the punch card ballot and the write-in envelope into the ballot box. The procedure shall be the same as the procedure set forth in rule 1360—2— 7—.07 and such voter shall additionally be advised substantially as follows by the judge: “Insert your ballot card, with the card corners exposed at the bottom of the envelope, into the envelope pocket.” Without touching the voter’s ballot or write-in envelope, the judge will check to see that this is properly done by checking to see that only the corners of the ballot card are visible at the bottom of the envelope.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Amendment filed July 6, 1988; effective October 29, 1988. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-07-.05 HANDLING OF ANOTHER'S BALLOT PROHIBITED

No person whether officials or poll watchers or inspectors or election commission members, or other voters shall be permitted to handle any voter's ballot or write-in envelope for any purpose after it has been given to the voter. The only exceptions permitted to this rule are (1) when the voter returns a spoiled ballot and requests another, or (2) when a voter is receiving legally permitted assistance under the provision of T.C.A. Section 2—7—116.

History

Authority: TCA §§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed July 6, 1988; effective October 29, 1988. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-07-.06 SPOILED BALLOTS

T.C.A. Section 2—7—120 shall govern the issuance of new ballots for spoiled ballots. The officer of election shall cancel the voter's spoiled ballot, without exposing tile choices of the voter, by writing on its face with a black felt pen the word "SPOILED". The spoiled ballot shall be placed in the designated ''SPOILED BALLOT ENVELOPE" and returned to tile counting center in the ballot box. The ballot stub must NOT be removed from the spoiled ballot. These same procedures shall govern the spoiling and issuance ofwrite-in envelopes.

History

Authority: TCA §§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed July 6, 1988; effective October 29, 1988. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-07-.07 DEPOSITING BALLOT IN BALLOT BOX

(1)Upon the completion of voting, the voter shall carefully remove his or her ballot from the machine and move immediately to the ballot box. The ballot opening to the box shall be covered and before removing the cover to allow the voter to deposit his or her ballot, the judge shall instruct the voter in substantially the following manner:

(a)"Please fold the stub back and forth across the perforation arid tear the stub from your ballot."

(b)The judge will wait to permit the voter to separate the ballot slub. The judge will then further instruct the voter:

(c)"Please hand me the stub to your ballot." The judge will take great care that he or she receives the stub, not the ballot. Upon receiving the stub, the judge shall further instruct the voter:

(d)"Please turn your ballot over and check the reverse side. Are there any bits of cardboard hanging on your ballot" If so, please remove them." (THIS IS IMPORTANT AND MAY NOT BE OMITTED.)

(2)The ballot box judge will watch to see that this is done correctly. When the judge, without touching the ballot, is satisfied that all hanging chads are removed, he or she shall rcinove the cover from the ballot box slot and instruct the voter:

(a)"Please deposit your ballot into the ballot box." When the ballot has been deposited in the ballot box, the judge shall replace the cover and further instruct the voter as follows:

(b)"Please sign your name across your ballot stub." When the voter has signed the ballot stub, the judge shall file it in the ballot stub box.

(3)Voters may occasionally object to signing the ballot stub, fearing that this violates the secrecy of the ballot. Such voter should be assured that the ballot stub is already identified by the number in the poll book or on the voter signature list, and that the purpose of the signature is to ensure that the same person who received the ballot actually voted that ballot, and that there is no way to identify the voter's actual ballot in the ballot box by comparison with any ballot stub.

(4)If the voter is in possession of a write-in envelope, the judge at the ballot box shall instruct the voter as directed in the procedures for write-in votes, as set out in Rule 1360—2—7—.04.

History

Authority: TCA §§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed July 6, 1988; effective October 29, 1988. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-07-.02 APPLICATION FOR BALLOTS

Although counties using a punch card voting system are exempt from using pre-numbered applications for ballots pursuant to T.C.A. §2—5—216(b)(2), the county election commission should consider whether the use of pre-numbered applications for ballot would increase security and accounting of ballots. In counties where pre-numbered applications are used, the following designation shall appear on the face of such application: Punch-card Ballot No. The registrar will enter the Application number on the voter’s permanent registration card and the voter will enter his if her application number before his or her name on the poll list. The voter will then present his or her verified application to the Ballot Clerk who will enter the Punch-Card Ballot Number in the blank on the Application before giving the voter his or her ballot and shall place his or her initials next to such a notation.

History

Authority: T.C.A.§§2—910, 2—7—117 and 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Chapter 1360-02-08 Procedure After Polls Have Closed

Tenn. Comp. R. & Regs. 1360-02-08-.01 TRANSPORTING THE BALLOT BOX TO THE COUNTING CENTER

Immediately upon the last voter having voted and the polls being closed, the envelope with spoiled ballots and the envelope containing rejected ballots shall be sealed. The officer of election and one judge of the opposite party shall sign their names across the flap and the sealed envelopes shall be deposited in the ballot box. The top of the ballot box shall then be sealed with the adhesive sign provided for this purpose. In the alternative, if the ballot box has a metal flap that covers the opening through which ballots are deposited, a prenumbered seal provided by the county election commission may be placed in the hasp securing the flap over the opening. Without any delay of any kind, one judge of the majority party and one judge of the minority party shall then sign the payroll roster and shall IMMEDIATELY take the ballot box to the counting center. They shall travel in the same automobile and the ballot box shall be carried inside such automobile. It is not permitted to carry the ballot box in an open truck or any other means of conveyance open to the elements or to theft. The said two judges shall not be permitted to carry any ballot boxes to the counting center other than the one from their own precinct. They shall not be permitted to carry other passengers. They shall not be permitted to stop except for emergency. In the event of an emergency stop, the judge who is not the driver of the car shall remain inside the car with the ballot box until other transportation is secured or emergency repairs are completed. At no time shall the ballot box be left unattended.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-08-.02 CLOSING AND SEALING VOTING MACHINES

Upon the voting of the last voter, the remaining officials of the election still remaining at the precinct shall immediately fold all voting machines, place them in their carriers and seal each carrier with the plastic padlock seals provided by the election commission.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-08-.03 DESTRUCTION OF UNUSED BALLOTS

While the officer of election and judge are folding the election machines, the poll book clerks, the demonstration clerk and the ballot clerk shall be disposing of all unused ballots as provided in T.C.A. §2—7—129, the portion of the ballot with the stub attached shall be returned with other materials to the location designated by the county election commission.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-08-.04 REPORT SHEET

The officer of election shall then fill out a report sheet, which shall be substantially similar to Figure 2 of these Regulations, provided by the county election commission which shall indicate, among other things, the number of ballots issued, the number of ballots used, with their serial numbers (e.g., Ballots 1893 through 2472), the number of spoiled ballots, the number of signatures on the poll books or signature list and the seal numbers attached to the ballot box and to the voting machines. The report sheet shall contain space for the officer of election to write in any explanation of challenges to voters with the results thereof; explanations of any unusual occurrences or discrepancies; and remarks in general for the improvement of the voting process. The officer of election and one judge of the opposite party shall sign the reconciliation form. An example of an approved reconciliation form is included as Figure 2.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-08-.05 RETURN OF MACHINES AND MATERIALS TO ELECTION COMMISSION

Upon the completion of all duties herein provided for and all duties provided by the Election Code, the officer of election accompanied by either a judge or precinct registrar of another political party, shall immediately return all election materials, including all items described in T.C.A.§2—7—137 and the reconciliation form required by 1360-2-8-.04 of these Regulations, to the location prescribed by the county election commission. Voting machines shall be returned either the night of the election or within twenty-four (24) hours after the polls close.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Chapter 1360-02-09 Procedures at the Counting Center

Tenn. Comp. R. & Regs. 1360-02-09-.01 THE COUNTING BOARD

(1) The counting board shall be responsible for the reception of all ballot boxes and for the processing and tabulating or tallying the results of all elections. The counting board shall be comprised of five (5) subsidiary boards appointed by, and responsible to, the county election commission. The subsidiary boards are:

(a) Reception board;

(b) Processing board;

(d) Write-in board; and (e) Data processing board.

(2) The county election commission shall instruct each board in its specific duties, and shall instruct all personnel in the entire counting board process so that all counting board personnel are totally familiar with the entire counting process.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-09-.02 RECEPTION BOARD

The reception board shall consist of one team or more of two persons each, one of whom shall be a member of the majority party and one of whom shall be a member of the minority party. Such teams shall receive the ballot boxes as they are brought in to the counting center from the precincts.

They shall examine the condition of the ballot box, the condition of the lock, the condition of the seal, and the condition of the sealed sign over the top of the ballot box. If all seems in order, they shall issue a receipt in triplicate for the ballot box, one copy to go to the judge or officer of the majority party bringing in the ballot box, one copy to go to the judge of the minority party bringing in the ballot box, and one copy to be retained by the county election commission. In the event that the ballot box, the lock, or the seal do not appear to be in order, the receiving team shall summon the chairman and secretary of the county election commission who shall conduct an immediate investigation as to the cause of the irregularity. If, after an investigation, the ballot box seems in order, it shall be processed in the usual manner and appropriate entries shall be made on the reception board log (Fig. 3). If however, no explanation for the irregularity can be given to satisfy both members of the election commission making the investigation, the ballot box shall be set aside under lock and key and a full-scale hearing shall be held on the day following election. The ballots therein shall be processed separately and segregated, and the results of such precinct -- 1 of 5 -tabulation shall not be communicated to any person, including any member of the election commission, until the hearing is held and the election commission shall make a determination as to the validity of the votes contained in such ballot box. The Coordinator of Elections and the State Election Commission shall be immediately notified the night of the election of the irregularity and the hearing shall be held only in the presence of the Coordinator of Elections or his representative and/or State Election Commission or its representative. In the event that the election commission can make no determination, or in the event that either the representative of the Coordinator of Elections or the representative of the State Election Commission or any candidate is not satisfied with the results, then, in that event, the matter shall be referred to the Chancery Court of the County in which the election is held and to the Attorney General. The county election commission, the Coordinator of Elections, or the State Election Commission shall represent all candidates for election in the precinct in question, except where a candidate brings the action and the matter shall be heard pursuant to the provisions of T.C.A. Title 2, Chapter 17.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-09-.03 PROCESSING BOARD

(1) The processing board shall contain as many members as may be deemed necessary by the county election commission. All write-in ballots shall be segregated and immediately sent to the duplication board. The processing board shall work in teams of two persons representing each of the majority and minority political parties. The said teams shall receive the ballot boxes from the reception board, shall open the ballot boxes and shall stack the punch card ballots in receiving trays, face forward.

(2) The teams shall remove mutilated or damaged ballots which shall be sent to the duplication board in the following manner. In counties using the automatic devices, called the “ballot tab”, the processing board will remove the damaged ballots, place them in the damaged ballot envelope, properly note the name and number of the precinct on the damaged ballot envelope as well as the number of the damaged ballots contained therein. The damaged ballot envelope will then be placed on the top of the completed card tray and the runner or courier will deliver the complete tray with the damaged ballot envelope to the duplication board. The duplication board will then reproduce the damaged ballot as provided hereinafter in rule 1360—2—9—.04.

(3) No effort shall be made by the processing board to segregate the various types of colors of punch card ballots by type of election. All write-in ballots shall be segregated and immediately sent to the duplication board. The trays of stacked punch card ballots shall then be forwarded to the data processing board or to the duplication board as provided in paragraph (2), supra and appropriate entries shall be made on the processing board log (Fig. 4).

History

Authority: T.C.A.§§2—910, 2—7—117 and 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed July 6, 1988; effective October 29, 1988. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-09-.04 DUPLICATION BOARD

(1) The duplication board shall be made up of one or more teams of two members each, one of whom shall be a member of the majority party and one of whom shall be a member of the minority party. Upon receiving a damaged or mutilated ballot, the duplication board team will undertake the duplication of the ballot in the following manner:

(a) The ballot to be duplicated will be placed in a porta-punch device. Under the ballot to be duplicated will be placed a pre-scored ballot card similar to the ballot to be duplicated. The color of the duplicate ballot is red. -- 2 of 5 -- (b) The duplicated ballot will then be seen through the holes of the original ballot. One member of the duplication team will, under the observation of the other member and with the stylus provided, begin on the left side of the ballot and go down the entire row punching out each red chip that can be observed through the original ballot. This will be done for each row in succession in which red rectangles appear. The team shall also punch out the precinct and, where applicable, the Party identification positions which appear at the very bottom of the ballot.

(c) When the team is satisfied that it has accurately reproduced the ballot, the team member who observed the process will, in the presence of the team member who punched the ballot, site the ballot against the light.

This will be a check to determine whether all the holes in the original ballot have been punched out and will be a further check to insure that any holes not in the original ballot have not been punched out.

(d) When both members of the team are satisfied that the ballot is properly duplicated they will each sign the back of the duplicated ballot.

(e) Both the original damaged ballot and the duplicate ballot will be identically serially numbered beginning with “Ballot Number l.”

(f) The duplicate ballot will then be entered into the tray in ballot tab counties and the mutilated ballot will then be placed in the damaged ballot envelope and forwarded to the data processing board.

(g) One damaged ballot envelope will be provided for each precinct. The outside of the envelope will have a space to name or identify the precinct and a space showing the number of damaged ballots included therein.

(h) Upon the completion of the duplication of damaged ballots, appropriate entries shall be made on the duplication board log (Fig.5).

(2) Upon receiving a ballot containing a write-in envelope, the board will process such a ballot as follows:

(a) The board will place identical precinct and ballot identification numbers on the ballot card and on the write-in envelope.

(b) The board will remove the ballot card from the write-in envelope and will determine whether the voter has voted for any candidate on the punch card ballot for an office for which a different candidate’s name has been written in. In such a case, the write-in envelope shall be rejected and the ballot card shall be duplicated, omitting the vote for the candidate which conflicts with the write-in envelope.

(c) If the votes on the write-in envelope do not conflict with the ballot card, both the ballot card and the write-in envelope will be forwarded to and processed in the usual manner by the write-in board.

(d) If a voter casts a vote for the same candidate on both the ballot card and the write-in envelope, the ballot card will be processed in the usual manner and the write-in envelope will be rejected with the appropriate notation.

History

Authority: T.C.A.§§2—910, 2—7—117 and 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, -- 3 of 5 -- 1980; effective April 26, 1980. Amendment filed July 6, 1988; effective October 29, 1988. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-09-.05 WRITE-IN BOARD

(1) The write-in board will consist of one or more teams of four members each, two of whom shall be members of the majority party and two of whom shall be members of the minority party. Write-in ballots shall be manually tallied on a tally sheet provided by the county election commission for this

purpose. The procedure for tallying shall be as follows:

(a) One member of the team shall call the votes in a clear and distinctive voice. Another member of the team of the opposite party shall observe the call. The third member of the team of the opposite party of the person calling the vote shall write down the tally on the tally sheet. He shall be observed by the fourth member of the team who shall be of the same political party as the member calling the tally.

(b) The tally sheet shall, at conclusion of the evening be signed by all four members of the writein board team and shall be forwarded, together with the write-in ballots, to the data processing board. The write-in tally sheet shall be tallied by precinct.

(2) The county election commission may allow its duplication board to also serve as the write-in board.

However, the make-up of the board and procedures as provided in this rule shall be strictly adhered to.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-09-.06 DATA PROCESSING BOARD

The data processing board shall consist of one member of the county election commission representing the majority party and one member of the county election commission representing the minority party, the programmer employed by the election commission or supplied by the manufacturer, and as many trained personnel as will be required to operate the computer and to move the ballots in and out of the computer room. In large counties, or in long elections, the county election commission may elect to have one duplication board team in the computer area to handle any ballots damaged by the computer or the ballot tab. The count of a precinct will begin as each such precinct is received from the processing board. As each precinct is completed, appropriate entries shall be made on the data processing board log. (Fig. 6). The Data Processing Board will integrate the write-in results into the totals after the last precinct to arrive in the data processing area has been processed.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-09-.07 COMPUTER AREA

Access to the computer area shall be restricted to members of the data processing board and the county election commission. The Coordinator of Elections, or his representative, and members of the State Election Commission, or their representatives, shall have free access to all areas at all times.

The county election commission shall secure the area by fence, rope, or other system, and shall provide sufficient law enforcement personnel to insure that only qualified persons are allowed in this area.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994. -- 4 of 5 --

Tenn. Comp. R. & Regs. 1360-02-09-.08 COUNTY ELECTION COMMISSION AS COUNTING BOARD

Where in any election, the total number of registered voters entitled to cast ballots does not exceed one thousand (1,000), the county election commission may perform all duties of the counting board: provided, however, that in such cases, there shall be at least one member of the majority party and one member of the minority party present at each operation of the counting board’s duties.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-09-.09 PRESERVATION OF BALLOTS

Following the audit provided for in Section 1360—2—5— .07, all ballots shall be retained by the county election commission as provided in T.C.A. §2—8—108.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-09-.10 SINGLE PARTY PRIMARIES

In the event that only one party elects to hold a primary, then and only in that event, the election officials appointed for the precincts and the members of the counting board may be made up of members of that party only.

History

Authority: T.C.A.§§2—910, 2—11—201(c).
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994. -- 5 of 5 --

Chapter 1360-02-10 Absentee Voting by Mail with Punch Cards

Tenn. Comp. R. & Regs. 1360-02-10-.01 PUNCH CARDS TO BE USED

In those counties which utilize a punch card voting system, punch cards and appropriate supplies shall be provided for eligible voters desiring to cast an absentee ballot by mail.

History

Authority: T.C.A. §§2—11—201(c) and 2—7—117(b) .
Administrative History: Original rule filed April 19, 1974; effective May 19, 1974. Amendment filed June 4, 1974; effective July 4, 1974. Amendment filed March 13, 1980; effective April 26, 1980. Repeal and new rule filed August 19, 1994; effective December 29, 1994.

Tenn. Comp. R. & Regs. 1360-02-10-.02 PROCEDURES FOR ISSUANCE

(1) Upon proper application by a voter for an absentee by mail ballot, the registrar shall process the application in accordance with T.C.A. §2—6—202, and shall issue to the voter the following supplies:

(a)An appropriately pre-punched absentee ballot.

(b)A write-in envelope.

(c)A styrofoam backing for use when punching a card.

(d)A ballot guide for absentee voting, indicating the punch portions for each candidate for each office in the selection.

(e)A set of instructions for absentee voting by mail, which adequately describes the procedures to be followed to cast a punch card ballot by mail.

(f)A disposable ballot punch.

(g)Return envelope.

(h)Affidavit.

History

Authority: T.C.A. §§2—11—201(c) and 2—7—117(b) .
Administrative History: Original rule filed August 19, 1994; effective December 29, 1994.

Chapter 1360-02-11 Voter Registration By Mail

Tenn. Comp. R. & Regs. 1360-02-11-.01 ADOPTION AND PROMULGATION

The following rules and regulations governing registration by mail and the methods and use of this system of registration in the State of Tennessee is hereby adopted and promulgated by the Coordinator of Elections under the authority of Section 2-1111, Tennessee Code Annotated.

History

Authority: T.C.A. Section 2-1111.
Administrative History: Original Rule filed August 26, 1975, effective September 24, 1975.

Tenn. Comp. R. & Regs. 1360-02-11-.02 INTENT OF REGULATIONS

It is the intent of these regulations to provide for the use of mail services for registration, under Chapter 308, Tennessee Code Annotated.

History

Authority: T.C.A. Section 2-1111.
Administrative History: Original Rule filed August 26, 1975, effective September 24, 1975.

Tenn. Comp. R. & Regs. 1360-02-11-.03 DEFINITIONS OF TERMS UNDER THIS REGULATION

(1) The definitions of terms under this regulation shall be the same as those listed in Section 2-104, Tennessee Code Annotated. (2) The term VRF means Voter Registration Form(s), wherever it appears on these rules.

History

Authority: T.C.A. Section 2-1111.
Administrative History: Original Rule filed August 26, 1975, effective September 24, 1975.

Tenn. Comp. R. & Regs. 1360-02-11-.04 GENERAL REGISTRATION REQUIREMENTS

The General Registration Requirements of

Chapter 2, Title 2, Tennessee Code Annotated, shall apply to the registration by mail program, except where the application of such general requirements would be clearly inappropriate to registration by mail.

History

Authority: T.C.A. Section 2-1111.
Administrative History: Original Rule filed August 26, 1975, effective September 24, 1975.

Tenn. Comp. R. & Regs. 1360-02-11-.05 FORMS TO BE USED

The state Election Coordinator shall approve a set of standard forms to be used in all registration by mail programs; to permit and insure compatibility of local systems of voter registration, data, collections, and storage. Individual County Election Commissions may vary the physical configuration and layout of such forms where necessary to insure compatibility, but any such variation of standard forms must be approved by the State Election Coordinator.

History

Authority: T.C.A. Section 2-1111.
Administrative History: Original Rule filed August 26, 1975, effective September 24, 1975. -- 1 of 3 -- January 1, 1999 (Revised) 2

Tenn. Comp. R. & Regs. 1360-02-11-.06 DISTRIBUTION OF REGISTRATION BY MAIL FORMS

(1) The following procedure shall govern distribution of appropriate forms to applicants: VRF(s) shall be made available at the offices of the County Election Commissions throughout the State, during normal office hours. Such forms shall be similarly available at all locations where local officials are conducting supplemental registrations. The County Election Commissions shall make available VRF(s) to post offices, public libraries, public schools, courthouses, city halls or other places deemed appropriate by the County Election Commissions.

(2) VRF(s) shall be available in ample quantities for distribution to qualified groups and organizations demonstrating an interest in participating in voter registration work. The local political parties shall be notified in writing by the County Election Commissions of the availability of the VRF(s) for distribution.

The County Election Commission will not accept VRF(s) delivered to them in any manner other than by the postal department. VRF(s) will be received by the Election Commissions through delivery by the postal department in single application cards or by packages containing more than one application.

History

Authority: T.C.A. Section 2-1111.
Administrative History: Original Rule filed August 26, 1975, effective September 24, 1975.

Tenn. Comp. R. & Regs. 1360-02-11-.07 VERIFICATION OF INQUIRIES

(1) An appropriate verification inquiry shall be conducted in the following instances:

(a) where the information given on the VRF is incomplete;

(b) where the information given on the VRF appears unclear or inconsistent;

(d) where the VRF appears to be a duplicate of an already registered voter but indicates a change of name and address;

(e) whenever the County Election Commission is unable to determine the district, precinct or ward in which the applicant resides;

(f) where it is uncertain for any other reason what action should be taken on the application.

(2) Verification inquiries shall be conducted so as to permit timely and appropriate action on the application and avoid needless rejections, provided that the County Election Commissions shall not be responsible for any failure to complete such an inquiry within any specific time period or in time for the applicant to vote in, or effect a change prior to, the election or elections next following the submission of the VRF in question.

(3) Whenever a VRF is subject to inquiry under sub-section (a) through (f) above, the County Election Commission shall forthwith contact by telephone or issue a letter to the applicant, advising him of (1) the nature of the problem with the VRF already submitted; (2) steps needed to be taken to remedy the problem;

(3) where appropriate, any time limit wherein action must be taken. Under no circumstances shall the VRF be returned to the applicant. The voter will be required to complete another VRF and mail it to the County Election Commission.

History

Authority: T.C.A. Section 2-1111.
Administrative History: Rule filed August 26, 1975, effective September 24, 1975. -- 2 of 3 -- January 1, 1999 (Revised) 3

Tenn. Comp. R. & Regs. 1360-02-11-.08 DEADLINES—PERIODS WHEN REGISTRATION OR CHANGES PROHIBITED

(1) The effective date of registration shall be the date the VRF was received by the County Election Commission, or the date the inquiry was completed, whichever comes later. Pursuant to Section 2-209, Tennessee Code Annotated, no registration or change of registration shall be effective in the time period specified therein. Only VRF(s) which are complete upon receipt or those which have been completed by inquiries on or before the deadline in Section 2-209, TCA, will be considered as persons registered to vote in the election for which the deadline is applicable.

(2) All copies of rejected VRF(s) shall be marked “rejected” and be retained by the Registrar at Large for a period of 90 days from the date of receipt.

History

Authority: T.C.A. Section 2-1111.
Administrative History: Rule filed August 26, 1975, effective September 24, 1975.

Tenn. Comp. R. & Regs. 1360-02-11-.09 NOTIFICATION

Subject to the following provisions, the following shall apply to notification of applicants:

(1) NOTIFICATION OF REGISTRATION: Upon receipt by the County Election Commission of a VRF, and upon completion of any necessary inquiry and verification process, each applicant for registration determined to be qualified to vote shall be sent a PR3 form by first class mail, address correction requested.

History

Authority: T.C.A. Section 2-1111.
Administrative History: Rule filed August 26, 1975, effective September 24, 1975. -- 3 of 3 --

Chapter 1360-02-12 Electronic Vote Counting (Optical Scan) Systems Rules and Regulations

Tenn. Comp. R. & Regs. 1360-02-12-.01 PURPOSE

The purpose of these regulations is to authorize the use of electronic vote counting (optical scan) systems in one or more locations in any election.

History

Authority: T.C.A.§2-11-201 (c) .
Administrative History: Original rule filed December 9, 1985; effective March 17, 1986.

Tenn. Comp. R. & Regs. 1360-02-12-.02 LIBERAL CONSTRUCTION

These regulations shall be liberally construed so that the will of the electors will not be defeated by any informality or failure to comply with all of the provision of these regulations.

History

Authority: T.C. A. §2-11-201 (c) .
Administrative History: Original rule filed December 9, 1985; effective March 17, 1986.

Tenn. Comp. R. & Regs. 1360-02-12-.03 DEFINITIONS

As used in these regulations and unless otherwise specified the following definitions shall govern:

(1) Electronic vote counting system means a system composed of ballots on which voter marks his choices by use of marking devices and the optical scanning and counting of these votes by use of automatic vote counting equipment or data processing equipment, but shall not include those voting systems authorized under regulations 1360-2-1-.01 through 1360-2-9.

(2) Marking Device means a device for marking a ballot with ink or other substance which will enable the votes on the ballot to be optically scanned and tabulated by the automatic vote counting equipment or data processing equipment.

(3) Ballot means a card or cards upon which a voter directly casts his votes by means of marking device and on which are printed the names of offices and candidates and statements of measures or questions to be voted on.

(4) Automatic Vote Counting Equipment or automatic vote counter, includes apparatus to automatically examine and count votes and/or accumulate votes marked on ballots and such data processing machines which may be used for tabulating election results.

(5) Counting Location means the location or locations selected by the cognizant jurisdiction for the installation of the automatic vote counting equipment to count or process, or both, votes of any primary, general or special election.

(6) Precinct Counter is an automatic vote counter located at the precinct or polling place and used to tabulate the votes from ballots inserted directly into the automatic vote counter by the voter or by the poll workers in case of emergencies or because of assistance to handicapped or disabled voters.

(7) Central Counter is one or more automatic vote counters or data processing systems centrally located which tabulates votes from absentee ballots which have been received from eligible absentee voters and which are inserted into the central counter by election workers either manually or by automatic ballot feeding mechanisms.

History

Authority: T.C.A. §2-11-201 (c).
Administrative History: Original rule filed December 9, 1985; effective March 17, 1986.

Tenn. Comp. R. & Regs. 1360-02-12-.04 REQUIREMENTS OF ELECTRONIC VOTE COUNTING SYSTEMS

No electronic vote counting system consisting of a marking or voting device in combination with automatic vote counting or tabulating equipment shall be acquired or used in accordance with these regulations unless it shall:

(1) Provide for voting in secrecy when used with voting booths:

(2) Permit each voter to vote at any election for all persons and officers for whom and for which he is lawfully entitled to vote; to vote for as many persons for an office as the voter is entitled to vote for; to vote for or against any questions or measure upon which he is entitled to vote;

(3) Use automatic vote counting equipment which shall reject choices recorded on the voted ballots if the number of choices exceeds the number which the voter is entitled to vote for in each office and on each measure question;

(4) In primary elections, permit each voter to vote only for candidates for which he is qualified to vote;

(5) Permit each voter to vote for persons whose names are not printed directly on the ballot by writing in the name and marking the voting position of the person whose name has been written in;

(6) Be suitably designed for the purpose used, and be of durable construction; and in the conduct of elections be safe, efficient, and accurate;

(7) Be provided with means for automatically securing the automatic vote counting equipment, when it is used in the precinct as a precinct counter against any further voting after the close of the polls and the last voter has voted and results of the precinct vote has been obtained (8) When properly operated, record correctly and count accurately the votes cast;

(9) Be safely transportable.

History

Authority: T.C.A. §2-11-201 (c) .
Administrative History: Original rule filed December 9, 1985; effective March 17, 1986.

Tenn. Comp. R. & Regs. 1360-02-12-.10 PROCEDURES FOR AUTOMATIC VOTE COUNTERS FOR ABSENTEE VOTING

(1) The procedure for counting absentee ballots shall be substantially the same procedure for paper absentee ballots. Processing of voted ballots after opening of polls: As soon as the polls are opened the ABC board shall remove the voted ballots from the ballot container. The ABC board shall next count the number of ballot cards and certify the number of voters cast on the voting roster. If there is any discrepancy between the number of voters listed in the roster and the number of ballots voted, this fact shall be noted with an explanation of the difference and signed by all the members of the ABC board.

(2) Tabulation of write-in votes procedures: The ABC board at the commission office shall examine the ballots and count the votes cast for candidates whose names have been written in. All valid write-in votes shall be tabulated and certified to the election officials on forms provided for this purpose, and the write-in votes shall be added to the results of the count of the ballots at the counting place and be included in the official’s return for the precinct.

(3) Central Counting Proceedings: All proceedings at the central absentee ballot counting center shall be the same as set forth in T.C.A. §§2-6-117 and 2-6-118. All persons who are engaged in the processing and counting of the ballots shall be deputized and take an oath that they will faithfully perform their assigned duties. If any ballot is damaged or defective so that it cannot properly be counted by the electronic vote counting equipment, a true duplicate copy shall be made of the damaged ballot. The duplicate ballots shall be clearly labeled as such and shall bear a serial number which shall be recorded on the damaged ballot.

(See duplicate ballots) The electronic or printed results of tabulation of votes by the automatic vote counter(s), to which have been added write-in votes, shall, when certified by the election officials, constitute the official return of each precinct.

(4) Posting results no required: Precincts using electronic vote counting systems shall not be required to post the abstract of the count of votes at the precinct after the closing of the polls.

History

Authority: T.C.A. §2-11-201 (c).
Administrative History: Original rule filed December 9, 1985; effective March 17, 1986

Tenn. Comp. R. & Regs. 1360-02-12-.05 GENERAL AUTHORIZATION FOR ELECTRONIC VOTE COUNTING

(1) Ballot Form – The ballots to be counted by automatic vote counting system may be of size, composition, texture, but shall be printed in any black ink that will be suitable for use in the automatic vote counting equipment in which they are intended to be placed.

(2) Ballot Printing – The ballots shall contain printed or punched code marks necessary for distinguishing ballot types and combinations. Other spaces on the ballot for legally required signatures or other official printing or stamping must be positioned so that such signatures, printing or stamping will not interfere with the automatic vote counting system’s ability to count the votes.

(3) Ballot Printing Format – The ballot may be divided into parts and printed on both sides. Where all candidates and propositions cannot be placed on the front face of the ballot, the candidates and propositions may be carried on both the front and back face of the ballot. If all candidates and propositions cannot be placed on the front and back of one ballot, the ballot material may be divided into suitable parts. If more than one ballot is used, the first ballot may contain a statement that other matters to be voted on appear on another ballot. The names of all candidates for the same office must be printed on the same ballot card. In primaries, each candidate listed alphabetically according to first letter of surname. In general elections, majority party nominees, minority party nominees, followed by independent.

(4) Absentee Voting – The automatic vote counting system may be used in counting votes from ballots resulting from absentee voting either by personal appearance or by mail or both with the procedures for vote tabulation subject to the following:

(a) The write in votes on the ballots may be counted before or after tabulation at the discretion of the cognizant election officials.

(b) In case a ballot cannot be read by the automatic vote counting system, for whatever reason, a true copy may be made of the absentee ballot on unvoted ballot cards following procedures for Ballot Duplicates and counted on the automatic vote counter in the same manner as the other ballots.

(c) Other procedures for use of automatic vote counting systems to count absentee votes will follow procedures used for ordinary paper ballots insofar as it is practical and applicable.

(5) Ballot Duplicates – Ballots which cannot be read on the automatic vote counting system, for any reason, may be duplicated on another blank ballot by making a true machine readable copy of the original ballot following the intention of the voter insofar as it can be ascertained from the defective ballot and from which the votes can be counted by the automatic vote counting system. All duplicate ballots shall be clearly labeled as a “duplicate” and shall bear a serial number which shall also be recorded on the defective ballot as well.

(6) Sample Ballots and Instructions – The county election holding the election shall provide sample ballots and printed instructions in accordance with the general election laws of the state but printed so as to prevent the inadvertent use of the sample ballot as an official ballot.

(7) Casting of Votes – Instructions are to be given to voters that to cast a vote, a voter must fill in the voting position opposite his choice or choices with the marking device provided. Further, if a voter “writes-in” a name, the voting position opposite the “write-in” name must also be filled with the marking device for the “write-in” vote to be counted. Instruction on casting votes may be printed on each ballot as well as posted conspicuously at the polls. Failure to make a cross (X) or other mark will not invalidate the vote unless the will of the voter cannot be ascertained.

History

Authority: T.C.A. §2-11-201 (c).
Administrative History: Original rule filed December 9, 1985; effective March 17, 1986.

Tenn. Comp. R. & Regs. 1360-02-12-.06 PROCEDURE AND ELECTION OFFICIALS AND DUTIES AT POLLING PLACE

(1) Procedure – (a) Voter signs application for ballot.

(b) Applications given to precinct registrar-signature comparison. If compare, precinct registrar initials application and has voter sign poll list.

Judge issues ballot sleeve with ballot, gives application to machine judge.

(d) Voter marks ballot in secret unless entitled to assistance under T.C.A. §2-7-116.

(e) Voter places ballot in ballot sleeve and goes to machine judge. Judge compares signature on stub with application, if compare, ballot stub removed and voter instructed to feed ballot into tabulator. Stub and application placed into stub box.

(2) Election Officials and Duties - (a) Officer, three judges, precinct and assistant precinct registrars. One assistant precinct registrar shall be designated the demonstration clerk and shall be available to explain voting system to voters and otherwise answer voter’s questions regarding voting system.

(b) Officer – duties as set out in general law.

(c) Judges – one ballot judge, two machine judges (3) Ballot Requirements – (a) All ballots printed in black ink. For primaries, Democratic ballots shall be white, Republicans shall be blue and the general election buff.

(b) Ballots are to be pre-scored for the precinct in which they are assigned and in such a manner the tabulator will reject a ballot which is placed into a tabulator of a precinct other than the one for which it was programmed and/or pre-scored.

(d) Candidates name on ballots – Alphabetically in primaries, In general – majority party, minority party, then independents. Write-in space left after each listing.

(e) Length – width – To be prescribed by the Coordinator of Election for each election.

(4) Procedure – Close of Polls – Officer and three (3) judges cause tabulator to print out preliminary tally which is recorded by two (2) precinct registrars.

History

Authority: T.C.A. §2-11-201 (c)
Administrative History: Original rule filed December 9, 1985; effective March 17, 1986.

Tenn. Comp. R. & Regs. 1360-02-12-.07 BALLOT AND PROGRAM PREPARATION AND SUPPLIES

The ballots shall be prepared and procured for an election under the same regulations as ordinary paper ballots.

History

Authority: T.C.A. §2-11-201 (c).
Administrative History: Original rule filed December 9, 1985; effective March 17, 1986

Tenn. Comp. R. & Regs. 1360-02-12-.08 TESTING AND SEALING

Before the automatic vote counting systems are prepared for delivery to the counting locations, each device shall be tested by the election officials in charge of the election to insure that they will operate correctly and accurately and perform the functions for which it is intended to be used. The testing procedure is as follows:

(1) A series of properly marked test ballots from the manufacturer or an independent auditing firm of CPA’s shall be inserted in each vote counter to insure that the vote counter will accurately count votes for each candidate and each proposition or measure.

(2) A series of improperly marked test ballots shall also be inserted into the vote counter to ensure that votes will not be counted contrary to the program and election requirements.

(3) The testing shall be open to the public and held no later than 2 days before the election. At least 5 days prior to testing, the presiding officer of the authority holding the election shall cause to be published in the public press and posted in the county courthouse or other public location(s) the date, time, and place the testing will be conducted. The candidates or their representatives, as well as representatives of the news media and, in partisan elections, representatives of the political parties, shall be permitted to observe all testing procedures.

(4) The test ballots shall be either a special color or voided official ballots and be printed in sufficient quantity for this testing procedure.

(5) The test ballots and the results of the testing shall be sealed and retained by the county election commission.

(6) The automatic voter counter to be used as precinct counter which is delivered to a precinct or polling place, shall be reset so that its totals are zero at the opening of the polls. The automatic vote counter shall then be sealed or locked for delivery to the precinct.

(7) The automatic vote counter to be used in a central location as the central counter for absentee ballots, it shall be reset so that its totals are zero at the beginning of counting.

History

Authority: T.C.A. §2-11-201 (c).
Administrative History: Original rule filed December 9, 1985; effective March 17, 1986

Tenn. Comp. R. & Regs. 1360-02-12-.09 PROCEDURES FOR AUTOMATIC VOTER COUNTERS USED AS PRECINCT

COUNTERS. Detailed procedures for voting and for using automatic vote counting equipment at the precinct will be issued by the election officials in charge of the election. Procedures issued on the use of automatic vote counting equipment at the precinct shall include the following:

(1) Before the automatic vote counting equipment may be assembled for voting, the precinct officials at each polling place shall compare the number on the seal or lock number written on the tag attached to the tabulator or included on a form in the precinct supplies. If the numbers do not correspond, the precinct officials shall not assemble the automatic vote counter, but shall call the appropriate officer in charge of the delivery of the counters for assistance. If the numbers do correspond, the precinct officials may proceed with the opening procedures as they have been instructed.

(2) Precinct officials shall assemble and lock the automatic vote counter in accordance with the instructions given to them by the election officials in charge of the election. The precinct officials shall then insure that the counters’ totals are zero by obtaining a ‘zero’ printout as instructed.

(3) The conduct of the voting at polling places where automatic vote counters are used shall be generally the same as at polling places where ordinary ballots are used insofar as practical and not otherwise provided for in this directive or in subsequent official procedures. The conduct of voting under these regulations shall include these procedures.

(a) The voter shall mark the ballot in secret with the marking device provided by the precinct officials.

(b) If the vote counter becomes inoperative, or cannot be used for any reason, the voter shall place his voted ballot into a locked ballot box known as the auxiliary or emergency ballot box until the problem with the counter has been corrected. After the polling place has closed, the precinct official, in the presence of the poll watchers, if any, shall unlock the auxiliary or emergency ballot box and insert the voted ballots into the automatic vote counter as if they had actually been inserted by the voters. If at the time the polls close, the automatic vote counter is not functioning, the officials in charge of the election may direct the precinct officials to manually count all ballots or to use a substitute automatic vote counter to count all of the ballots including those in the auxiliary or emergency ballot box.

(4) Before obtaining the precinct vote count, the precinct officials shall insert any ballots in the auxiliary ballot box into the automatic vote counting equipment. The precinct official shall then obtain the vote counts as instructed by the election officials in charge of the election.

(5) The precinct officials shall examine the ballots not read or with “write-in” votes and manually count the votes which should be lawfully counted and be added to votes counted by the automatic vote counting equipment.

History

Authority: T.C.A. §2-11-201 (c).
Administrative History: Original rule filed December 9, 1985; effective March 17, 1986

Chapter 1360-02-13 Electronic Voting Machines Rules and Regulations

Tenn. Comp. R. & Regs. 1360-02-13-.01 ADOPTION AND PROMULGATION

The following rules and regulations for the purchase and use of electronic voting systems in the State of Tennessee are hereby adopted and promulgated by the Coordinator of Elections of the State of Tennessee and approved by the Tennessee State Election Commission under the authority of T.C.A. § 2-9-110.

History

Authority: T.C.A. § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.02 INTENT OF REGULATIONS

It is the intent of these regulations to provide for the use of electronic voting devices in the State of Tennessee in such a manner that:

(a) The freedom and purity of the ballot is safeguarded.

(b) The County Election Commissions in this state shall have the option, with the approval of the Coordinator of Elections and the State Election Commission, to use alternate electoral devices, the regulations of which are not presently provided in the Election Code of the State of Tennessee as embodied in Chapter 740, Public Acts of the General Assembly of Tennessee, 1972, (Title 2, Tennessee Code Annotated), as amended.

(d) A uniform procedure for the use of an electronic system of voting will be in use throughout the State of Tennessee.

(e) The total of votes cast will accurately reflect the will of the majority of voters voting in any given election.

History

Authority: T.C.A. § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.03 STATE ELECTION CODE GOVERNS

The Election Code of the State of Tennessee as embodied in chapter 740, Public Acts of the General Assembly of Tennessee, 1972 (Title 2, Tennessee Code Annotated) ‘‘as amended,’’ shall govern all elections conducted with the use of electronic voting devices except as otherwise necessarily modified by these regulations

History

Authority: T.C.A. § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.04 REGULATIONS HAVE FORCE OF LAW

These regulations shall have the force of law until otherwise adopted, modified, amended, or repealed by the General Assembly of the State of Tennessee.

History

Authority: T.C.A. § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.05 CERTIFICATION OF MANUFACTURERS

(1) No manufacturer of electronic voting devices may be certified in the State of Tennessee until it has proven to the satisfaction of the Coordinator of Elections of the State of Tennessee and to the Tennessee State Election Commission that:

(a) It has a history of ethical conduct in the sales and use of its equipment.

(b) It is financially responsible.

(d) It can affirmatively demonstrate that it has provided adequate assistance to jurisdictions purchasing its equipment; and (e) It agrees that it will contract with each jurisdiction in the State of Tennessee, purchasing its voting devices, that it will provide adequate professional assistance to such jurisdictions for not less than the first two county-wide elections using such devices.

History

Authority: T.C.A. § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.06 CERTIFICATION OF VOTING MACHINES

(1) No electronic voting machine or device will be approved for use in the State of Tennessee that does not:

(a) Provide facilities for voting for any candidates at both primary and general elections or at nonpartisan elections or at a combination of a nonpartisan and partisan primary and general elections.

(b) Permit a voter to vote for any person for any office, whether or not nominated as a candidate by a political party.

(d) Permit a voter to vote for any candidate or on any special measure for whom or on which such voter is lawfully entitled to vote.

(e) Provide sufficient illumination to enable the voters while in the voting booth to read the ballot.

(f) Permit each voter, at presidential elections, by pushing one button to vote for the candidates of any party for president, vice-president and their presidential electors.

(g) Clearly indicate, through the use of ballot heading, proper differentation and identification of the various primaries being voted on in any election.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.07 CERTIFICATION OF VOTING MACHINES USING COMPUTERS TO TALLY VOTES

No voting devices using electronic computers for the tabulations of the results of any election shall be certified in the State of Tennessee unless such computers may be programmed to:

(a) Reject all votes for any office or measure when the number of votes therefore exceeds the number which the voter is entitled to cast;

(b) Reject all votes for an office or measure for which the voter is not entitled to vote;

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Amendment filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.08 WITHDRAWAL OF CERTIFICATION

Certification for any county may be withdrawn if, in the opinion of the Coordinator of Elections of the State of Tennessee or in the opinion of the Tennessee State Election Commission, a material violation of these Regulations has occurred in any election. This Section shall not be construed to encompass harmless errors of action or judgment or violations not affecting in any way, in the opinion of the Coordinator or the Commission, the result of any election. County election commissions are enjoined, however, to train all workers in their duties and responsibilities and to enforce their observance.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.09 PURCHASE BY COUNTIES

No county election commission or county governing body shall purchase any electronic voting device not certified by the Coordinator of Elections with the approval of the State Election Commission. No county election commission and no county governing body shall purchase any electronic voting device certified by the Coordinator of Elections with the approval of the State Election Commission until application has been made to, and approval given by, the Coordinator of Elections and the State Election Commission.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.10 STATE FINANCING

Any electronic voting device certified by the Coordinator of Elections with the approval of the State Election Commission shall qualify for state financing under T.C.A. §§ 2-9-112 through 2-9-114.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.11 CONTRACT REQUIREMENTS

(1) No county election commission and no county governing body shall enter into a contract for the purchase, lease, or lease-purchase of any electronic voting machines or devices unless such contract provides for adequate assistance by such manufacturer or sales agency to the county election commission for not less than the first two county-wide elections conducted with the use of such electronic voting machines or devices. The manufacturers or sales agency shall agree to provide as minimum assistance: educational materials, including films, newspaper copy, brochures, press kits, and radio scripts; on site computer operations training, including programming and printing ballots; written and personal instructions to polling official personnel; ballot layout forms, maintenance manuals, and adequate personnel to provide all such assistance.

(2) One copy of every such contract entered into shall be supplied to the Coordinator of Elections of the State of Tennessee and one copy of every such contract shall be forwarded to the Chairman of the Tennessee State Election Commission.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.12 COMPUTER AVAILABILITY

No county election commission or county governing body may purchase any electronic voting devices or machines until computer availability for programming memory cartridges, printing ballots, and reading memory cartridges, is assured and an expert computer programmer is available. Such assurance and availability shall be evidenced by written contract; provided, however, that computer availability shall not be a prerequisite where the county purchases or leases from the manufacturer of the electronic voting machines, or from another electoral jurisdiction using identical voting equipment, a PC system and ballot printer for its own individual and exclusive use, and provided, further, that the expert computer programmer, (1) need not be a resident of the county, and (2) may be a representative of the manufacturer.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.13 INVESTIGATION BY COUNTY ELECTION COMMISSIONS

County election commissions shall have the responsibility for investigating the feasibility, necessity, or desirability of the use of electronic voting devices within their respective counties. No such voting machines shall be purchased by any county governing body unless and until such machines have been certified for use by such county’s election commission. No such contract for purchase or lease shall be entered into until it is determined by the county election commission that such contract meets the minimum requirements of these regulations. Such county election commission shall have authority to add such other requirements to such contract as, in its discretion, may seem necessary or desirable for its county.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.14 MACHINE TEST

Each county election commission using electronic voting machines shall select a number of precincts equal to at least one percent (1%) of the number of precincts in the election and have all machines used in such precincts prepared for a test election. A test election shall then be conducted on each machine to assure that all office titles and candidate names are accurately printed, positioned and functioning properly.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.15 INSTRUCTION OF ELECTION OFFICIALS

Under the provisions of T.C.A. §2-4-108, the county election commission shall schedule in advance of each election a series of schools for all workers at polls. No worker shall be certified to work at any poll on election day who has not attended at least one of such schools.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.17 COMPUTER USE

The county election commission shall provide for the use of a computer capable of receiving and tallying all votes cast using electronic voting machines. The commission shall take adequate steps to insure that the program for each election is in its hands, and tested, at least twenty (20) days prior to each such election. The commission shall further require that the following safeguards be instituted to completely clear the computer equipment before vote tallying commences and insure that no other work is in process:

(a) Secure the operating system and the application program.

(b) Lock out unwarranted actions on the computer and log all actions.

(d) Program each memory cartridge to be used in the election and seal with a paper label, printed by the election commission computer, containing the machine’s serial number.

Such label is applied to the memory cartridge package in a location which requires its destruction to open the memory cartridge package.

(e) Require written certification by appropriate persons that the foregoing actions were properly taken.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.18 PREPARATION AND INSPECTION OF MACHINES FOR ELECTIONS

(a) Each county election commission, under the provisions of T.C.A. §2-9-105 shall have the proper ballot placed on the voting machines, shall have the machines put in proper order for voting, print a paper tape from each machine to verify that all registering counters are set at zero (000) and seal the ‘‘open polls’’ and ‘‘close polls’’ buttons, the rear door latch and the machine case with numbered seals.

(b) The respective county election commission shall have the sample ballot placed on the first machine to be used with each such ballot and the zero (000) print out, including machine numbers, for each machine shall be taped to the machine case for inspection by representatives of political parties and candidates. When the machines have been inspected, the commission or the voting machine technician shall make a certification in writing which shall be filed in the election commission office stating machine numbers, zero (000) counters, numbers registered on each protective counter and the number of each of the seals with which the machines are sealed.

History

Authority: T.C.A., § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.19 WRITE-IN PROCEDURE AND CHALLENGED AND REJECTED BALLOTS

Any electronic voting system which has been certified as herein before provided which has the capability of allowing write-in votes on the machine itself, such write-in feature shall be utilized for the purpose of allowing a voter to write-in candidate(’s) name(s) and no paper ballots shall be furnished for such

purpose. However, notwithstanding the foregoing, any county election commission may, at the option of the local election commission, furnish paper ballots for the purpose of allowing a voter to write-in candidate(’s) name(s) in lieu of allowing a voter to write-in votes on the machine itself upon publication of notice of same pursuant to T.C.A. §2-1-110 not less than ninety (90) days prior to the election in which paper ballots are to be used. The use of both paper ballots for write-in votes and the machine write-in feature during the same election is strictly prohibited. In the event the write-in feature on the machine is used and a voter is successfully challenged under T.C.A. §§ 2-7-124, 2-7-125 or 2-7-126 then he shall be allowed to vote on paper absentee ballot and such ballot shall be sealed and preserved as provided by law. Each county election commission shall record the ballot stub numbers of absentee ballots which are dispensed to each polling place for the purpose of challenged voters. Each county election commission shall determine the actual number of such ballots to be dispensed to each precinct.

History

Authority: T.C.A.§ 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.20 EXAMINATION AND FINAL PREPARATION OF MACHINES

Under the provisions of T.C.A.§ 2-7-110, the officer shall give the judges the form on which the seal numbers and the protective counter number for each machine are recorded. The judges shall verify that the number registered on the protective counters and the number on the seals with which the machines are sealed correspond with the numbers recorded on the form, the judges shall then, with watchers and other officials observing, run the paper tape to verify that all counters register zero (000), and each judge shall sign the paper tape for certification. The judges shall then sign a certificate showing the numbers on the seals, the number registered on the protective counters and that the ballot is properly placed in the machine.

History

Authority: T.C.A. § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.21 VOTING BY ELECTRONIC VOTING MACHINES

Under the provisions of T.C.A. §2-7- 113 for at least the first two county wide elections in which electronic voting machines are used the machine operator shall fully instruct the voter on how to operate the machine.

History

Authority: T.C.A. § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effetive May 27, 1987. 1360-02-13-22 LOCKING MACHINES UPON CLOSE OF POLLS—CANVASS AND PROCLAMATION OF VOTES. Upon close of the polls the judges shall, under provisions of T.C.A. § 2-7-130, lock the machines against voting and shall sign a certificate on the tally sheet that each machine has been locked against voting; the number of voters as shown on the public counters; and the number registered on the protective counter. The judges shall then, in the presence of watchers and others who are present, run the election results paper tape. The judges shall give the first paper tape, including pre-opening zero (000) tape, and the second paper tape to the precinct registrars. The third paper tape, from each machine, shall be posted on the wall of the polling place. The first results tape, including pre-opening zero (000) tape, from each machine and a precinct total tape shall be attached to the original tally sheet, and the second paper tape from each machine and a precinct total tape shall be attached to the duplicate tally sheet by the precinct registrars. Ample opportunity shall be given to any person present to obtain the results from the paper tapes posted on the wall of the polling place. Authority: T.C.A. § 2-11-201(c).

Tenn. Comp. R. & Regs. 1360-02-13-.23 TRANSPORTING MEMORY CARTRIDGES AND REMAINING ELECTION

MATERIALS TO COUNTY ELECTION COMMISSION. The officer of elections, accompanied by either a judge or precinct registrar of another political party, as provided in T.C.A. §2-7-138, shall immediately deliver the memory cartridges and other election materials as specified by the county election commission. They shall travel in the same automobile and shall not be permitted to stop except as required by law or for emergency. At no time shall the memory cartridges and the certification materials be left unattended.

History

Authority: T.C.A. § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Tenn. Comp. R. & Regs. 1360-02-13-.24 PERIOD ELECTION RESULTS TO REMAIN SEALED IN MACHINES AND MEMORY

CARTRIDGES. Under the provisions of T.C.A. §2-9-108, the election results shall be retained in all machines used in the election and the memory cartridge from each such machine shall remain sealed for ten (10) days after the election, or as much longer as may be necessary because of election contest.

History

Authority: T.C.A. § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987. -02-13-.25 OPTIONS AVAILABLE TO COUNTIES USING ELECTRONIC MACHINES FOR EARLY VOTING. County election commissions may use electronic voting machines for early voting. In determining the procedures of early voting for a county, the county election commission is granted the following options: (a) Placing all the races on the machine ballot; or (b) Placing part of the races on machine ballot and part of the races on paper ballot (e.g. District Races); or (c) Placing all the races on paper ballot. Regardless of which option is chosen, no machine shall have more than 9999 voters using the machine during the specified time frame for early voting. Authority: T.C.A. §§ 2 -11-201(c), 2-6-104(d).

Tenn. Comp. R. & Regs. 1360-02-13-.27 PROCEDURES WHEN PART OF THE RACES ARE ON MACHINE BALLOT AND

PART ON PAPER BALLOT.

(1) When the voter completes his or her early voting application, the registrar shall compare the signature of the voter with the signature on the voter’s permanent registration record or other evidence of identification if computerized duplicate registration records are used, and shall endorse on the application that the two signatures are, or are not, the same.

(2) Any voter desiring to cast a write-in vote in any race included on the machine ballot, may request a paper ballot in order to write-in the name. This request must be made before operating a voting machine, and a voter after receiving a paper ballot may not enter a voting machine. For voters desiring to cast a write-in ballot, the procedures outlined in T.C.A. §§ 2- 7-114 and 2-7-117 shall apply.

(3) If the voter does not wish to cast a write-in ballot, the voter shall be required to mark his or her paper ballot before entering the voting machine. This shall be strictly adhered to in order to prevent concerns about the conduct of the election and its fairness to all candidates on the ballot.

The registrar shall hand the voter the following:

(a) Instructions.

(b) One paper ballot for each election in which the voter is eligible to vote.

(4) The voter shall be shown that the ballot is unmarked. The voter shall mark his or her ballot in secret at the designated place in the office. After the voter marks his or her ballot, the voter shall fold the ballot, place it in the security envelope, and seal the envelope. In the presence of the election official, the voter shall sign the sworn statement on the security envelope and give the security envelope to the election official.

(5) The election official shall immediately sign the security envelope and deposit the envelope in the correct ballot box in the presence of the voter. Additionally, if assistance is required, it should be rendered according to T.C.A. § 2-7-116 and the person assisting should sign the envelope as well in the appropriate blank. The election official shall then complete the machine application and have the voter sign the application. Only after the paper ballot is turned in may the election official tear the machine application off the bottom of the early voting application and hand it to the voter. The individual’s permanent registration record or the computer signature list will be marked recording that he or she voted in the election. The registrar shall write the name of the voter on the poll list.

(6) The voter shall give the machine application to the election official in charge of the voting machine. The election official shall initial the machine application and place it on the top of the application binder for that machine. The election official shall set the machine for the correct elections and then set the officer’s control. The voter shall vote in secret unless he or she needs assistance. Should the voter require assistance, the procedures outlined in T.C.A. § 2-7-116 will govern the rendering of that assistance.

History

Authority: T.C.A. §§ 2 -11-201(c), 2-6-104(d).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-13-.28 EARLY VOTING INSPECTIONS FOR ELECTRONIC MACHINES - ELECTION

COMMISSION PRE-INSPECTION. The county election commission shall be required to pre-inspect every voting machine to be used in early voting prior to the start of early voting. Before examining the voting machines, the election commission shall mail notices to the chairpersons of the county executive committees of the political parties, independent candidates, and the press stating where and when the machines will be examined pursuant to T.C.A. § 2-9-105. Prior to this pre-inspection by the election commission, the voting machine technician shall prepare each machine to be used for voting and record all counter numbers and seal numbers on the technician’s certification. This form should be substantially identical to the certification form used for certification of voting machines at the polling places. All candidates’ names, counter numbers and seal numbers shall be verified. The case shall then be sealed with a numbered seal and the number recorded on the technician’s certification. In lieu of this inspection by the election commission, the commission may delegate its duty to examine the machines to the voting machine technician as provided in T.C.A. § 2-9-105(e).

History

Authority: T.C.A. §§ 2 -11-201(c), 2-6-104(d).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-13-.29 EARLY VOTING DAILY OPENING INSPECTION

(1) Prior to opening the voting machines on day one of early voting, the registrar and at least one election official representing each political party shall verify the case seal number from the technician’s certification and open the machine. After the remaining seal numbers and the counter numbers have been verified and recorded on the Daily Machine Certification, the registrar and the political party representatives shall sign the Daily Machine Certification. If there is any discrepancy after the comparison with the technician’s certification, a written report shall be made of the number, the machine involved and the names of the individuals present. This report shall be forwarded to the State Coordinator of Elections as well as to the chairman and secretary of the county election commission. This machine shall not be used without authorization from the State Coordinator of Elections.

(2) After the registrar and election officials certify the machine, the “OPEN POLLS” seal shall be removed and the “OPEN POLLS” button pressed. The machine tape must now be dated and signed by the registrar and the representatives of the political parties. There shall be an “Application for Ballot” binder for each voting machine where the applications shall be kept in the order they are received.

(3) A daily opening inspection shall be conducted each day prior to the machine(s) being placed in use for early voting.

History

Authority: T.C.A. §§ 2 -11-201(c), 2-6-104(d).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-13-.30 EARLY VOTING DAILY CLOSING INSPECTION

(1) At the close of voting hours for each day during the early voting period, the registrar and at least one election official representing each political party shall record and certify the protective counter number and the public counter number and all seal numbers on the Daily Machine Certification (see “Sample A”). Also at the end of each day, the applications for each machine shall be: counted, bound, dated, labeled by machine serial number and stored in a locked, secure place in the election commission office or at the satellite commission office if the county has chosen to use such. The total number of voters and the total number of “Applications for Ballot” shall also be recorded for each machine. After completion of this certification, a numbered seal shall secure the case, and this seal number shall be recorded.

The Daily Machine Certification shall be signed by the registrar and the political party representatives. The machine(s) shall then be moved to a locked, secured place for overnight storage. Each county election commission shall secure prior written approval from the State Coordinator of Elections of the overnight storage location if the machines are stored at a location other than the county election commission office.

(2) The daily closing inspection shall be conducted each day of the early voting period.

History

Authority: T.C.A. §§ 2 -11-201(c), 2-6-104(d).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995. TECHNICIAN'S CERTIFICATION EARLY VOTING BY PERSONAL APPEARANCE Voting Machine No. _____________________ DAILY MACHINE CERTIFICATION Beginning Case Seal No. _________________ (1242 MACHINES) District(s) _________________ Beginning Open Polls Seal No. ____________ _______ COUNTY Beginning Close Polls Seal No. ____________ Precinct(s) _________________ Beginning Printer Door Seal No. ___________ Election Date: _________ Beginning Protective Counter No. __________ Ward(s) __________________ Beginning Public Counter No. _____________ Election(s) Held: _______________________________ POLLS OPEN POLLS CLOSE Dat e Close Polls Seal No. Printer Dor Seal No. Protective Counter No. Public Counter No. Unloc k Witnesses Protective Counter No. Public Counter No. No. of Machine Voters No. of Machine Apps. Case Seal No. Lock Witnesses

Tenn. Comp. R. & Regs. 1360-02-13-.31 EARLY VOTING ELECTION DAY PROCEDURES (CLOSING POLLS)

After the close of the polls on election day, the registrar and the absentee counting board in the presence of those members of the county election commission who are present, shall verify and record the public counter number and the protective counter number and verify, record, and remove the numbered case seal and shall verify, record and remove the “CLOSE POLLS “ seal. The “CLOSE POLLS” button shall be pressed to ensure no additional votes may be cast on the machine. The printer door seal shall be verified, recorded and removed. The cartridge may then be removed from the machine and mechanically read and printed to retrieve the votes cast. The paper tape may be removed from the machine and filed with other early voting documents. A numbered seal shall secure the case, and the machine shall be stored in a secure place for return to the machine warehouse. This procedure shall be followed for each machine used for early voting.

History

Authority: T.C.A. §§ 2 -11-201(c), 2-6-104(d).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-13-.32 SAFEGUARDS AND SECURITY OF MACHINES USED FOR EARLY VOTING

(1) The machines shall be stored overnight in a locked, secure place and shall not be removed until the election officials arrive for the next day of voting or until election day and close of the polls. The original daily record of inspection shall be kept in a secure, locked location inside the election office.

(2) After the election has been certified, the original daily inspections shall be filed with other election materials. A certified copy of all daily inspections shall be provided to the State Coordinator of Elections at the same time as the Certification of Absentee Balloting (or Certification of Early Voting) as required in T.C.A. § 2-6-304(f).

(3) These procedures do not preclude any additional security measures being implemented by county election commissions.

History

Authority: T.C.A. §§ 2 -11-201(c), 2-6-104(d).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-13-.33 PROCEDURE FOR MACHINES WITH 9999 VOTERS

No machine shall have more than 9,999 voters using a machine during the early voting period. In the event the public counter reaches 9,999, the machine shall be locked and removed from service. When the machine is removed from service, the date and hour of removal shall be recorded and certified on the “Daily Machine Certification”.

The machine shall then be moved to a locked, secure place until election day and close of the polls.

History

Authority: T.C.A. §§ 2 -11-201(c), 2-6-104(d).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-13-.34 EARLY VOTING OFFICIALS

(1) In any election in which voting machines are utilized, the county election commissions shall appoint a sufficient number of early voting officials to insure the integrity of the ballot and smooth operation of the election. Special attention shall be given to ensure that the voting machines are secured at all times to ensure against unauthorized use. The commission shall appoint two early voting officials. Members of the election commission representing the majority party shall appoint one official, and members representing the minority party shall appoint one official. In appointing additional early voting officials as need requires, the members of the commission of the majority and minority parties should continue to alternate in appointing officials.

(2) Duties of the early voting officials shall be to assist the voter in casting his or her vote as allowed by law, including, but not limited to, the following: operating voting machines, attesting ballots, verifying signatures, completing applications, issuing ballots, assisting disabled voters, and conducting machine inspections. The registrar shall direct the early voting officials according to the election code in carrying out their duties. Early voting officials shall be given an oath as detailed in T.C.A. § 2-1-111.

History

Authority: T.C.A. §§ 2 -11-201(c), 2-6-104(d).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-13-.35 NOTICE OF PENALTY

Each early voting machine shall have the following language labeled on a front door and on a back door:

“It is a class E felony to deface, mutilate, and/or tamper with a voting machine used by this county (T.C.A. § 2-19-118).”

The letters for the label shall be a minimum of 3/4 inches tall.

History

Authority: T.C.A. §§ 2 -11-201(c), 2-6-104(d).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-03-13-.16 VOTER EDUCATION

The county election commission shall provide advance publicity through the news media and brochures on the method of voting on electronic voting machines. Such commission shall endeavor to secure maximum publicity, education and training for the voter prior to election day.

History

Authority: T.C.A. § 2-11-201(c).
Administrative History: Original rule filed February 24, 1987; effective May 27, 1987.

Chapter 1360-02-14 Absentee Voting by Mail with Punchcards

Tenn. Comp. R. & Regs. 1360-02-14-.01 PUNCHCARDS TO BE USED

In those counties which utilize a punchcard voting system, punchcards and appropriate supplies shall be provided for eligible voters desiring to cast an absentee ballot by mail.

History

Authority: T.C.A. §§2—9—110 and 2—7—117.
Administrative History: Original rule filed July 6, 1988; effective October 24, 1988.

Tenn. Comp. R. & Regs. 1360-02-14-.02 PROCEDURES FOR ISSUANCE

(1) Upon proper application by a voter for an absentee by mail ballot, the registrar shall process the application in accordance with T.C.A. §62—6—111, and shall issue to the voter the following supplies:

(a) An appropriately prepunched absentee ballot.

(b) A write-in envelope.

(d) A ballot guide for absentee voting, indicating the punch portions for each candidate for each office in the selection.

(e) A set of Instruction for Absentee Voting by Mail, which adequately describes the procedures to be followed to cast a punchcard ballot by mail.

(f) A disposable ballot punch.

History

Authority: T.C.A. §§2—9—110 and 2—7—117.
Administrative History: Original rule filed July 6, 1988; effective October 29, 1988. -- 1 of 1 --

Chapter 1360-02-15 Procedures for Early Voting on Mechanical Lever Machines

Tenn. Comp. R. & Regs. 1360-02-15-.01 ADOPTION AND PROMULGATION

The following rules and regulations for early voting on mechanical lever voting machines in the State of Tennessee are adopted and promulgated by the Coordinator of Elections of the State of Tennessee and approved by the Tennessee Secretary of State under the authority of T.C.A. §§2-11-201(c) and 2-6-104(d), as amended by 1994 Tenn. Pub. Acts, ch. 859, §2.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.02 INTENT OF REGULATIONS

It is the intent of these regulations to provide uniform procedures for the use of mechanical lever voting machines for early voting in the State of Tennessee so that:

(a) The freedom and purity of the ballot is safeguarded.

(b) The county election commissions in this state shall have the option, with the approval of the State Coordinator of Elections and the State Election Commission, to use alternate electoral devices, the regulations of which are not presently provided in the Election Code of the State of Tennessee as embodied in Chapter 740, Public Acts of the General Assembly of Tennessee, 1972, (Title 2, Tennessee Code Annotated), as amended.

(d) A uniform procedure for the use of mechanical lever voting machines for early voting will be in use throughout the State of Tennessee.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.03 VOTER APPLICATION

A voter desiring to vote early by personal appearance shall go to the county election office within the posted hours no more than 20 days nor less than 5 days before the day of the election and sign an application to vote early. Additionally, counties may use their mechanical lever machines during the emergency absentee voting period as specified in T.C.A. §2-6-401. Applications for ballots shall be on forms supplied to the county election commission by the State Coordinator of Elections or on forms approved by the Coordinator.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.04 OPTIONS AVAILABLE TO COUNTY ELECTION COMMISSIONS USING

MECHANICAL LEVER MACHINES.

(1) County election commissions may use mechanical lever machines for early voting. In determining the procedures of early voting for a county, the county election commission is granted the following options:

(a) Placing all the races on the machine ballot; or (b) Placing part of the races on machine ballot and part of the races on paper ballot (e.g. District Races); or (c) Placing all the races on paper ballot.

Regardless of which option is chosen, no machine shall have more than 999 voters using the machine during the specified time frame for early voting.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.05 PROCEDURES WHEN ALL THE RACES ARE ON MACHINE BALLOT

(2) Any voter desiring to cast a write-in vote may request a paper ballot in order to write-in the name. This request must be made before operating a voting machine, and a voter after receiving a paper ballot may not enter a voting machine. For voters desiring to cast a write-in ballot, the procedures outlined in T.C.A. §§2-7-114 and 2-7-117 shall apply.

(3) If no write-in ballot is requested, the election official will complete and tear off the machine application on the bottom of the early voting application and hand it to the voter. The back of the voter’s permanent registration record or the computer signature list will be marked recording his or her vote. The registrar shall write the name of the voter on the poll list. The voter shall give the machine application to the election official in charge of the voting machine. The election official shall initial the machine application and place it on the top of the application binder for that machine, set the machine for the correct elections, and set the officer’s control. The voter shall vote in secret unless he or she needs assistance. Should the voter require assistance due to a physical disability or illiteracy, the procedures in T.C.A. §2-7-116 shall govern the rendering of that assistance.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.06 PROCEDURES WHEN PART OF THE RACES ARE ON MACHINE BALLOT AND PART

ON PAPER BALLOT.

(a) Instructions.

(b) One paper ballot for each election in which the voter is eligible to vote.

(5) The election official shall immediately sign the security envelope and deposit the envelope in the correct ballot box in the presence of the voter. Additionally, if assistance is required, it shall be rendered according to T.C.A. §2-7-116 and the person assisting shall sign the envelope as well in the appropriate blank. The election official shall then complete the machine application and have the voter sign the application. After, and only after, the paper ballot is turned in, the election official shall tear the machine application off the bottom of the early voting application and hand it to the voter. The voter’s permanent registration record or the computer signature list shall be marked recording that he or she voted in the election. The registrar shall write the name of the voter on the poll list.

(6) The voter shall give the machine application to the election official in charge of the voting machine.

The election official shall initial the machine application and place it on the top of the application binder for that machine. The election official shall set the machine for the correct elections and then set the officer’s control. The voter shall vote in secret unless he or she needs assistance. Should the voter require assistance, the procedures outlined in T.C.A. §2-7-116 shall govern the rendering of that assistance.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.07 ELECTION COMMISSION PRE-INSPECTION

(1) The county election commission shall be required to pre-inspect every voting machine to be used in early voting prior to the start of early voting. The election commission shall mail notices to the chairpersons of the county executive committees of the parties, independent candidates, and the press stating where and when the machines will be examined as provided in T.C.A. §2-9-105. County Election Commissions may delegate this responsibility to pre-inspect to the machine technician. First, the protective counter, public counter, machine serial number, back door seal number, and custodian seal (on the inside face of the machine), shall all be recorded on the Early Voting Machine Technician Certification form. This form shall be substantially identical to the Machine Technician Certification form used for certification of voting machines at the polling places. All candidates’ names and counters shall be checked to certify that no errors exist and that each candidate’s counter starts with zero. The inspectors shall verify that this has been accomplished by written signature on the Early Voting Machine Technician Certification form. The election commissioners shall not set the machine for voting.

(2) Following the pre-inspection, each machine shall be locked against voting and sealed with two prenumbered seals. The seal numbers shall be recorded on the Early Voting Technician Certification form after the pre-inspection.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.08 OPENING INSPECTION

(1) At the beginning of each day of early voting, the registrar and at least one early voting election official representing each political party shall verify that the numbers on all seals and the protective counter match those recorded on the machine certification form. If the numbers properly match, then the machine may be opened. If the numbers do not match, a written report shall be made of the numbers, the machine involved, and the names of the individuals present. This report shall be forwarded to the State Coordinator of Elections as well as to the chairman and secretary of the county election commission. This machine shall not be used without authorization from the State Coordinator of Elections.

(2) If the numbers mentioned in paragraph one (1) properly match, the registrar and election officials shall open the machine. With the front door of the voting machine open, the names and counters shall be inspected to make certain that no errors exist. On the first day of early voting, the registrar and election officials shall certify that all candidates’ counters start with zero. The registrar and at least one election official representing each political party shall then certify that pre-inspection has been completed on day one of the early voting period. This certification is made on the Daily Machine Certification form for that individual machine (See “Sample A”). Only after this signed certification is completed may the machine be set for early voting. Each machine shall have a binder tablet with the machine’s serial number on it in which to place the machine applications in the order that they are received.

(3) At the beginning of the next day of early voting, and each subsequent day of early voting through the 5th day before the election, a daily opening inspection shall again be conducted prior to the machine being placed in use for that day’s early voting. The registrar and election officials shall follow the procedures detailed above and verify that the counter and seal numbers match those recorded during the preceding day’s closing inspection, detailed below in rule 1360-2-15-.09. If the numbers do not match, a written report shall be made of the numbers, the machine involved, and the names of the individuals present. This report shall be forwarded to the State Coordinator of Elections as well as to the chairman and secretary of the county election commission. This machine shall not be used further without authorization from the State Coordinator of Elections.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.09 DAILY CLOSING; INSPECTION

(1) At the close of business for each early voting day, the registrar and at least one early voting official representing each political party shall perform the following inspections:

(a) For each machine, the number on the public counter and protective counter as well as the seal numbers on the back door and the custodian’s seal on the inside face of the machine shall be recorded on the daily inspection sheet.

(b) The number of machine applications for that day for each machine shall be counted and recorded on the daily inspection sheet. The numbers shall be audited for accuracy.

(c) Upon determining that the numbers all agree, the machine shall be locked and sealed. The seal numbers shall be recorded on the Daily Machine Certification. The machine shall not be set in the “polls closed” position. The registrar and at least one election official representing each political party shall sign the closing inspection certifying that this was accomplished. If the numbers do not agree, a report shall be completed detailing the variations and the machine technician shall inspect the machine prior to any additional use in order to make sure it is in proper working order.

(2) Daily opening inspections and daily closing inspections shall be completed throughout the entire early voting period through the 5th day prior to the election.

(3) Notwithstanding the above provisions, between the close of early voting and election day, county election commissions have the discretion to continue to use voting machines to accommodate those individuals who need to vote absentee because of one of the emergency circumstances listed under T.C.A. §2-6-401. If the commission chooses to do so, all the procedures for daily opening and closing inspections and safeguarding the machines shall be followed on those days as well.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.10 CERTIFICATION OF VOTE TOTALS ON ELECTION NIGHT

(1) After the close of the polls on election day, the registrar and the early voting counting board in the presence of the available members of the county election commission, shall conduct an opening inspection on the Daily Machine Certification for each machine. The public counter and protective counter shall be recorded along with the back door seal and the custodian seal on the front face of the machine. After this is recorded and signed by individuals representing each political party, then the counter compartments shall be opened.

(2) A Certificate of Results shall be completed for all races and machines. This shall be completed according to the same procedures detailed in T.C.A. §2-7-130 for all precincts across the state. After the procedures have been completed and the machine locked against voting, numbered seals shall be attached with the numbers recorded on the Certificate of Results. Early voting machines shall be subject to the provisions in T.C.A. §§2-8-104 and 2-9-108.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.11 SAFEGUARDS AND SECURITY OF EARLY VOTING MACHINES

(1) The original Daily Machine Certification form shall be kept in a secure, locked location inside the election office. Copies may be mailed, subject to the discretion of the local election commission, to the chairman and the secretary of the county election commission at the close of business each day the machines are used.

(2) After the election has been certified, the original Daily Machine Certification form shall be filed with the election supplies. A certified copy of all Daily Machine Certification forms shall be provided to the State Coordinator of Elections with the Certification of Early Voting Balloting as authorized in T.C.A. §2-6-304.

(3) At the end of each day, the applications for each machine shall be: counted, bound, dated, labeled by machine serial number, and stored in a locked, secure place until the certification of absentee voting.

(4) The keys for each machine shall be kept by the registrar in a secure place located inside the election commission office or at the satellite commission office if the county election commission has chosen to use such. This is necessary to lock and unlock machines daily for early voting.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.12 NOTICE OF PENALTY

Each early voting machine shall have the following language labeled on a front door and on a back door:

“It is a class E Felony to deface, mutilate, and/or tamper with a voting machine used by this county (T.C.A. 2-19-118).”

The letters for the label shall be a minimum of 3/4 inches tall.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.13 PROCEDURE FOR MACHINES WITH 999 VOTERS

No machine shall have more than 999 voters using it during the early voting period. If the public counter on a machine reaches 999, that machine shall be locked against any further voting. T.C.A. §2-7-130 describes the procedure used at the polling place on election day.

For early voting, the registrar, in the presence of at least one early voting official representing each political party, shall use the Officer #1 key to lock the machine against voting. The candidates’ counters shall not be exposed. The “polls open” switch shall not be moved in order to prevent revealing the machine’s vote totals for each candidate.

The machine shall be locked and sealed. The machine shall be stored inside the election commission office or in a secure location to be determined by a majority of the members of the county election commission. A copy of the closing inspection for a machine with 999 votes may be mailed to the chairman and secretary of the county election commission, subject to the discretion of the local election commission.

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-15-.14 EARLY VOTING OFFICIALS

History

Authority: T.C.A. §§2-6-104(d) and 2-11-201(c).
Administrative History: Original rule filed October 20, 1995; effective February 28, 1995. Sample A EARLY VOTING DAILY MACHINE CERTIFICATION FOR 3.2 SHOP LEVER MACHINES _________________COUNTY TECHNICIAN'S CERTIFICATION MACHINE SERIAL # _____________________ SECURITY BAR # _________________ # ____________________ PROTECTIVE COUNTER # ________________ BACK DOOR SEAL # ________________ PUBLIC COUNTER # _____________________ CUSTODIAN SEAL # ________________ ELECTIONS HELD _________________________ DATE OF ELECTION ________________ OPENING INSPECTION CLOSING INSPECTION AUDIT # OPENING SIGNATURES PROTECTIVE COUNTER # _________________ _________________ __________ 1. _________________________ PUBLIC COUNTER # _________________ _________________ __________ 2. _________________________ BACK DOOR SEAL # _________________ _________________ 3. _________________________ CUSTODIAN'S (INSIDE FACE) SEAL # _________________ _________________ CLOSING SIGNATURES SECURITY # # BAR SEALS # _____________ # _____________ 1. _________________________ START STOP # OF MACHINE 2. _________________________ APPLICATIONS THIS DAY _________________ __________ 3. _________________________ -------------------------------------------------------------------------------------------------------------------------------------------------------- DATE: _____________ OPENING INSPECTION CLOSING INSPECTION AUDIT # OPENING SIGNATURES PROTECTIVE COUNTER # _________________ _________________ __________ 1. _________________________ PUBLIC COUNTER # _________________ _________________ __________ 2. _________________________ BACK DOOR SEAL # _________________ _________________ 3. _________________________ CUSTODIAN'S (INSIDE FACE) SEAL # _________________ _________________ CLOSING SIGNATURES SECURITY # # BAR SEALS # _____________ # _____________ 1. _________________________ START STOP # OF MACHINE 2. _________________________ APPLICATIONS THIS DAY _________________ __________ 3. _________________________

Chapter 1360-02-16 Procedures for Preparing Lists of Those Individuals Who Vote Early

Tenn. Comp. R. & Regs. 1360-02-16-.01 ADOPTION AND PROMULGATION

The following rules and regulations for compiling lists of voters who vote early are adopted and promulgated by the Coordinator of Elections of the State of Tennessee and approved by the Tennessee Secretary of State under the authority of T.C.A. §2—11—201(c).

History

Authority: T.C.A. §2—11—201(c).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-16-.02 INTENT OF REGULATIONS

It is the intent of these regulations to provide procedures by which county election commissions will supplement statutory requirements to compile lists of individuals who participate in early voting to help insure that the integrity of the early voting process is above reproach in both perception and in fact.

History

Authority: T.C.A. §2—11—201(c).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-16-.03 PREPARATION OF LISTS OF EARLY VOTERS

Each county election commission shall prepare, for each day of the early voting period, a list of all persons who voted on the previous day. This list shall include ballots received by mail during the previous day.

History

Authority: T.C.A. §2—11—201(c).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-16-.04 SUBMISSION TO NEWSPAPERS

The list described in 1360—2—16—.03 shall be provided to a newspaper of general circulation as that term is defined at T.C.A. §2—1—104(a)(12) so that the paper may publish the information if it so chooses. The list shall also be provided to any other publication requesting it.

History

Authority: T.C.A. §2—11—201(c).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995.

Tenn. Comp. R. & Regs. 1360-02-16-.05 AVAILABILITY OF LISTS TO CANDIDATES

Under open records laws of the State of Tennessee these lists are open for inspection to any citizen of the state. In addition, if requested by a person who is a candidate in the election in which early voting is being conducted, a copy of the list shall be mailed to that candidate, on a daily basis, at an address he or she provides to the county election commission. The county election commission may charge a reasonable cost for production of this list not to exceed the cost of producing the list.

History

Authority: T.C.A. §2—11—201(c).
Administrative History: Original rule filed October 20, 1994; effective February 28, 1995. -- 1 of 1 --

Chapter 1360-02-17 Appendix

Tenn. Comp. R. & Regs. 1360-02-17-.01 Appendix COUNTY ELECTION COMMISSION BALLOT RECONCILIATION REPORT _____ DATE PRECINCT DEMOCRATIC PRIMARY BALLOTS ISSUEDTOTOTAL REPUBLICAN PRIMARY BALLOTS ISSUED_TO___TOTAL GENERAL ELECTION BALLOTS ISSUEDTO_TOTAL___ Democratic PUNCH CARD BALLOTS 1.Number of the FIRST UNUSED ballot 2.Number of the FIRST USED ballot-subtract 3.Total number of punch card ballots used_ 4.Total number of spoiled or rejected ballots-subtract 5.Total number of citizens voted Republican punch CARD BALLOTS 1.Number of the FIRST UNUSED ballot_ 2.Number of the FIRST USED ballot-_subtract 3.Total number of punch card ballots used 4.Total number of spoiled or rejected ballots-_subtract 5.Total number of citizens voted GENERAL PUNCH CARD BALLOTS 1.Number of the FIRST UNUSED ballot 2.Number of the FIRST USED ballot-_subtract 3.Total number of punch card ballots used 4.Total number of spoiled or rejected ballots-_____subtract 5.Total number of citizens voted TOTAL NUMBER OF DEMOCRATIC BALLOTS (line 5)

TOTAL NUMBER OF REPUBLICAN BALLOTS (line 5)+ TOTAL NUMBER OF GENERAL BALLOTS (line 5) + TOTAL NUMBER OF BALLOTS________TOTAL *TOTAL NUMBER OF SIGNATURES ON SIGNATURE LlST TOTAL NUMBER OF BALLOTS AND SIGNATURES MUST BE THE SAME.

SEAL NUMBER ON BALLOT BOX ______________ _________________________________

SEAL NUMBERS ON VOTOMATICS:

SIGNATURES: __________________________________________________

(officer)(judge) __________________________________________________ (judge)(judge)

DUPLICATION BOARD LOG

PRECINCT

NUMBER

DAMAGED BALLOTS

RECEIVED

BALLOTS

DUPLICATED

BOARD MEMBER

INITIALS

Figure 5 DATA PROCESSING BOARD LOG PRECINCT NUMBER TIME RECEIVEDNUMBER OF BALLOTS (COMPUTER TOTAL)

REMARKS

Figure 6

History

Authority: T.C.A. §§2—11—201(c) and 2—7—117(b) .
Administrative History: Original rule filed August 19, 1994; effective December 29, 1994.

Chapter 1360-02-18 Downloading Early Voting Results

Tenn. Comp. R. & Regs. 1360-02-18-.01 ADOPTION AND PROMULGATION

The following rules and regulations for removing voting results from machines used in early voting in the State of Tennessee are hereby adopted and promulgated by the Coordinator of Elections of the State of Tennessee and approved by the Tennessee Secretary of State under the

authority of Sections 2—11—201(c) and 2—6—304(e), Tennessee Code Annotated.

History

Authority: T.C.A. §§2—11—201(c) and 2—6—304(e).
Administrative History: Original rule filed September 21, 1995; effective January 28, 1996.

Tenn. Comp. R. & Regs. 1360-02-18-.02 INTENT OF REGULATIONS

It is the intent of these regulations to provide standard procedures for removing voting results from machines used in early voting in the State of Tennessee in such a manner that:

(a) The freedom and purity of the ballot is safeguarded;

(b) The several county election commissions in this state shall be able to use voting machines for early voting and retain the option to use the same machines on election day;

(d) A uniform procedure for removing results from machines used in early voting will be in use throughout the State of Tennessee;

(e) Maximum participation by all citizens in the electoral process will be encouraged; and (f) The total of votes cast will accurately reflect the will of the voters participating in any given election.

History

Authority: T.C.A. §§2—11—201(c) and 2—6—304(e).
Administrative History: Original rule filed September 21, 1995; effective January 28, 1996.

Tenn. Comp. R. & Regs. 1360-02-18-.03 STATE ELECTION CODE GOVERNS

History

Authority: T.C.A. §§2—11—201(c) and 2—6—304(e).
Administrative History: Original rule filed September 21, 1995; effective January 28, 1996.

Tenn. Comp. R. & Regs. 1360-02-18-.04 REGULATIONS HAVE FORCE OF LAW

These regulations shall have the force of law until otherwise adopted, modified, amended, or repealed by the General Assembly of the State of Tennessee.

Failure to follow the procedures of these rules shall be cause for a disciplinary hearing before the State Election Commission to investigate the actions of the county election commission.

History

Authority: T.C.A. §§2—11—201(c) and 2—6—304(e).
Administrative History: Original rule filed September 21, 1995; effective January 28, 1996.

Tenn. Comp. R. & Regs. 1360-02-18-.05 REMOVING RESULTS FROM MECHANICAL LEVER MACHINES

In removing the results from mechanical lever machines, the County Election Commission shall follow the procedures outlined in T.C.A. § 2—7—130. As the statute indicates, this process should not begin until after the close of polls on election day. Mechanical lever machines used in early voting may not be reset and used again on election day.

History

Authority: T.C.A. §§2—11—201(c) and 2—6—304(e).
Administrative History: Original rule filed September 21, 1995; effective January 28, 1996.

Tenn. Comp. R. & Regs. 1360-02-18-.06 PROVISION OF NOTICE

The county election commission shall provide notice to all candidates and political parties of the place and time when the individual machine results will be removed from those electronic voting machines used during early voting. Votes must be removed from the machines in such a manner so that no vote totals can be associated with any candidate at the time of removal. In no event may the votes for any candidate be totaled until after all polls in the county are closed. All machines used in early voting shall be brought to the location designated in the notice and the results removed on that occasion.

History

Authority: T.C.A. §§2—11—201(c) and 2—6—304(e)
Administrative History: Original rule filed September 21, 1995; effective January 28, 1996.

Tenn. Comp. R. & Regs. 1360-02-18-.07 OFFICIALS INVOLVED IN REMOVING RESULTS

The majority party members of the county election commission shall appoint one person and the minority party members of the county election commission shall appoint one person to represent their respective parties in performing the task of removing the results from machines used in early voting. These representatives may be a machine technician, a member of the county election commission, or someone else knowledgeable about the operation of voting machines. Additionally, the registrar, or someone designated by the registrar, shall be present while results are removed from the machine.

While this process is conducted, others may be present to observe, but may not approach within ten feet (10') of the voting machine.

History

Authority: T.C.A. §§2—11—201(c) and 2—6—304(e).
Administrative History: Original rule filed September 21, 1995; effective January 28, 1996. 360—2—18—.08 CERTIFYING THE CONDITION OF THE MACHINES. Prior to opening the machine, the registrar or deputy registrar and a representative of the majority political party and of the minority political party (these representatives may be the machine technicians) shall examine all seals and counter numbers on the machine for signs of tampering and compare the numbers with the closing inspection figures on the Daily Machine Certification for the last day of early voting. If there are any discrepancies, the machine shall not be opened. Any problems shall be reported to the Coordinator of Elections while the machine remains locked and sealed. If there are no problems, the registrar and the representative of each political party shall date and sign the Daily Machine Certification. Authority: T.C.A. §§2—11—201(c) and 2—6—304(e).

Tenn. Comp. R. & Regs. 1360-02-18-.09 REMOVING RESULTS FROM MICROVOTE MACHINES

The county election commission shall follow substantially the same procedures as are performed on election night to remove vote totals from voting machines produced by the Microvote Corporation, with exceptions only as noted below.

(1)When programming the machines prior to early voting, the machine must be set to print results by NUMERIC report under the ADVANCED UTILITIES options, as opposed to ALPHA-NUMERIC.

(2)One of the technicians shall cut the seal on the judge’s compartment access cover. The technician shall slide back the cover and press the latch bar to open the door on the judge’s compartment.

The technician shall press the MODE button and then press the CAST VOTE button to begin tallying the results. No other buttons shall be pressed on the machine until after the memory cartridge has been removed. The judge’s compartment door shall be closed while the printer is printing the results.

(3)Once the printer has stopped printing the results, a technician shall open the judge’s compartment door and remove the tape with the printed results from the spool without unwinding the tape. This tape shall immediately be placed in an envelope without examination; the technician shall mark the envelope with the number of the voting machine and any other necessary information for matching the results to the appropriate elections.

(4)A technician shall then open the custodian’s compartment and remove the audit trail tape in the same manner as the tape with the official results. This tape shall be placed in the envelope with the other printout. The envelope shall be sealed and the representative of each political party and the registrar shall sign across the flap of the envelope. The envelope shall then be placed in a ballot box.

(5)A technician shall cut the seal inside the judge’s compartment and then remove the memory cartridge and place it in a separate envelope from the printout. The envelope shall be sealed and the representative of each political party and the registrar shall sign across the flap of the envelope.

The envelope shall then be placed in a ballot box.

History

Authority: T.C.A. §§2—11—201(c) and 2—6—304(e).
Administrative History: Original rule filed September 21, 1995; effective January 28, 1996.

Tenn. Comp. R. & Regs. 1360-02-18-.10 REMOVING RESULTS FROM SHOUPTRONIC MACHINES

(1)After the machine has been examined according to the manner described in 1360—2—18—.08, a technician shall cut the necessary seals and open the back of the machine. The CLOSE POLLS button shall NOT be pressed.

(2)The technician shall enter the necessary instructions to cause the machine to print a numerically coded report that indicates election results according to ballot position. Once the machine has stopped printing the results, a technician shall cut the necessary seals and open the printer compartment. The printer tape shall be removed without examination. This tape shall be immediately placed in an envelope. The envelope shall be marked with the machine number and any other necessary information for matching the results to the appropriate elections. The envelope shall be sealed and the representative of each political party and the registrar shall sign across the flap of the envelope. The envelope shall then be placed in a ballot box.

(3)Next, a technician shall remove the memory cartridge from the machine. The cartridge shall be placed in a separate envelope from the printed tape. The envelope shall be marked with the machine number and any other necessary information for matching the results to the appropriate elections. The envelope shall be sealed and the representative of each political party and the registrar shall sign across the flap of the envelope. The envelope shall then be placed in a ballot box.

(4)In order to remove the resident memory of results in the voting machine, a new cartridge programmed for use on election day shall be placed in the machine and the machine shall immediately be programmed for re-use. Even if the county election commission is uncertain about whether it will need a machine or does not intend to use an early voting machine on election day, the machine must be reprogrammed using either a demonstration cartridge or any other available cartridge which will reset the machine’s internal memory.

History

Authority: T.C.A. §§2—11—201(c) and 2—6—304(e).
Administrative History: Original rule filed September 21, 1995; effective January 28, 1996.

Tenn. Comp. R. & Regs. 1360-02-18-.11 STORAGE OF THE RESULTS UNTIL ELECTION DAY

(1)After each machine used in early voting has been processed in the same manner, all the envelopes containing printer tapes and memory cartridges shall be locked and sealed in ballot boxes and stored in a secure location until election day. To prevent the loss of both formats of the results, the printer tapers shall be stored in one ballot box and the memory cartridges stored in a separate box.

After the results have been certified, these materials may be stored in the same manner as the other records of the election. The ballot boxes shall be locked with one lock provided by a county election commissioner of the majority party and another lock provided by a commissioner of the minority party. The commissioners shall retain the keys personally. The boxes may not be unlocked except when the votes are to be counted. In addition to the locks, the county election commission shall place two (2) numbered seals on each ballot box with one (1) seal each placed by a county election commissioner of each party. Such seal numbers shall be recorded by the registrar and certified in duplicate by a commissioner of each party, and the original shall be forwarded by mail immediately to the office of the Coordinator of Elections and the duplicate shall be filed in the county election commission office. The seals may not be broken except when the votes are to be counted. If a seal or seals are broken, the registrar shall immediately attach new numbered seals and certify in writing to the Coordinator of Elections the numbers and a description of the circumstances necessitating this action.

(2)On election day, the absentee counting board shall follow the procedures in T.C.A. § 2—6—304, as amended, for opening the ballot box containing the memory cartridges. Unless a county is unable to retrieve the results from a memory cartridge, the envelopes containing the printouts should not be opened until after the close of polls on election day. The memory cartridges shall be delivered to the staff member of the county election commission who is responsible for downloading the data from the cartridges into the computer. If the election commission discovers that it cannot read the data on a memory cartridge, then the envelope containing the printer tape from the same machine may be opened and processed by the absentee counting board. As required in T.C.A. §2—6—304(c), the votes for any candidate may not be totaled until after all polls in the county are closed.

History

Authority: T.C.A. §§2—11—201(c) and 2—6—304(e).
Administrative History: Original rule filed September 21, 1995; effective January 28, 1996.

Chapter 1360-03-01 Regulation of the Solicitation of Funds for Charitable Purposes

Tenn. Comp. R. & Regs. 1360-03-01-.01 DEFINITIONS

(1) Terms defined in the Charitable Solicitations Act, T.C.A. §§ 48-101-501 et seq. shall have the same meaning for the purpose of these rules and definitions in these rules shall apply to T.C.A §§ 48-101-501 et seq.

(2) “The Act” shall mean the Charitable Solicitations Act.

(3) “Branch” or “Affiliate” shall mean a subordinate organization, which is a chapter, local, post, or unit of a central organization. A central organization may be a subordinate itself, such as a state organization that has subordinate units and is itself affiliated with a national organization. A subordinate organization may or may not be incorporated, but it must have an organizing document. A subordinate that is organized and operated in a foreign country may not be included in a group exemption letter. A subordinate organization classified by the Internal Revenue Service as 501(c)(3) may not be included in a group exemption letter if it is a private foundation described as 509(a).

(4) “Fundraising Costs” shall mean the total expenses incurred in soliciting contributions including, but not limited to, costs incurred: publicizing and conducting fundraising campaigns; soliciting bequests and grants from foundations or other organizations, or government grants; participating in federated fundraising campaigns; preparing and distributing fundraising manuals, instructions, and other materials; and conducting special events that generate contributions.

(5) “Gross Contributions” shall mean all contributions received by an organization including, but not limited to: all donated items; all funds or the entire value of noncash items raised by an outside fundraiser in a charity’s name and not just the amount actually received by the charity; amounts received from individuals, trusts, corporations, estates, and foundations, or raised by an outside professional fundraiser; and contributions and grants from public charities and other exempt organizations that are neither fundraising organizations nor affiliates of the filing organization.

(6) “Membership” shall mean a status applied upon condition of the payment of fees, dues, assessments, etc., in an organization which provides services and confers a bona fide right, privilege, professional standing, honor or other direct benefit, in addition to the right to vote, elect officers, or hold offices. The term “membership” shall not include those persons who are granted a membership upon making a contribution.

(7) “Parent” shall mean a central organization, which is an organization that has one or more subordinates under its general supervision or control.

(8) “The Public” shall mean individuals, trusts, corporations, estates, foundations, public charities, other exempt organizations that are neither fundraising organizations nor affiliates of the filing organization, and outside professional fundraisers.

(9) “Interactive Website” is a website that permits a contributor to make a contribution, or purchase a product in connection with a charitable solicitation, by electronically completing the transaction, such as by submitting credit card information or authorizing an electronic funds transfer. Interactive sites include sites through which a donor may complete a transaction online through any online mechanism processing a financial transaction even if completion requires the use of linked or redirected sites.

(10) “Specifically target persons physically located in the state for solicitation” means to either (i) include on its website an express or implied reference to soliciting contributions from that state; or (ii) to otherwise affirmatively appeal to residents of the state, such as by advertising or sending messages to persons located in the state (electronically or otherwise) when the entity knows or reasonably should know the recipient is physically located in the state.

Charities operating on a purely local basis, or within a limited geographic area, do not target states outside their operating area, if their website makes clear in context that their fundraising focus is limited to that area even if they receive contributions from outside that area on less than a repeated and ongoing basis or on a substantial basis.

(11) “Receive contributions from the state on a repeated and ongoing basis or a substantial basis” means receiving contributions within the entity’s fiscal year, or relevant portion of a fiscal year, that are of sufficient volume to establish the regular or significant (as opposed to rare, isolated, or insubstantial) nature of those contributions. An entity receives contributions on a repeated and ongoing basis if it receives at least one hundred online contributions at any time in a year. It receives substantial contributions if it receives $25,000 in online contributions in a year.

(12) In T.C.A. Section 48-101-513(j)(1), “paid solicitor” shall mean “professional solicitor” as defined in T.C.A. § 48-101-501(8).

History

Authority: T.C.A. § 48-101-503(b).
Administrative History: Original rule filed June 17, 1977; effective July 18, 1977. Public necessity rule filed August 22, 2007; expired February 3, 2008. Repeal and new rule filed November 6, 2007; effective March 28, 2008. Amendments filed June 30, 2008; effective October 28, 2008.

Tenn. Comp. R. & Regs. 1360-03-01-.02 FILING OF REGISTRATION STATEMENT

(1) Every charitable organization which has completed a fiscal year of operation, shall file with its application for registration an annual report filed by the charitable organization with the Internal Revenue Service, unless the organization is not required to file such report.

Additionally, the organization shall file an audited financial statement if the organization’s gross revenue exceeds one million dollars ($1,000,000), excluding grants from government agencies and private foundations.

History

Authority: T.C.A. §§ 48-101-504(a)–(e) and 48-101-506; Chapter 523, § 14, of the Public Acts of 2007; and 2024 Public Acts, Chapter 533, § 43.
Administrative History: Original rule filed June 17, 1977; effective July 18, 1977. Amendment filed October 4, 1982; effective November 3, 1982. Public necessity rule filed August 22, 2007; expired February 3, 2008. Repeal and new rule filed November 6, 2007; effective March 28, 2008. Amendment to 1360-03-01-.02 filed January 14, 2009, and to have become effective May 29, 2009, was withdrawn on March 20, 2009. Amendments filed January 8, 2024; effective April 7, 2024. Amendments filed September 9, 2024; effective December 8, 2024.

Tenn. Comp. R. & Regs. 1360-03-01-.03 FILING OF REGISTRATION RENEWAL APPLICATION

(1) The renewal application shall be accompanied by an annual report filed by the charitable organization with the Internal Revenue Service, unless the organization is not required to file such report. Additionally, the organization shall file an audited financial statement if the organization’s gross revenue exceeds one million dollars ($1,000,000), excluding grants from government agencies and private foundations.

(2) All organizations requesting an extension of time for filing a renewal of registration shall file the request on the form prescribed by the Secretary and shall provide any supporting documentation with the form (e.g. an application for extension to file an exempt organization return that was filed with the Internal Revenue Service). An extension of the time to file a renewal application shall only be granted for good cause shown by the organization.

History

Authority: T.C.A. § 48-101-506; Chapter 523, §§ 14 and 16, of the Public Acts of 2007; and 2024 Public Acts, Chapter 533, §§ 18 and 43.
Administrative History: Original rule filed June 17, 1977; effective July 18, 1977. Public necessity rule filed August 22, 2007; expired February 3, 2008. Repeal and new rule filed November 6, 2007; effective March 28, 2008. Amendments filed September 9, 2024; effective December 8, 2024.

Tenn. Comp. R. & Regs. 1360-03-01-.04 PROFESSIONAL SOLICITORS AND FUNDRAISING COUNSEL

(1) Commercial co-venturers and political consultants for political parties, candidates and political action committees shall not be considered to be “professional fundraising counsel” or “professional solicitors.”

History

Authority: T.C.A. § 48-101-503(b).
Administrative History: Original rule filed June 17, 1977; effective July 18, 1977. Public necessity rule filed August 22, 2007; expired February 3, 2008. Repeal and new rule filed November 6, 2007; effective March 28, 2008.

Tenn. Comp. R. & Regs. 1360-03-01-.05 DENIAL OF REGISTRATION AND APPEAL

(1) An applicant may request an administrative review by the Division of a decision to deny a registration. The Division will issue a final decision after the administrative review. Any applicant who appeals the final decision shall have a hearing before an administrative law judge from the Administrative Procedures Division of the Tennessee Department of State.

The hearing shall be conducted pursuant to Chapter 1360-04-01, Uniform Rules of Procedure for Hearing Contested Cases Before State Administrative Agencies.

(2) The hearing may be conducted telephonically by agreement of the parties.

(3) The order of the administrative law judge shall be the final order in the case, and shall include findings of fact and conclusions of law.

History

Authority: T.C.A. §§ 4-5-314(b) and (c), 48-101-508, and 48-101-508(a) and (b); and Chapter 523, § 24, of the Public Acts of 2007.
Administrative History: Original rule filed June 17, 1977; effective July 18, 1977. Public necessity rule filed August 22, 2007; expired February 3, 2008. Repeal and new rule filed November 6, 2007; effective March 28, 2008. Amendments filed September 9, 2024; effective December 8, 2024.

Tenn. Comp. R. & Regs. 1360-03-01-.06 SUSPENSION AND REVOCATION OF REGISTRATION AND APPEAL

(1) Upon concluding that an organization’s registration with the Division is improper or unlawful, pursuant to T.C.A. § 48-101-514(a)(1), the Secretary of State shall notify the registrant of his int ent to suspend or revoke its registration. The notification shall contain the reasons for the action and shall inform the organization of its right to request a hearing within thirty (30) days of receipt of the notification. The suspension or revocation shall become effective thirty (30) days after receipt of the notification unless a request for a hearing is received by the Secretary of State before the expiration of the thirty (30) days. If a hearing is requested and the suspension or revocation is upheld, the suspension or revocation shall become effective upon the service of the final decision on the organization.

(2) The hearing shall be held before an administrative law judge from the Administrative Procedures Division of the Tennessee Department of State and conducted pursuant to the Uniform Administrative Procedures Act, T.C.A. §§ 4-5-101 et seq. and Chapter 1360-04-01, Uniform Rules of Procedure for Hearing Contested Cases Before State Administrative Agencies.

History

Authority: T.C.A §§ 48-101-503(b) and 48-101-508.
Administrative History: Original rule filed June 30, 2008; effective October 28, 2008. Amendments filed September 9, 2024; effective December 8, 2024.

Tenn. Comp. R. & Regs. 1360-03-01-.07 APPLICATION OF REGISTRATION REQUIREMENTS TO INTERNET

SOLICITATION.

(1) Entities That Are Domiciled Within Tennessee (a) An entity that is domiciled within Tennessee and uses the internet to conduct charitable solicitations in Tennessee must register with the Division, unless exempt from the registration requirements pursuant to Tennessee Code Annotated Section 48-101-502.

This is true without regard to whether the internet solicitation methods it uses are passive or interactive, maintained by itself or another entity with which it contracts, or whether it conducts solicitations in any other manner.

(b) An entity is domiciled within Tennessee if its principal place of business is in Tennessee.

(2) Entities That Are Domiciled Outside Tennessee An entity that is not domiciled within Tennessee must register in accordance with the law of Tennessee, unless exempt from the registration requirements, if:

(a) Its non-internet activities alone would be sufficient to require registration;

(b) The entity solicits contributions through an interactive website; and (c) Either the entity:

(i) Specifically targets persons physically located in Tennessee for solicitation, or (ii) Receives contributions from Tennessee on a repeated and ongoing basis or a substantial basis through its website; or (d) The entity solicits contributions through a site that is not interactive, but either specifically invites further offline activity to complete a contribution, or establishes other contacts with Tennessee state, such as sending e-mail messages or other communications that promote the website; and (e) The entity satisfies (2)(c).

History

Authority: T.C.A. § 48-101-503(b).
Administrative History: Original rule filed November 6, 2007; effective March 28, 2007.

Chapter 1360-03-02 Reserved

Tenn. Comp. R. & Regs. 1360-03-02-.01 RESERVED

History

Authority: TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.02 RESERVED

History

Authority: TCA § 3-17-104(c)(2).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.03 RESERVED

History

Authority: TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.04 RESERVED

History

Authority: TCA § 3-17-104(a)(6); TCA § 3-17-115(b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.05 RESERVED

History

Authority: TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.06 RESERVED

History

Authority: TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status. April, 2006

Tenn. Comp. R. & Regs. 1360-03-02-.07 RESERVED

History

Authority: TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.08 RESERVED

History

Authority: TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.09 RESERVED

History

Authority: TCA § 3-17-105(b); TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.10 RESERVED

History

Authority: TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.11 RESERVED

History

Authority: TCA § 3-17-114; TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.12 RESERVED

History

Authority: TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.13 RESERVED

History

Authority: TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.14 RESERVED

History

Authority: TCA § 3-17-113(a); TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Tenn. Comp. R. & Regs. 1360-03-02-.15 RESERVED

History

Authority: TCA § 3-17-115(a) and (b).
Administrative History: Emergency rule filed March 4, 2005; effective through August 16, 2005. Emergency rule filed August 11, 2005; effective through January 23, 2006. Emergency rule expired on January 23, 2006. Rule reverted to reserved status.

Chapter 1360-03-03 Procedures for Operating Charitable Gaming Events

Tenn. Comp. R. & Regs. 1360-03-03-.01 DEFINITIONS

(1) “Amended annual event application” means those items of information submitted to the Secretary for the purpose of revising, correcting, adding to, or otherwise supplementing an annual event application in order to meet the requirements of the Tennessee Nonprofit Gaming Law.

(2) “Conformed copy” A conformed copy is a copy that agrees with the original and all amendments to it. If the original document required a signature, the copy shall contain the signatures and dates as shown on the originals. A certificate of incorporation shall be date stamped and show approval by an appropriate state official.

(3) “Compensation” for purposes of T.C.A. § 3-17-103(a)(5)(A)(i)(b) means anything of value received as a result of work performed on behalf of a § 501(c)(3) organization, including, but not limited to, tips, reductions, and waivers of fees.

(4) “Directors or officers of the organization” for purposes of T.C.A. § 3-17-104(a)(12) means the entire slate of members of the governing body of an organization. An executive committee or subcommittee of a governing board shall not qualify as the directors or officers of the organization, unless the organization’s by-laws authorize an executive committee to act on behalf of the full board.

(5) “Fair market value” means a price at which an unrelated buyer and seller would agree to a transaction; a valuation that is reasonable to all parties involved in a transaction, none of which are under a compulsion to buy or sell while having a reasonable knowledge of the relevant facts.

(6) “Games of chance associated with casinos” includes casino night parties (also known as “Vegas Nights,” “Las Vegas Nights,” “Monte Carlo Nights”).

(7) “Notice,” unless otherwise indicated, shall mean a written communication forwarded by U.S. mail, certified return receipt requested.

(8) “Operate” means (a) To run or control, directly or indirectly, the functioning of an annual gaming event;

(b) To bring about a desired or proper effect including, but not limited to, planning, promoting, adverti sing, marketing, authorizing or entering into agreements, purchasing supplies, telephone services, gaming records or devices, buying or leasing services, facilities or locations, printing of materials and tickets, shares, chances or similar records and the transporting of such records and other devices;

(9) “Organizational document” shall mean the record that establishes the organization as a legal entity and shall include, but not be limited to, a certified copy of the Articles of Incorporation (or charter), constitution, or trust agreement.

(10) “Physical presence” means an organization has a tangible office established and located within the state of Tennessee where regular business within the organization’s stated mission is transacted. The existence of a post office mailing address or drop box location is not sufficient to create a physical presence.

(11) “Pull-tab” means gaming pieces used in a game of chance that are made completely of paper or paper products with concealed numbers or symbols which must be exposed by the player to determine wins or losses. Pull tabs may also be known as break-opens, hard cards, banded tickets, jar tickets, pickle cards, Lucky Seven Cards, Nevada Club tickets, instant bingo cards.

(12) “Secretary” means the Secretary of State or the Secretary’s authorized representative.

(13) “Bingo event” means a specific game of chance conducted in a single gathering or session in which participants use cards or paper sheets divided into horizontal and vertical spaces, each of which is designated by a letter and a number, and prizes are awarded on the basis of the letters and numbers on the card conforming to a predetermined and preannounced configuration of letters and numbers selected at random.

(14) “Progressive jackpot bingo” means a series of bingo games in which the prize is carried over to the succeeding game if no player wins a game within a specified number of calls.

(15) “Regular bingo card” means a card issued to a person upon payment of a fee which affords a person the opportunity to participate in a game or session of games played at a bingo event.

(16) “Regular bingo game” means a bingo game in which a person, upon payment of a fee, is issued a single regular bingo card and may purchase or rent extra regular cards.

(17) “Special bingo card” means a disposable, specially marked bingo card which affords a person the opportunity to participate in a special bingo game, such as a progressive jackpot bingo, to be played at a bingo occasion.

(18) “Special bingo game” means any bingo game which is not a regular bingo game, and which is played with special bingo cards.

(19) “Session” means a series of bingo games conducted contemporaneously or consecutively.

History

Authority: T.C.A. §§ 3-17-101, 3-17-102(A), 3-17-102(8)(A), 3-17-102(9)(A), 3-17-103(a)(3)(B)(i), 3-17- 103(a)(5)(A)(i)(a), 3-17-103(a)(5)(B)(i), 3-17-103(d)(1)(B), 3-17-104(a)(12), 3-17-105(d)(2)(B), and 3-17- 115(a), (b), and (c).
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Emergency rules filed August 5, 2021; effective through February 1, 2022. Emergency rules expired effective February 2, 2022, and the rules reverted to their previous statuses. Amendments filed December 27, 2021; effective March 27, 2022. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-03-03-.02 APPLICATION SLIDING FEE SCALE

An application to hold an annual gaming event shall be submitted with an initial application fee of fifty dollars ($50). An organization authorized by the General Assembly to operate an annual event shall file within ninety (90) calendar days following the actual event date, a financial accounting pursuant to Tenn.

Code Ann. § 3-17-106(a)(1) along with the remaining application fee due according to the organization’s gross revenue for the annual event based on the following scale:

Event Gross Revenue Filing Fee $0.00 to $5,000 $100 $5,000.01 to $10,000 $250 $10,000.01 to $20,000 $400 Over $20,000.01 $550

History

Authority: T.C.A. §§ 3-17-104, 3-17-106, 3-17-115, and 3-17-115(a); and Chapter 207, § 14, of the Public Acts of 2005.
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Emergency rules filed March 29, 2018; effective through September 25, 2018. Amendments filed June 12, 2018; effective September 10, 2018.

Tenn. Comp. R. & Regs. 1360-03-03-.03 APPLICATIONS FOR AUTHORIZATION TO HOLD AN ANNUAL GAMING EVENT –

TIME TO SUBMIT APPLICATIONS.

(1) Application Period. An application for authorization to hold an annual gaming event shall be submitted beginning July 1 each year and ending January 31 preceding the annual event period.

(2) Last Date to File. When the first or last day to file an application is a non-business day (e.g., weekend, holiday), the first or last day to file is the first business day immediately following the date established by statute. (Example: July 1, the first day to file an application, is a Sunday. The first filing day is the first business day following Sunday.)

(3) Timely Filing. The postmark date on the annual event application shall determine whether an amendment is timely filed. An application submitted beyond the time set forth in the Act shall be automatically rejected.

(4) Incomplete A pplication. An application that does not comply with the provisions of the Act shall be rejected. The Secretary shall notify the applicant of the reasons for rejection of the application. Corrections to a deficient application shall be submitted no later than February 25. If this date falls on a non-business day, the last day to file an amendment shall be 12:00 noon the last business day preceding the deadline date.

History

Authority: T.C.A. §§ 3-17-103(a)(1), 3-17-104(a), 3-17-105(a)(1), 3-17-105(d)(2)(B), and 3-17-115(a).
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Amendment to rule filed January 14, 2009; effective May 29, 2009. Emergency rule filed August 8, 2014; effective through February 4, 2015. Emergency rule expired effective February 5, 2015, and the rule reverted to its previous status. Repeal and new rule filed June 9, 2015; effective September 7, 2015. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-03-03-.04 PROOF OF ACTIVE AND CONTINUOUS EXISTENCE

(1) Acceptable Proof. In addition to the requirements set out in Tennessee Code Annotated §§ 3- 17-101 et seq., an organization may submit as proof of its continuous and active existence, a copy of the last three (3) annual Forms 990, 990-EZ, 990-N, or 990-PF filed with the Internal Revenue Service for the three (3) year period preceding the event date listed in an annual event application.

(2) If an organization is not required to file a Form 990, 990-EZ, 990-N, or 990-PF with the Internal Revenue Service, an organization may submit as proof of its continuous and active existence, the following types of information:

(a) A copy of the charter or bylaws of the organization; and (b) A copy of the exemption determination letter received from the Internal Revenue Service stating that the organization is not required to file a Form 990.

(3) Multiple Forms of Proof. An organization required to file a Form 990, 990-EZ, 990-N or 990- PF with the Internal Revenue Service may submit a copy of its exemption determination letter received from the Internal Revenue Service as a substitution of one (1) of the three (3) annual Forms 990, 990-EZ, 990-N, or 990-PF filed with the Internal Revenue Service as required in subdivision (1), provided that the documents cover the three (3) year period immediately preceding the event date listed in an annual event application.

(4) Authentic Documents. Acceptable documents must be authentic, genuine or bona fide documents. Copies of documents must be conformed copies.

History

Authority: T.C.A. §§ 3-17-102(6), 3-17-104(a)(6), 3-17-104(e), and 3-17-115(a).
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Amendments filed August 12, 2020; effective November 10, 2020. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-03-03-.05 PROOF OF § 501(C)(3) TAX EXEMPT STATUS AND PURPOSE(S)

(1) Chapters or Affiliates. An organization which is a chapter or affiliate operating under a

Section 501(c)(3) group exemption must have its own federal employer identification number and shall submit the following documents in support of its tax exempt status:

(a) The Letter of Determination of the parent organization assigned by the Internal Revenue Service which includes the group’s 4-digit tax exemption number;

(b) A list of all chapters and affiliates under the group exemption as submitted by the parent organization to the Internal Revenue Service, including the federal tax identification number and physical address of each chapter or affiliate;

(c) A written statement from the parent organization that the applicant is in good standing with the parent organization;

(d) A properly executed Affidavit of the organization’s 501(c)(3) status [Secretary of State Form SS-6060]; and, (e) A copy of the organizational document.

(2) Recognition Prior to 1969. An organization recognized as exempt from federal income taxation by the Internal Revenue Service prior to October 9, 1969, that would otherwise qualify as a 501(c)(3) organization shall, in addition to the requirements of T.C.A. § 3-17-103, submit the following documents in lieu of IRS form 1023 in support of its tax exempt status/purpose(s):

(a) A detailed narrative of all of the activities of the organization. List each activity in order of importance based on the relative time and resources devoted to the activity. Indicate the percentage of time for each activity; and (b) A Statement of Revenue and Expenses for the three (3) years immediately preceding the period under consideration.

History

Authority: T.C.A. §§ 3-17-102(1), 3-17-102(6), 3-17-104(a)(6), 3-17-104(e), and 3-17-115(a); and Internal Revenue Code § 501.
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Amendment filed January 14, 2009; effective May 29, 2009. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-03-03-.06 ACTION BY BOARD OF DIRECTORS

The board of directors of an organization must authorize an annual event application to be filed. If the organization’s bylaws authorize an executive committee to act on behalf of the full board, approval by the executive committee shall suffice.

History

Authority: T.C.A. §§ 3-17-102(6), 3-17-105(e), and 3-17-115(a).
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Amendment filed January 14, 2009; effective May 29, 2009. Emergency rule filed August 8, 2014; effective through February 4, 2015. Emergency rule expired effective February 5, 2015, and the rule reverted to its previous status. Repeal and new rule filed June 6, 2015; effective September 7, 2015.

Tenn. Comp. R. & Regs. 1360-03-03-.07 APPLICATION CORRECTION AND AMENDMENT PROCESS

(1) Application Correction. For annual event applications submitted prior to twelve o’clock (12:00) noon central standard time (CST) on January 31 each year, the Division will notify each organization of any deficiencies in the application by February 15. The organization must correct any deficiencies in or make any changes to the application by February 25. Pursuant to T.C.A § 3-17-105(d), the Secretary does not have authority to accept an annual event application change after February 25 of the annual event period.

(2) Amendment Process. After February 15 of each year, the organization may amend its application in the following manner and circumstances.

(a) Date Changes. To change an annual event date, the organization must file an Amendment Form, SS-6065, with the Division requesting the new date of the annual event. Pursuant to T.C.A. § 3-17-103(d)(1)(A), the new date must be within twenty-eight (28) days of the original date listed on the application. The twenty-eight (28) day period may be counted prior to or after the event date listed in the approved application.

(b) Location Changes. If an organization’s approved location listed in the event application becomes unavailable on the event date, the organization may change the location of the event by filing an Amendment Form, SS-6065, with the Division stating the reason for unavailability and the address of the new location.

(c) Price Changes. To modify the actual dollar amount at which a ticket, share, chance or other similar record shall be sold, the organization must file an Amendment Form, SS- 6065, with the Division stating the new dollar amount. If an organization was approved to sell tickets, shares, chances or other similar records at different value levels or tiers, the organization may amend the dollar amount at which each value level or tier is to be sold. Pursuant to T.C.A. § 3-17-103(d)(3), only one such modification shall be made prior to the sale of any ticket, share, chance, or other similar record and only in an amount within fifty dollars ($50.00) of the actual dollar amount or amounts listed in the approved application.

(d) Notifying Law Enforcement. The organization must notify the Tennessee Bureau of Investigation, and the district attorney general for the judicial district in which the event is conducted. The organization must also provide sufficient public notice in accordance with T.C.A. § 3-17-103(d)(1)(B).

History

Authority: T.C.A. §§ 3-17-103(a)(3)(C), 3 -17-103(a)(3)(C)(i)–(iii), 3-17-103(d), 3-17-103(d)(1) and (3), 3- 17-104(e), 3-17-105(b), and 3-17-115(a).
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Amendment filed January 14, 2009; effective May 29, 2009. Emergency rule filed August 8, 2014; effective through February 4, 2015. Emergency rule expired effective February 5, 2015, and the rule reverted to its previous status. Amendment filed June 9, 2015; effective September 7, 2015. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-03-03-.08 SALE OF TICKETS, SHARES, CHANCES OR OTHER SIMILAR RECORDS

(1) Tickets, shares, chances or other similar records may be sold at a single price or at different value levels or tiers. All tickets, shares, chances or other similar records must contain the name of the organization on whose behalf the event is being conducted.

(2) If tickets, shares, chances or other similar records are sold at different value levels or tiers, the organization must keep a record of each sale, which must include the name, the amount paid, the mailing address, and the contact information of the purchaser for the purpose of issuing refunds if a cancellation of the annual event occurs.

(3) If a different value level or tiered pricing annual event is cancelled, any refund shall be for either the actual amount received by the organization from any individual, or if there is no record of each sale, the refund shall be equal to the highest value level or tiered price charged on a per ticket, share, chance or other similar record basis.

History

Authority: T.C.A. §§ 3-17-103(d)(3), 3-17-106(f)(1)(B), 3-17-110(a) and 3-17-115(a).
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Amendment filed January 14, 2009; effective May 29, 2009. Emergency rule filed August 8, 2014; effective through February 4, 2015. Emergency rule expired effective February 5, 2015, and the rule reverted to its previous status. Repeal and new rule filed June 9, 2015; effective September 7, 2015.

Tenn. Comp. R. & Regs. 1360-03-03-.09 CONDUCT OF THE GAMES

(1) Advertising. Nothing in the act shall be construed as prohibiting an organization from accepting donations of advertising services. For purposes of the Act and these rules, however, granting permission to post flyers for an event on the premises of a vendor shall not be construed as donating advertising services.

(2) Ticket Sales and Sale of Similar Records. Persons under the age of eighteen (18) are prohibited from selling or purchasing tickets and similar records for charitable gaming activities.

(3) Officer(s) Responsible for Gross Receipts. The authorized organization shall duly designate an officer/officers of said organization to be in full charge and primarily responsible for the proper accounting, use and disposition of all gaming event receipts. The name of each officer shall appear on the list required under T.C.A. § 3-17-104(e).

(4) Payment of Workers Prohibited. No commission, salary, compensation, reward, recompense, reimbursement of expenses, or gift or other consideration shall be paid directly or indirectly, to any person for conducting or assisting in the conduct of any annual gaming event except as hereinafter provided for bookkeepers or accountants who assist by rendering their professional services. No tip, gratuity or gift or other consideration shall be given or accepted by any person conducting or assisting in the conduct of an annual gaming event either directly or indirectly.

History

Authority: T.C.A. §§ 3-17-103(a)(5)(A)(i)(a) and (b), 3-17-103(a)(5)(B)(i), 3-17-104(a)(20)–(21), 3-17- 104(e), 3-17-115(a), 39-17-602, and 39-17-603.
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Emergency rule filed August 8, 2014; effective through February 4, 2015. Emergency rule expired effective February 5, 2015, and the rule reverted to its previous status. Repeal and new rule filed June 9, 2015; effective September 7, 2015. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-03-03-.10 CRIMINAL BACKGROUND CHECKS

(1) Effective Date. Beginning July 1, 2005, criminal background checks conducted by the TBI may be required by the Secretary.

(2) Persons Subject to Criminal Background Checks. Fingerprint-based criminal background checks may be required of officers, directors, trustees, staff and any person operating an annual event on behalf of a 501(c)(3) organization. Persons who do not receive any compensation for their duties associated with the 501(c)(3) organization shall not be subject to criminal background checks.

(3) Criteria for Requiring Criminal Background Checks. Upon a determination by the Secretary that a criminal background check is required of a person in connection with an annual gaming event held by a 501(c)(3) organization, the application of such organization shall not be considered until such background check has been completed and the results of the background check are received in the office of the Secretary of State. In the event that information is revealed in the background check which would be a violation of a provision of the Act, the Secretary shall give notice to the affected organization and allow them an opportunity to cure the disqualifying situation by disassociating such person or persons from taking any action on behalf of such organization. The organization shall submit to the Secretary, an affidavit, signed by the chief operating officer and the treasurer of the organization, setting forth what action has been undertaken by the organization to disassociate the individual/individuals.

(4) Procedure for Obtaining Criminal Background Checks. Upon notification by the Secretary that a criminal background check is required, the person notified shall take immediate steps to secure the background check. Persons who receive a request from the Secretary to submit to a criminal background check shall contact the then current state of Tennessee fingerprinting service to obtain information on the proper location and procedure for having the background check run. Persons must provide identifying information, the reason for being printed and name of the “Division of Business and Charitable Organizations, Charitable Gaming Section” as the entity for whom the prints are requested.

Background checks will include data from a dual TBI & FBI search. At the time of the printing, the person must provide identification to verify his/her identity. A driver’s license, passport, military ID or similar identification should be provided. The applicant shall be responsible for paying all costs associated with obtaining a criminal history background check.

The results of the background search will be provided directly to the Secretary of State’s Division of Business and Charitable Organizations, Charitable Gaming Section. Results of background checks may be challenged by contacting the TBI. A form is available for download from the TBI web site at www.tn.gov/tbi or by contacting the TBI directly.

(5) Information from Law Enforcement Agency. The Secretary may require a criminal background check on any person based upon information received from a local, state or federal law enforcement agency indicating a violation of the law involving theft, misappropriation of funds, or any matter which would impact the legitimate operation of an annual gaming event. For purposes of this provision, law enforcement agency shall include the Internal Revenue Service.

(6) Denial of Application to Conduct Annual Gaming Event. The Secretary may deny an application to operate an annual gaming event based upon the results of a criminal background check. In addition, the Secretary may impose a civil penalty if the background check shows a violation of the Tennessee Nonprofit Gaming Law. Penalties shall be determined based upon the rules for disqualification located below at section 1360-03-03-.13.

History

Authority: T.C.A. §§ 3-17-114(a)–(c), 3-17-114(e)(1)–(2), and 3-17-115(a).
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Amendment filed January 14, 2009; effective May 29, 2009. Emergency rule filed August 8, 2014; effective through February 4, 2015. Emergency rule expired effective February 5, 2015, and the rule reverted to its previous status. Repeal and new rule filed June 9, 2015; effective September 7, 2015. Amendments filed December 27, 2021; effective March 27, 2022. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-03-03-.11 ACCOUNTING PROCEDURES

(1) Records:

(a) Record Keeping. Accurate records shall be kept by each authorized organization in a manner which shows in detail the amount and source of gross receipts, the expenses incurred and the name and address of each person receiving a prize over fifty ($50.00) dollars and the value of the prize. Prize information shall be reported on Form SS-6066 or Form SS-6070.

(b) Access to Records. The Secretary of State, the Attorney General and Reporter and the Tennessee Bureau of Investigation or their authorized agents or representatives shall at all times have access to all books and records of any authorized organization for the

purpose of examining and checking them.

(c) Period of Retention of Records. All records, books of account, bank statements and all other papers related to the operation of an annual gaming event shall be retained and available for inspection by the Secretary of State and the Tennessee Bureau of Investigation or their authorized agents or representatives for a period of at least five (5) years after the date of the annual gaming event to which they relate.

(d) Payment of Allowable Expenses. Money for reasonable and necessary expenses may be paid from gross receipts only by checks having preprinted consecutive numbers drawn on the organization’s account. Said checks must be made payable to the specific person providing the goods or rendering the service which gives rise to the expense item and at no time may checks be payable to “cash” or “bearer.”

(e) Prizes, Donated Prizes, Goods, or Services. The organization shall disclose the fair market value of all prizes, goods and services as revenue (cash or in-kind) on the Financial Accounting form (SOS Form SS-6066).

(2) Reporting. All organizations must file a financial accounting with the Division on forms approved by the Division along with the remainder fee due pursuant to Tenn. Code Ann. § 3- 17-106(a)(1) and Rule 1360-03-03-.02. If the organization generates over seventy-five thousand dollars ($75,000) in gross revenue, the organization must also complete an audit of the annual event in accordance with Tenn. Code Ann. § 3-17-106(c).

History

Authority: T.C.A. §§ 3-17-103(a)(5)(B)(i), 3-17-106, 3-17-106(a), 3-17-106(b)(1)–(4), 3-17-106(c)(1)–(4), 3-17-108(a)(1)–(2), 3-17-115, and 3-17-115(a).
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Amendment filed January 14, 2009; effective May 29, 2009. Emergency rule filed August 8, 2014; effective through February 4, 2015. Emergency rule expired effective February 5, 2015, and the rule reverted to its previous status. Repeal and new rule filed June 9, 2015; effective September 7, 2015. Emergency rules filed March 29, 2018; effective through September 25, 2018. Amendments filed June 12, 2018; effective September 10, 2018. Amendments filed December 27, 2021; effective March 27, 2022. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-03-03-.12 PROOF THAT EVENT PROCEEDS WERE USED FOR A CHARITABLE PURPOSE

Documentation to prove that event proceeds were used for a charitable purpose may include:

(1) Cancelled checks which state the purpose of the payment and which are endorsed by and identify the payee shall be one form of acceptable documentation;

(2) Signed and attested board minutes;

(3) A copy of the organization’s balance sheets and monthly statements should be provided to substantiate that funds have been earmarked.

History

Authority: T.C.A. §§ 3-17-104(a)(19), 3-17-106(c)(2), and 3-17-115(a).
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Amendment filed January 14, 2009; effective May 29, 2009. Emergency rule filed August 8, 2014; effective through February 4, 2015. Emergency rule expired effective February 5, 2015, and the rule reverted to its previous status. Repeal and new rule filed June 9, 2015; effective September 7, 2015.

Tenn. Comp. R. & Regs. 1360-03-03-.13 DISQUALIFICATIONS/CIVIL PENALTIES

(1) Any violation of the Tennessee Nonprofit Gaming Law shall be a basis for disqualification or the imposition of civil penalties. Civil penalties may be assessed for the violation of either civil or criminal provisions of the Act.

(2) Upon concluding that an organization violated any provision of T.C.A. §§ 3-17-101 et seq., pursuant to T.C.A. § 3-17-113(a), the Secretary of State shall notify the registrant of his intent to disqualify the organization or assess a civil penalty. The notification shall contain the reasons for the action and shall inform the organization of its right to request an administrative hearing within thirty (30) days of receipt of the notification. The disqualification or penalty shall become effective thirty (30) days after receipt of the notification unless a request for an administrative hearing is received by the Secretary of State before the expiration of the thirty (30) days. If a hearing is requested and the disqualification or penalty is upheld, the action shall become effective upon the service of the final administrative decision on the organization.

(3) The hearing shall be held before an administrative law judge from the Administrative Procedures Division of the Tennessee Department of State and conducted pursuant to the Uniform Administrative Procedures Act, T.C.A. §§ 4-5-101 et seq. and Rule 1360-04-01-.14, Uniform Rules of Procedure for Contested Cases of State Agencies.

(4) An organization that loses its tax exempt status shall be ineligible to hold an annual gaming event. The years for which the tax exempt status was not in effect shall not be countable as

part of the period of active and continuous operation. If the Internal Revenue Service revokes an organization’s tax exempt status and the revocation is made retroactive, the period of retroactivity will not be countable as part of the period of active and continuous operation.

(5) A period of disqualification shall run from the date of application, the date of discovery of the violation or the date of imposition of the disqualification, whichever is later.

History

Authority: T.C.A. §§ 3-17-101, 3-17-111, 3-17-111(a)–(b), 3-17-113(a), and 3-17-115(a).
Administrative History: Original rule filed October 7, 2005; effective February 28, 2006. Emergency rule filed August 8, 2014; effective through February 4, 2015. Emergency rule expired effective February 5, 2015, and the rule reverted to its previous status. Repeal and new rule filed June 9, 2015; effective September 7, 2015. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-03-03-.14 COOPERATION WITH OTHER STATE AGENCIES

(1) All information submitted to the Division of Business and Charitable Organizations, Charitable Gaming Section shall be available to federal, state or local agencies for the purpose of assisting in carrying out the provisions of T.C.A. §§ 3-17-102 et seq. and T.C.A. § 39-16-702 and T.C.A. § 39-16-703 and T.C.A. Title 39, Chapter 17 Parts 5 and 6, T.C.A. § 39-17- 502(b), T.C.A. § 39-17-505, T.C.A. § 39-17-506(a), T.C.A. § 39-17-601, T.C.A. §§ 39-17-651 et seq. and Title 3, Chapter 15, or any provision of federal law.

(2) The Secretary shall assist and cooperate with the Tennessee Bureau of Investigation and/or the Internal Revenue Service in the conduct of any investigation.

History

Authority: T.C.A. §§ 3-17-111, 3-17-113(a)–(b), and 3-17-115(a).
Administrative History: Emergency rule filed August 8, 2014; effective through February 4, 2015. Emergency rule expired effective February 5, 2015, and the rule reverted to a reserved status. Original rule filed June 9, 2015; effective September 17, 2015.

Tenn. Comp. R. & Regs. 1360-03-03-.15 MANAGEMENT AND CONTROL OF BINGO EVENTS

(1) An authorized annual bingo event shall be managed, conducted, and operated only by directors, officers, volunteers, or employees of the charitable organization hosting the event.

No person shall receive any compensation for working at an annual event conducting bingo.

(2) In accordance with T.C.A. § 3-17-103(a)(5), no outside parties shall be employed, contracted with, or otherwise utilized to conduct annual bingo gaming events. Charitable organizations are prohibited from using any management company, consultant or other entity to manage, conduct, or operate any aspect of an annual bingo gaming event.

(3) A qualified organization shall conduct only bingo games listed on a game program for that event, and that program must be disseminated prior to the beginning of the event. The program shall list all prize amounts.

(4) The charitable organization shall designate a game manager who is an officer or director of the organization. The game manager shall be the person responsible for the operation of the bingo game during a particular session and shall be present at all times when the bingo game is conducted.

(5) Bingo cards and monies must be kept under the control of the game manager until disseminated to game participants. Each card constitutes a ticket, share or chance as defined by these rules. The cards must be numbered, and the total number of cards must match the number of tickets, shares or chances in the organization’s gaming event application filed with the Secretary of State. Regular bingo cards and special bingo cards should be numbered separately. The cards must also be marked with the name of the organization conducting the gaming event and date of that event. The organization must create a record of the total type and amount of each card present at the beginning and end of the bingo gaming event. Records related to the accounting of bingo cards must be kept by the charitable organization for a period of five (5) years from the annual gaming event.

(6) Individuals defined in T.C.A. § 3-17-109(a)(1)-(5) are not allowed to purchase bingo cards, participate in bingo games, nor win prizes. Additionally, any member of the immediate family (as defined in T.C.A. § 3-17-109(c)) of any person described in T.C.A. § 3-17-109(a)(1)-(2) or of any volunteer may not purchase bingo cards, participate in bingo games, or win prizes.

History

Authority: T.C.A. §§ 3-17-103(a), 3-17-106(b)(4) and (c)(4), 3-17-115(a), and 3-17-115(c).
Administrative History: Emergency rules filed August 5, 2021; effective through February 1, 2022. Emergency rules expired effective February 2, 2022, and the rules reverted to their previous statuses. New rules filed December 27, 2021; effective March 27, 2022. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-03-03-.16 TYPES OF BINGO GAMES PERMITTED

(1) Special bingo games, including progressive jackpot bingo games, are permitted, provided that:

(a) The total number and price of special cards sold shall be reported on the annual event application.

(b) Each special bingo card shall be used for one game only and shall be indelibly marked by the player while in use so as to render it void and unusable thereafter.

(d) Progressive jackpot bingo may be played only on special bingo cards.

(e) Notwithstanding any other rules, cards for a game of progressive jackpot bingo may be sold up to the drawing of the first number of the progressive jackpot bingo game.

(f) Once started, progressive jackpot bingo shall be played at each succeeding bingo game until a player wins a game of progressive jackpot bingo, except that progressive jackpot bingo may be played only once per annual gaming event date as defined in 3- 17-102(4).

History

Authority: T.C.A. § 3-17-115(c).
Administrative History: Emergency rules filed August 5, 2021; effective through February 1, 2022. Emergency rules expired effective February 2, 2022, and the rules reverted to their previous statuses. New rules filed December 27, 2021; effective March 27, 2022.

Tenn. Comp. R. & Regs. 1360-03-03-.17 CONDUCT OF BINGO GAMES

(1) Organizations may conduct a bingo session as an annual gaming event.

(2) All bingo sessions conducted as annual gaming events shall be registered and conducted in accordance and consistent with T.C.A. §§ 3-17-104 et seq. and the rules set forth herein.

(3) All bingo events must be conducted in person. Online and virtual bingo is expressly prohibited.

(4) Each organization conducting a bingo session as an annual gaming event shall adopt “house rules” regarding conduct of the bingo games and the distribution of prizes. Such rules shall be consistent with the provisions of T.C.A. §§ 3-17-101 et seq. and these rules. “House rules” shall be conspicuously posted so that they are visible in every area in which bingo is played or printed on a game program that is distributed to every bingo player attending the annual gaming event.

(5) Every bingo gaming event will have a set number of games announced in advance of the sale of any tickets, shares, or chances.

(6) Each annual gaming event may not conduct more than 25 individual bingo games in a bingo session. A game shall be considered one in which a winner is called. A partially played game, or a portion of a progressive bingo game in which there is no winner called, shall not be considered a completed game toward the 25-game limit.

(7) The prize for every bingo game of the event must be disclosed prior to the beginning of the first game of the event.

(8) The specific combination or arrangement of marked spaces necessary to win each game must be announced prior to the drawing of the first number for that game.

(9) No bingo cards may be sold after the first number is drawn for the first game of the event.

History

Authority: T.C.A. § 3-17-115(c).
Administrative History: Emergency rules filed August 5, 2021; effective through February 1, 2022. Emergency rules expired effective February 2, 2022, and the rules reverted to their previous statuses. New rules filed December 27, 2021; effective March 27, 2022.

Tenn. Comp. R. & Regs. 1360-03-03-.18 BINGO METHOD OF PLAY

(1) The method of play in any bingo game and the utilization of bingo equipment and supplies shall be such that each player is afforded an equal opportunity to win.

(2) The objects to be drawn to select numbers and letters to call shall be essentially equal in size, shape, weight, balance, and all other characteristics, so that at all times during the conduct of bingo, each object possesses the capacity for equal agitation with any other object within the receptacle.

(3) All objects to be drawn shall be present in the receptacle at the beginning of each bingo game. Only manual object selection is allowed. No device may be used to select numbers electronically. This does not preclude hoppers which are turned via an electric motor or balls which are stirred with an electric fan and randomly sent into a chute.

(4) The announcement of all numbers and letters drawn shall be clearly audible to all players present.

(5) When more than one room is used for any one bingo game, the receptacle and the caller and any assistant shall be in the room where the greatest number of players are present; and all numbers and letters shall be announced in a manner clearly audible to all players in each room.

(6) Once removed, no object shall be returned to the receptacle until after the conclusion of the game.

(7) Immediately following the calling of each number and letter in a bingo game, the caller shall display that portion of the object which shows the number and letter to another individual who will announce and display the number and letter to the players.

(8) The numbers appearing on the winning card at the time a winner is determined shall be verified in the immediate presence of at least one disinterested player.

(9) A number is not considered to have been called until the full articulation of the letter and number is completed. If the calling of a number is interrupted by a player’s call of bingo after just the letter has been called, it is not a full call and should not be regarded as the last number called. The caller shall continue calling a number if the call is interrupted by a player’s call of bingo on a previous number.

(10) If the organization uses a video monitor, the caller must call both the letter and number before showing it on the screen. A ball or other object may not be placed in front of the camera before it has been called and shown.

(11) All numbers drawn must be called even if they are not needed in the winning arrangement.

(12) If the bingo caller mistakenly returns the numbers to the receptacle before the end of the game, the game manager may either void the game and start it over or determine which numbers had been already called by checking the cards of disinterested players and then remove those numbers from the receptacle.

(13) If the caller mistakenly calls a wrong number, the caller should immediately announce the correction to the players and continue with the game. If the correction results in any player completing a bingo, that player must be awarded the prize, consistent with all applicable prize rules specified herein. A prize may not be awarded for a bingo which includes a number that was not drawn.

(14) A bingo game should not be started over if it is possible to correct the error. However, if it is discovered during a game that one of the numbered objects is stuck in the receptacle, that game must be started over. All previously completed games, however, are valid and should not be replayed. If a game must be started over, all numbered objects must be returned to the receptacle. If the game is being played on disposable cards, all cards must be replaced at no cost to the players.

(15) If the game which must be started over is a progressive jackpot bingo game only those portions of the game which were not previously completed should be continued.

History

Authority: T.C.A. § 3-17-115(c).
Administrative History: Emergency rules filed August 5, 2021; effective through February 1, 2022. Emergency rules expired effective February 2, 2022, and the rules reverted to their previous statuses. New rules filed December 27, 2021; effective March 27, 2022.

Tenn. Comp. R. & Regs. 1360-03-03-.19 BINGO PRIZES

(1) All prize payments must be made payable to a specific person. No payments may be made to “cash.”

(2) All prizes to be awarded during a bingo game or session must be identified in writing and announced prior to the beginning of any game or a session of games.

(3) If the prize amounts are determined by attendance or at the end of a game, such as in a special or progressive jackpot bingo game, the game program shall list the attendance required for the prize amount or disclose that prizes shall be determined at the end of a game and the method for determining the prize amount. In such cases, the organization shall announce the prize amount at the end of the game.

(4) The maximum prize amount that may be awarded in each individual regular bingo game, progressive jackpot bingo game or special bingo game is $1,000, whether such prize is awarded in cash and/or cash equivalent goods or services.

History

Authority: T.C.A. § 3-17-115(c).
Administrative History: Emergency rules filed August 5, 2021; effective through February 1, 2022. Emergency rules expired effective February 2, 2022, and the rules reverted to their previous statuses. New rules filed December 27, 2021; effective March 27, 2022.

Tenn. Comp. R. & Regs. 1360-03-03-.20 VERIFICATION OF BINGO WINNER/MULTIPLE WINNERS

(1) At the time a winner is determined, any player may call for a verification of all numbers and of the objects remaining in the receptacle and not yet drawn. This verification shall be made in the immediate presence of the game manager and at least one disinterested player.

(2) When more than one player is found to be the winner on the call of the same number in the same bingo game, a cash prize shall be divided equally among the winners. The organization may elect to round off the prize to any amount between the next lower dollar and the next higher dollar. Any organization may elect to set a minimum prize of no more than $10 for each winner. When equal division of a merchandise prize is not possible, identical substitute prizes whose aggregate retail value is approximately equal to that of the designated prize may be awarded or a cash prize equal to the retail value may be divided among the winners as provided in this subsection.

History

Authority: T.C.A. § 3-17-115(c).
Administrative History: Emergency rules filed August 5, 2021; effective through February 1, 2022. Emergency rules expired effective February 2, 2022, and the rules reverted to their previous statuses. New rules filed December 27, 2021; effective March 27, 2022.

Chapter 1360-03-04 Catastrophic Illness Trusts

Tenn. Comp. R. & Regs. 1360-03-04-.01 DEFINITIONS

(1) “Catastrophic illness” means a severe illness requiring prolonged hospitalization or recovery and involving high costs for medical care.

(2) “Secretary of State” means the Secretary of State or the Secretary’s authorized representative.

(3) “Trusts” means a custodial account established pursuant to Tennessee Code Annotated Section 35-11-101 et seq.

History

Authority: T.C.A. §§ 48-101-501(8) and 48-101-503(b); Chapter 430 § 10 of the Public Acts of 2007.
Administrative History: Public necessity rule filed August 1, 2007; effective through January 13, 2008. Public necessity rule filed August 1, 2007, expired effective January 14, 2008. Original rule filed November 6, 2007; effective March 28, 2008.

Tenn. Comp. R. & Regs. 1360-03-04-.02 NOTICE REQUIREMENTS FOR ESTABLISHING CATASTROPHIC ILLNESS

TRUST.

(1) The trustee or bank or trust company acting as trustee shall file with the Secretary of State written notice of the establishment of the trust.

(2) The notice shall include the name, address and contact information of the trustee and beneficiary as well as identification of the financial institution where the trust was established.

History

Authority: T.C.A. § 35-11-102(d); Chapter 430 § 6 of the Public Acts of 2007.
Administrative History: Public necessity rule filed August 1, 2007; effective through January 13, 2008. Public necessity rule filed August 1, 2007, expired effective January 14, 2008. Original rule filed November 6, 2007; effective March 28, 2008.

Tenn. Comp. R. & Regs. 1360-03-04-.03 ACCOUNTING OF THE TRUST

(1) A trustee, other than a bank or trust company acting as trustee, shall file with the Division of Charitable Solicitations and Gaming an accounting of the trust on the yearly anniversary of the establishment of the trust.

(2) The financial accounting of the trust filed shall include all revenue and expenditures of the trust.

History

Authority: T.C.A. § 35-11-102(e); Chapter 430 § 6 of the Public Acts of 2007.
Administrative History: Public necessity rule filed August 1, 2007; effective through January 13, 2008. Public necessity rule filed August 1, 2007, expired effective January 14, 2008. Original rule filed November 6, 2007; effective March 28, 2008.

Tenn. Comp. R. & Regs. 1360-03-04-.04 FINANCIAL RECORDS

(1) All trustees shall be responsible for maintaining true and accurate financial records of the trust, including, but not limited to, records of all revenue and expenses of the trust. All records should be kept for no less than three (3) years.

(2) Such records shall be made available to the Secretary of State for inspection subject to the provisions of Title 45, Chapter 10 and the Federal Right to Financial Privacy Act, Pub. L. 95-630, as amended, 12 U.S.C. Section 3401 et seq.

(3) In addition to the authority to inspect financial records, the Secretary of State may compel additional production of documents, exhibits, or things, or subpoena duces tecum presentation and delivery of all records or other tangible items, by any person which the Secretary believes to be pertinent in conducting any investigation.

History

Authority: T.C.A. § 35-11-101 et seq.; Chapter 430 §§ 8, 9 of the Public Acts of 2007; T.C.A § 48-101-514(b)(1).
Administrative History: Public necessity rule filed August 1, 2007; effective through January 13, 2008. Public necessity rule filed August 1, 2007, expired effective January 14, 2008. Original rule filed November 6, 2007; effective March 28, 2008.

Tenn. Comp. R. & Regs. 1360-03-04-.05 ASSESSMENT OF CIVIL PENALTIES

(1) The Secretary of State may impose a civil penalty of not more than five thousand dollars ($5,000) for each and any violation of Tennessee Code Annotated Section 35-11-101 et seq. or any rule thereunder.

(2) Upon notice to affected parties of the imposition of civil penalties by the Secretary of State, the affected party may seek review by requesting a hearing, which shall be conducted pursuant to the Uniform Administrative Procedures Act, Title 4, Chapter 5.

(3) Any civil penalty shall be enforced in the following manner:

(a) If a petition for review of the assessment of a penalty through a “contested case” hearing is not filed within thirty (30) days after the date the assessment is served, the affected party shall be deemed to have consented to the assessment and it shall become final;

(b) Whenever any assessment has become final, because of a person’s failure to appeal the Secretary of State’s assessment or otherwise, the Secretary of State, in the name of the state, may apply to the appropriate court for a judgment and seek execution on such judgment. The court, in such proceedings, shall treat the failure to appeal such assessment as a confession of judgment in the amount of the assessment; and (c) The Secretary of State may institute proceedings for assessment in the chancery court of Davidson County or in the chancery court of the county in which all or part of the violation or failure to comply occurred, or in the county in which such person resides, has such person’s principal place of conducting solicitations, or has conducted or transacted business or solicitation campaigns.

History

Authority: T.C.A. § 35-11-101 et seq.; Chapter 430 § 7 of the Public Acts of 2007; T.C.A. § 48- 101-514(a)(1), 2(A-C).
Administrative History: Public necessity rule filed August 1, 2007; effective through January 13, 2008. Public necessity rule filed August 1, 2007, expired effective January 14, 2008. Original rule filed November 6, 2007; effective March 28, 2008.

Chapter 1360-03-05 Repealed (Transferred to 1350-05)

Tenn. Comp. R. & Regs. 1360-03-05-.01 REPEALED

History

Authority: T.C.A. §§ 47-18-1601 and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.13 REPEALED

History

Authority: T.C.A. §§ 47-18-1601 and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.02 REPEALED

History

Authority: T.C.A. §§ 47-18-1601, 47-18-1602, 47-18-1612, and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. Amendments filed January 30, 2018; effective April 30, 2018. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 1350-05 pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.03 REPEALED

History

Authority: T.C.A. §§ 47-18-1601, 47-18-1612(a), and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. Amendments filed February 23, 2022; effective May 24, 2022. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 1350-05 pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.04 REPEALED

History

Authority: T.C.A. §§ 47-18-1601, 47-18-1608, 47-18-1612, 47-18-1612(a), and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. Amendments filed January 30, 2018; effective April 30, 2018. Amendments filed February 23, 2022; effective May 24, 2022. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 1350-05 pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.05 REPEALED

History

Authority: T.C.A. §§ 47-18-1601, 47-18-1608, 47-18-1612, and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. Amendments filed January 30, 2018; effective April 30, 2018. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 1350-05 pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.06 REPEALED

History

Authority: T.C.A. §§ 47-18-1601, 47-18-1603, 47-18-1612, and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. Amendments filed January 30, 2018; effective April 30, 2018. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 1350-05 pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.07 REPEALED

History

Authority: T.C.A. §§ 47-18-1601, 47-18-1603, 47-18-1612, and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. Amendments filed January 30, 2018; effective April 30, 2018. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 1350-05 pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.08 REPEALED

History

Authority: T.C.A. §§ 47-18-1601, 47-18-1603, 47-18-1605, 47-18-1612, and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. Amendments filed January 30, 2018; effective April 30, 2018. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 1350-05 pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.09 REPEALED

History

Authority: T.C.A. §§ 47-18-1601 and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.10 REPEALED

History

Authority: T.C.A. §§ 47-18-1601 and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.11 REPEALED

History

Authority: T.C.A. §§ 47-18-1601, 47-18-1603, 47-18-1604, 47-18-1612, and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules fil ed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. Amendments filed January 30, 2018; effective April 30, 2018. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 1350-05 pursuant to Public Chapter 143 (2023).

Tenn. Comp. R. & Regs. 1360-03-05-.12 REPEALED

History

Authority: T.C.A. §§ 47-18-1601 and 47-18-5601 and Public Chapter 143 (2023).
Administrative History: Emergency rules filed June 29, 2016; effective through December 26, 2016. New rules filed September 26, 2016; effective December 25, 2016. Administrative changes made to this chapter on March 1, 2017, due to revisions in the 2016 Tennessee Code Annotated by the Code Commission. pursuant to Public Chapter 143 (2023).

Chapter 1360-04-01 Uniform Rules of Procedure for Hearing Contested Cases Before State Administrative Agencies

Tenn. Comp. R. & Regs. 1360-04-01-.01 SCOPE

(1) Subject to any other applicable federal or state law, these rules shall govern contested case proceedings before all agencies that have adopted these rules, and will be relied upon by administrative judges in all contested cases utilizing administrative judges from the Administrative Procedures Division of the Office of the Secretary of State (whether sitting alone or with the agency), except when, pursuant to T.C.A. § 4-5-219(d), an agency has lawfully adopted a rule that is contrary to a provision of these rules. However, Rule 1360-04- 01-.20 applies to all administrative judges and hearing officers of the State of Tennessee in all matters.

(2) Any provision of these rules may be suspended at the discretion of the presiding administrative judge or hearing officer when clearly warranted in the interests of justice, consistent with the requirements of the Uniform Administrative Procedures Act and other applicable law.

(3) In any situation that arises that is not specifically addressed by these rules, reference may be made to the Tennessee Rules of Civil Procedure for guidance as to the proper procedure to follow when appropriate and to whatever extent will best serve the interests of justice and the speedy and inexpensive determination of the matter at hand.

(4) Agencies are encouraged to adopt their own rules of procedure to address specific topics that are unique to the type of cases conducted by an agency, to whatever extent these rules do not address such topics.

History

Authority: T.C.A. §§ 4-5-219 and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendment filed May 31, 1990; effective July 15, 1990. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.02 DEFINITIONS

The terms defined by the Uniform Administrative Procedures Act (UAPA), Tennessee Code Annotated Title 4, Chapter 5, shall have the same meaning for the purpose of these rules, unless the context otherwise requires, in addition to the following:

(1) Administrative Judge - The term “administrative judge” shall be defined in the same manner as defined by T.C.A. § 4-5-102(1). Wherever the term “administrative judge” is used in these rules, it is intended to include reference to the term “hearing officer,” in cases in which hearing officers conduct the proceedings, as defined by T.C.A. § 4-5-102(4).

(2) Administrative Procedures Division - The Administrative Procedures Division of the Office of the Secretary of State.

(3) Burden of Proof - The “burden of proof” refers to the duty of a party to show by a preponderance of the evidence, except when other law or rule has created a different standard, that an allegation is true or that an issue should be resolved in favor of that party. A “preponderance of the evidence” means the greater weight of the evidence or that, according to the evidence, the conclusion sought by the party with the burden of proof is the more probable conclusion. The burden of proof is generally assigned to the party who seeks to change the present state of affairs with regard to any issue, except when other laws or rules have created an exception to this general rule. The administrative judge makes all decisions regarding which party has the burden of proof on any issue.

(4) Filing - Unless otherwise provided by law or by these rules, “filing” means actual receipt by the entity designated to receive the required materials.

(5) Petitioner - The “petitioner” in a contested case proceeding is the “moving” party, i.e., the party who initiated the proceedings. The petitioner usually bears the ultimate burden of proof and will therefore present his or her proof first at a contested case hearing. In some cases, however, the party who initiated the proceedings will not be the party with the burden of proof on all issues. In such cases, the administrative judge will determine the order of proceedings, considering the interests of fairness, simplicity, and the speedy and inexpensive determination of the matter at hand.

(6) Pleadings - “Pleadings” are written statements of the facts and law that constitute a party’s position or point of view in a contested case and that, when taken together with the other party’s pleadings, will define the issues to be decided in the case. Pleadings may be in legal form—for example, a “Notice of Hearing and Charges,” “Petition for Hearing,” or “Answer”— or, when not practicable to put them in legal form, letters or other papers may serve as pleadings in a contested case, if necessary, to define the parties’ positions and issues in the case.

(7) Record - The record consists of all items stated in T.C.A. § 4-5-319 (e.g., pleadings, orders, or other materials filed in a contested case proceeding), including the exhibits admitted into evidence at a hearing and the transcript, if filed. The electronic case file is the official record of proceedings conducted by the Administrative Procedures Division.

(8) Respondent - The “respondent” in a contested case proceeding is the party who is responding to the charges or other action brought by the “petitioner.”

(9) “UAPA” - The Uniform Administrative Procedures Act, located at Tennessee Code Annotated Title 4, Chapter 5.

History

Authority: T.C.A. §§ 4-5-219, 4-5-301(b), 4-5-312, and 4-5-321; Cross reference T.C.A. § 4-5-102.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendment filed May 31, 1990; effective July 15, 1990. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.03 FILING AND SERVICE OF PLEADINGS AND OTHER MATERIALS

(1) All pleadings, petitions for review, and any other materials required to be filed with an agency or the Administrative Procedures Division by a time certain shall be filed by delivering such materials in the manner directed by the applicable agency or the Administrative Procedures Division, so long as they are actually received within the required time period.

(2) Every pleading, written motion, and other document filed with the Administrative Procedures Division shall be signed by the attorney of record or if the party is not represented by an attorney shall be signed by the party. An electronic signature may be used to sign a document and shall have the same force and effect as a written signature. Each document shall state the signer’s address, telephone number, email address, and Tennessee board of professional responsibility number, if any.

(3) Materials shall be file d with the Administrative Procedures Division either electronically or by facsimile, unless both are impracticable. If a party is unable to file electronically or by facsimile, documents may be filed in person or by mail at the address designated by the Administrative Procedures Division, which is available by contacting the Administrative Procedures Division or by visiting the Tennessee Secretary of State’s website.

(4) Once a case has been initiated with the Administrative Procedures Division, all pleadings and other materials shall be filed with the Administrative Procedures Division and shall include the Administrative Procedures Division case number on the first page. In contested cases heard before the Administrative Procedures Division, petitions for agency review of an initial order and for agency reconsideration or stay of a final order shall be filed with both the agency and the Administrative Procedures Division. However, once a case in which an administrative judge issued an initial order is being reviewed by an agency commissioner for the issuance of a final order, or a case is on judicial review pursuant to T.C.A. § 4-5-322, no further filings need be made with the Administrative Procedures Division except the agency commissioner’s final order or a reviewing court’s order.

(5) All materials filed with the Administrative Procedures Division will be stamped with the date and time of receipt as soon as is practicable after actual receipt of the filings. The filing party may request that a copy of the filed document, as stamped received, be returned to the filing party via either mail or electronically, or at the time of filing if filed in person with the Administrative Procedures Division. If the filing was submitted by mail and the filing party requests a return stamped copy by mail, the filing must be submitted with a postage pre-paid envelope for use by the Administrative Procedures Division. If no pre-paid envelope is provided, the Administrative Procedures Division will instead send the stamped copy of the filing via electronic mail if an electronic mail address is available.

(6) All filings received by 11:59 p.m. Central Time on a day that the Administrative Procedures Division is open for business shall be considered filed that day. In the event the fili ng is received on a weekend, state observed holiday, or other non-business day, the filing shall be considered filed on the next business day.

(7) All personally identifiable information (PII), protected health inf ormation (PHI), and any other confidential information, including social security numbers, shall be redacted from all documents prior to filing.

(8) Depositions, interrogatories, requests for documents, requests for admissions, and responses thereto should not be filed with the Administrative Procedures Division unless they are to be considered by the administrative judge for any purpose in the proceeding.

(9) Copies of any and all materials filed with the agency or Administrative Procedures Division in a contested case shall also be served upon all parties, or upon their counsel once counsel has made an appearance. Any such material shall contain a statement indicating that copies have been served upon all parties, specifying the date and manner of service. The statement should be signed by the person who served the material. Service may be by mail, by electronic mail in the manner provided by the Tennessee Rules of Civil Procedure, or by hand delivery.

(10) Any party to a contested case proceeding before the Administrative Procedures Division may request an electronic copy of the record in the case at no cost. The Administrative Procedures Division may require satisfactory proof, as determined by the Administrative Procedures Division, that the requesting individual is a party to the case, a party representative, or counsel for a party before providing any requested documentation. All other requests for documents pertaining to any contested case before the Administrative Procedures Division must be requested by means of a Public Records Request, as contemplated under Tennessee law and the Public Records Policy for the Department of State. The Administrative Procedures Division may provide the parties either a physical or electronic copy of the record. Unless a law or rule requires otherwise, if a physical copy is requested, then a party may be charged copying fees consistent with those required for a Public Records Request.

History

Authority: T.C.A. §§ 4-5-219 and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendment filed May 31, 1990; effective July 15, 1990. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.04 TIME

(1) In computing any period of time prescribed or allowed by statute, rule, or order, the date of the act, event, or default, after which the designated period of time begins to run, is not to be included. The last day of the period so computed is to be included unless it is a Saturday, Sunday, state-observed holiday, or other non-business day, in which event the period runs until the end of the next business day. When the period of time prescribed or allowed is less than seven days, intermediate Saturdays, Sundays, state-observed holidays, and other nonbusiness days shall be excluded in the computation.

(2) Except in regard to petitions for review under T.C.A. §§ 4-5-315, 4-5-317, and 4-5-322, or when otherwise prohibited by law, when an act is required or allowed to be done at or within a specified time, the agency or the administrative judge may, at any time, (a) with or without motion or notice order the period enlarged if t he request is made before the expiration of the period originally prescribed or as extended by previous order, or (b) upon motion made after the expiration of the specified period, permit the act to be done late, where the failure to act was the result of excusable neglect. Nothing in this section shall be construed to allow any ex parte communications concerning any issue in the proceeding that would be prohibited by T.C.A. § 4-5-304.

History

Authority: T.C.A. §§ 4-5-219 and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.05 COMMENCEMENT OF CONTESTED CASE PROCEEDINGS

(1) Commencement of Action - A contested case proceeding may be commenced by original agency or public action, by appeal of a person from an agency action, by request for hearing by an affected person, or by any other lawful procedure.

(2) Notice of Hearing - In every contested case, a notice of hearing shall be issued, filed, and served by the agency, which notice shall comply with T. C.A. § 4-5-307(b). When an administrative judge from the Administrative Procedures Division will be utilized, a contested case is commenced with the Administrative Procedures Division by the agency’s filing of a notice of hearing, or similar document otherwise provided by law. If the law otherwise provides, a non-agency person or other entity may file the notice of hearing in order to commence a contested case proceeding with the Administrative Procedures Division.

(3) Supplemented Notice - In the event it is impractical or impossible to include in one document every element required for notice, elements such as time and place of hearing may be supplemented in later writings. In certain cases, some requirements of this subsection may be satisfied during the course of a pre-hearing conference.

(4) Filing of Documents - When a contested case proceeding is commenced with the Administrative Procedures Division, the agency shall file with the Administrative Procedures Division a notice of hearing along with all of the papers that are relevant to the notice of hearing, such as pleadings, motions, and objections, formal or otherwise, that have been provided to or generated by the agency.

(5) Answer - A responding party may file an answer, or the administrative judge may require a responding party to file an answer, to the charges set out in the notice of hearing or other initial pleading. The responding party should file its answer with the Administrative Procedures Division if the Administrative Procedures Division will be conducting the proceedings, or the agency in cases when the agency is conducting the proceedings, in which the party may:

(a) Object to the notice upon the ground that it does not state acts or omissions upon which the agency may proceed;

(b) Object on the basis of lack of jurisdiction over the subject matter;

(d) Object on the basis of insufficiency of the notice;

(e) Object on the basis of insufficiency of service of the notice;

(f) Object on the basis of failure to join an indispensable party;

(g) Generally deny all the allegations contained in the notice or state that the responding party is without knowledge to each and every allegation, both of which shall be deemed a general denial of all charges;

(h) Admit in part or deny in part allegations in the notice and may elaborate on or explain relevant issues of fact in a manner that will simplify the ultimate issues; and (i) Assert any available defense.

(6) Motion for More Definite Statement - Within two (2) weeks after service of the notice of hearing in a matter, or at any later time with the permission of the administrative judge for good cause shown, a party may file a motion for more definite statement pursuant to T.C.A. § 4-5-307 on the ground that the notice or other original pleading is so indefinite or uncertain that one cannot identify the transaction or facts at issue or prepare a defense. The administrative judge may order a more definite statement to be provided by a date certain and may continue the hearing until at least ten (10) days after a more definite statement is provided.

(7) Amendment to Notice - An amendment to the notice of hearing or other initial pleading may be filed and served within fifteen (15) business days from service of the initial notice and before an answer is filed, unless a party shows to the administrative judge that undue prejudice will result from the amendment. Such an amendment shall clearly identify how the original pleading has been amended. Otherwise, the notice of hearing or other initial pleading may only be amended by written consent of the non-amending party, or parties, or by leave of the administrative judge, and leave shall be freely given when justice so requires. No amendment may introduce a new statutory violation without original service and running of times applicable to service of the initial notice of hearing or other initial pleading. The administrative judge may grant a continuance, if necessary, to assure that a party has adequate time to prepare for a hearing in response to an amendment.

(8) Amendments to Conform to the Evidence - When issues not raised by the pleadings are tried by express or implied consent of the parties, they shall be treated in all respects as if they had been raised in the pleadings. Such amendment of the pleadings as may be necessary to cause them to conform to the evidence and to raise these issues may be made upon motion of any party at any time, but failure to so amend does not affect the result of the determination of these issues. If evidence is objected to at the hearing on the ground that it is not within scope of the issues contained in the pleadings, then the administrative judge may allow the pleadings to be amended unless the objecting party shows that the admission of such evidence would prejudice its defense. The administrative judge may grant a continuance to enable the objecting party to have reasonable notice of the amendments.

(9) Communications - When a contested case is commenced in which an administrative judge from the Administrative Procedures Division will be conducting the proceedings, the parties may not communicate directly with the administrative judge via electronic mail unless all parties are included as a recipi ent of the message or unless the communication is otherwise authorized by T.C.A. § 4-5-304. In no event may an electronic message between the parties and an administrative judge, or any attachment thereto, be treated as a filing. All documents for filing must be filed in accordance with Rule 1360-04-01-.03.

(10) Withdrawal/Nonsuit/Voluntary Dismissal - Any petitioner seeking to voluntarily dismiss their case prior to the hearing may do so by filing a written notice or by giving oral notice of dismissal to the parties and the administrative judge or agency conducting the proceedings.

History

Authority: T.C.A. §§ 4-5-219, 4-5-301, 4-5-307, 4-5-308, 4-5-312, 4-5-313, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendment filed May 31, 1990; effective July 15, 1990. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.06 SERVICE OF NOTICE OF HEARING

(1) In any case in which a party has requested a hearing from an agency and provided the agency with an address, a copy of the notice of hearing shall, within a reasonable time before the hearing, be served on the party to be affected at the address provided, by certified or registered mail, personal service, or service by the methods set forth in the Tennessee Rules of Civil Procedure.

(2) In any case in which an agency is initiating a contested case against a party by bringing charges, by attempting to take action against a license, or by other similar action, a copy of the notice of hearing shall be served upon the party to be affected no later than thirty (30) days prior to the hearing date. Except as provided in paragraph (3) below, service in such a case shall be by personal service, return receipt mail or equivalent carrier, such as FedEx, with a return receipt; a person making personal service on a party shall return a statement indicatin g the time and place of service, and a return receipt must be signed by the party to be affected. However, if the party to be affected evades or attempts to evade service, service may be made by leaving the notice or a copy thereof at the party’s dwelling house or usual place of abode with some person of suitable age and discretion residing therein, whose name shall appear on the proof of service, return receipt card, or equivalent proof of delivery.

Service may also be made by delivering the notice or copy to an agent authorized by appointment or by law to receive service on behalf of the individual served, or by any other method allowed by law in judicial proceedings.

(3) When the law governing an agency includes a statute allowing for service of the notice by mail without specifying the necessity for a return receipt, and the statute requires a person to keep the agency informed of his or her current address, service of notice shall be complete upon placing the notice in the mail in the manner specified in the statute, to the last known address of such person. However, in the event of a motion for default when there is no indication of actual service on a party, the foll owing circumstances will be taken into account in determining whether to grant the default, in addition to whether service was complete as defined above:

(a) Whether any other attempts at actual service were made;

(b) Whether and to what extent actual service is practicable in any given case;

(c) What attempts were made to get in contact with the party by telephone or otherwise; and (d) Whether the agency has actual knowledge or reason to know that the party may be located elsewhere than the address to which the notice was mailed.

(4) The methods of service authorized and time limits required pursuant to paragraphs (1) through (3) of this rule shall apply only to the initial notice of hearing required to be filed pursuant to Rule 1360-04-01-.05(2), which is intended by the filing agency to memorialize the commencement of a contested case proceeding as described by Rule 1360-04-01-.05(1). All other documents including, but not limited to, supplemented notice pursuant to Rule 1360-04- 01-.05(4), and orders of continuances that are ordered or required by statute or rule to be served during the course of the resulting contested case proceeding shall not be required to be served by return receipt mail or its equivalent, or by personal service.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 4-5-219, 4-5-301, 4-5-307, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendment filed May 31, 1990; effective July 15, 1990. Amendment filed February 27, 2004; effective June 28, 2004. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.07 DECLARATORY ORDERS

(1) Any affected person may petition an agency for a declaratory order as to the validity or the applicability of a statute, rule, or order within the primary jurisdiction of the agency.

(2) The petition seeking a declaratory order shall be filed in writing with the agency. Any challenge to the applicability of a statute or rule must comply with the procedural requirements for a declaratory order, and a challenge to the applicability of a statute or rule will not be entertained without compliance with these requirements.

(3) In the event the agency convenes a contested case hearing pursuant to thi s rule and T.C.A. § 4-5-223, in which an administrative judge from the Administrative Procedures Division of the Office of the Secretary of State (whether sitting alone or with the agency) will be utilized, then the Administrative Procedures Division shall be notified immediately and shall be promptly provided with electronic copies of all pleadings, motions, objections, etc.

History

Authority: T.C.A. §§ 4-5-219, 4-5-223, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.08 REPRESENTATION BY COUNSEL

(1) Any party to a contested case hearing may be advised and represented, at the party’s own expense, by a licensed attorney.

(2) Any party to a contested case may represent himself or herself or, in the case of a corporation or other artificial person, may participate through a duly authorized representative such as an officer, director or appropriate employee. However, such officer may not undertake any activities that constitute the unauthorized practice of law.

(3) A party to a contested case hearing may not be represented by a non-attorney, except in any situation when state or federal law so permits.

(4) The State shall notify all parties in a contested case hearing of their right to be represented by counsel. An appearance by a party at a hearing without counsel may be deemed a waiver of the right to counsel.

(5) Entry of an appearance by counsel shall be made by:

(a) The fil ing of pleadings;

(b) The filing of a formal or informal notice of appearance; or (c) Appearance as counsel at a pre-hearing conference or a hearing.

(6) After appearance of counsel has been made, all pleadings, motions, and other documents shall be served upon such counsel.

(7) Counsel wishing to withdraw shall file a Motion to Withdraw as Counsel, in accordance with Rules 1360-04-01-.03 and 1360-04-01-.09.

(8) Out-of-state counsel shall comply with T.C.A. § 23-3-103(a) and Tennessee Supreme Court

Rule 19, except that if the proceeding is conducted by the Administrative Procedures Division, then the affidavit referred to in Tennessee Supreme Court Rule 19 and a Motion to Appear Pro Hac Vice shall be filed with the Administrative Procedures Division for consideration by the presiding administrative judge in the matter in which counsel wishes to appear.

History

Authority: T.C.A. §§ 4-5-219, 4-5-301, 4-5-305, 4-5-312, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendment filed May 31, 1990; effective July 15, 1990. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.09 PRE-HEARING MOTIONS

(1) Scope - This rule applies to all motions made prior to a hearing on the merits of a contested case, except that discovery-related motions shall not be subject to Interlocutory Review by an agency under this rule. This rule does not preclude the administrative judge from convening a hearing or converting a pre-hearing conference to a hearing at any time pursuant to T.C.A. § 4-5-306(b) to consider any question of law.

(2) Motions - Parties to a contested case are encouraged to resolve matters on an informal

basis; however, if efforts at informal resolutions fail, any party may request relief in the form of a motion by serving a copy on all parties and, if an administrative judge from the Administrative Procedures Division is conducting the contested case, by filing the motion with the Administrative Procedures Division. Any such motion shall set forth a request for all relief sought and shall set forth grounds that entitle the moving party to relief.

(3) Time Limits; Argument - A party may request oral argument on a motion by indicating the request on the front of the motion, or any response to the motion, at the time it is filed; however, a brief memorandum of law submitted with the motion is preferable to oral argument. Each opposing party may file a written response to a motion provided the response is filed within seven (7) days of the date the motion was filed. A motion shall be considered submitted for disposition seven (7) days after it was filed unless oral argument is granted, or unless a longer or shorter time is set by the administrative judge.

(4) Oral Argument - If oral argument is requested, the motion may be argued in person, by conference telephone call, or by video conference call, as determined appropriate by the administrative judge.

(5) Affidavits and Briefs (a) Motions and responses thereto shall be accompanied by all supporting affidavits and briefs. All motions and responses thereto shall be supported by affidavits for facts relied upon that are not of record or that are not the subject of official notice. Such affidavits shall set forth only facts which are admissible under T.C.A. § 4-5-313, and to which the affiants are competent to testify. Properly verified copies of all documents referred to in such affidavits may be attached thereto.

(b) In the discretion of the administrative judge, a party or parties may be required to submit briefs pursuant to a schedule established by the administrative judge.

(6) Disposition of Motions; Drafting the Order (a) When a pre-hearing motion has been made in writing or orally, the administrative judge shall render a decision on the motion by issuing an order or by instructing the prevailing party to prepare and submit an order in accordance with subparagraph (b) below.

(b) If the administrative judge instructs the prevailing party on any motion to draft an appropriate order, it shall be filed if the case is being conducted by an administrative judge from the Administrative Procedures Division, or submitted to any other administrative judge, within five (5) days of the ruling on the motion, or as otherwise ordered by the administrative judge.

(c) The administrative judge, after signing any order, shall cause the order to be issued forthwith to the parties, either by mail or electronically.

(7) Interlocutory Review Prior to Hearing - For cases in which an initial order will be issued pursuant to T.C.A. § 4-5-314, decisions regarding the availability of interlocutory review of an order issued on a preliminary matter shall be made, in accordance with the criteria specified in Rule 9 of the Tennessee Rules of Appellate Procedure, by the administrative judge who issued the order, upon application made by the party seeking the review. Should the request for interlocutory review be approved, the administrative judge shall specify the procedure for seeking the review, including timeframes, and shall identify the entity from whom the review should be sought. Should the reviewing entity not address the request for review with in the timeframe specified by the administrative judge, the request shall be deemed denied.

History

Authority: T.C.A. §§ 4-5-219, 4-5-301, 4-5-306, 4-5-308, 4-5-312, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendment filed May 31, 1990; effective July 15, 1990. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.10 CONTINUANCES

(1) Continuances may be granted by the administrative judge, or presiding officer of a multimember agency if the administrative judge permits, upon good cause shown at any stage of the proceeding. The need for a continuance shall be brought to the attention of the administrative judge as soon as practicable. All requests for a continuance prior to the scheduled hearing time should be made in writing by filing a Motion for Continuance, or be made orally during a pre-hearing conference.

(2) Factors relevant to the decision of the administrative judge, or presiding officer of a multimember agency, about whether to grant a Motion for Continuance include, but are not limited to: (1) the length of time the proceeding has been pending, (2) the reason for the continuance, (3) the diligence of the party seeking the continuance, (4) mutual consent of the parties, (5) whether such a continuance will cause a significant delay in reaching a resolution of the matter, and (6) the prejudice to either party.

(3) Under no circumstances should the parties consider the hearing to be continued absent an order or other ruling from the administrative judge or presiding officer of a multi-member agency.

History

Authority: T.C.A. §§ 4-5-219, 4-5-301, 4-5-308, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.11 DISCOVERY

(1) Parties are encouraged, when practicable, to attempt to achieve any necessary discovery informally in order to avoid undue expense and delay in the resolution of the matter at hand.

When such attempts have failed, or when the complexity of the case is such that informal discovery is not practicable, discovery shall be sought and effectuated in accordance with the Tennessee Rules of Civil Procedure.

(2) Upon motion of a party or pursuant to a schedulin g order, the administrative judge may order that discovery be completed by a certain date.

(3) Any motion to compel discovery, motion to quash, motion for protective order, or other discovery-related motion shall:

(a) Quote verbatim the interrogatory, request, question, or subpoena at issue, or be accompanied by a copy of the interrogatory, request, subpoena, or excerpt of a deposition that shows the question and objection or response if applicable;

(b) State the reason or reasons supporting the motion; and (c) Be accompanied by a statement certifying that the moving party or the party’s counsel has made a good faith effort to resolve by agreement the issues raised, and that agreement has not been achieved. Such effort shall be set forth with particularity in the statement.

(4) The administrative judge shall decide any motion relating to discovery under the Administrative Procedures Act, T.C.A. §§ 4-5-101 et seq., or the Tennessee Rules of Civil Procedure. The procedures for the consideration of such a motion are set forth at Rule 1360- 04-01-.09.

History

Authority: T.C.A. §§ 4-5-219, 4-5-311, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.12 INTERVENTION

(1) All petitions to intervene in a pending contested case shall be filed in accordance with T.C.A. § 4-5-310 and shall state any and all facts and legal theories under which the petitioner claims to be qualified as an intervenor.

(2) In deciding whether to grant a petition to intervene, the following factors shall be considered:

(a) Whether the petitioner claims an interest relating to the case and that he or she is so situated that the disposition of the case may as a practical matter impair or impede his or her ability to protect that interest;

(b) Whether the petitioner’s claim and the main case have a question of law or fact in common;

(c) Whether prospective intervenor interests are adequately represented; or (d) Whether admittance of a new party will render the hearing unmanageable or interfere with the interests of justic e and the orderly and prompt conduct of the proceedings.

(3) In deciding a petition to intervene, the administrative judge may impose conditions upon the intervenor’s participation in the proceedings as set forth at T.C.A. § 4-5-310(c).

(4) When the validity of a statute of this state or an administrative rule or regulation of this state is drawn in question in any case, the administrative judge shall require that notice be given to the office of the Tennessee Attorney General, specifying the pertinent statute, rule or

regulation, and the Attorney General’s office will be permitted to intervene or to serve as cocounsel with the state’s counsel, if any.

History

Authority: T.C.A. §§ 4-5-219, 4-5-301, 4-5-310, 4-5-312, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendment filed May 31, 1990; effective July 15, 1990. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.13 SUBPOENA

(1) Any party to a contested case may request blank form subpoenas, which shall then be prepared by the party. Once prepared, the parties shall submit subpoenas for issuance by the administrative judge, or other person allowable by law.

(2) If the contested case is being conducted by the Administrative Procedures Division, the requesting party should use the form subpoena available on the Administrative Procedures Division’s website. If a party has no means to access the website, such a party may request a copy of the form by telephone or mail. Once the form is filled out by the requesting party, it shall be submitted electronically to the Administrative Procedures Division for issuance. If a party has no means to make the request electronically, the request may be made by telephone or mail.

(3) Once issued by the administrative judge, or other person allowable by law, a party shall then serve subpoenas by certified mail with a return receipt, or personal service. Copies of served subpoenas must be served on all parties in accordance with Rule 1360-04-01-.03(9), and all material produced must be made available for inspection, copying, testing, or sampling by all parties.

(4) If the contested case is being conducted by the Administrative Procedures Division, copies of served subpoenas must be filed with the Administrative Procedures Division.

History

Authority: T.C.A. §§ 4-5-219, 4-5-311, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.14 DEFAULT AND UNCONTESTED PROCEEDINGS

(1) Default (a) The failure of a party to attend or participate in a pre-hearing conference, hearing, or other stage of contested case proceedings after due notice thereof is cause for holding such party in default pursuant to T.C.A. § 4-5-309. Failure to comply with any lawful order of the administrative judge or agency, necessary to maint ain the orderly conduct of the hearing, may be deemed a failure to participate in a stage of a contested case and thereby be cause for a holding a party in default.

(b) After entering into the record evidence of service of notice to an absent party, a motion may be made to hold the absent party in default and either to adjourn the proceedings or continue on an uncontested basis.

(c) The administrative judge, when sitting with an agency, advises the agency whether the service of notice is sufficient as a matter of law, according to Rule 1360-04-01-06.

(d) If the notice is held to be adequate, the agency, or administrative judge hearing a case alone, shall grant or deny the motion for default, taking into consideration the criteria listed in Rule 1360-04-01-.06, subsections (2)(a) through (2)(d), when appropriate.

Grounds for the granting of a default shall be stated and shall thereafter be set forth in a written order. If a default is granted, the proceedings may then be adjourned or conducted without the participation of the absent party.

(e) The agency or administrative judge shall serve upon all parties written notice of entry of default for failure to appear. The defaulting party may file a motion for reconsideration under T.C.A. § 4-5-317, requesting that the default be set aside for good cause shown, and stating the grounds relied upon. The agency or administrative judge may make any order in regard to such motion as is deemed appropriate, pursuant to T.C.A. § 4-5-317.

(2) Effect of Entry Default (a) Unless the proceedings are continued, charges shall be dismissed as to all issues on which the petitioner bears the burden of proof if the petitioner is held in default at a contested case hearing.

(b) Upon entry into the record of the default of the respondent at a contested case hearing, the matter shall be tried as uncontested as to such respondent, unless the proceedings are continued.

(3) Uncontested Proceeding - As referred to in this rule, an uncontested proceeding is one in which a party to the proceeding is absent. When the matter is tried as uncontested, the party with the burden of proof must establish its allegations by a preponderance of the evidence.

History

Authority: T.C.A. §§ 4-5-219, 4-5-309, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Rule was previously numbered

Tenn. Comp. R. & Regs. 1360-04-01-.15 EVIDENCE IN HEARINGS

(1) In all agency hearings, the testimony of witnesses shall be taken in open hearings except as otherwise provided by these rules or otherwise provided by law. In the discretion of the agency or upon motion of any party, witnesses may be excluded prior to or after their testimony. The standard for admissibility of evidence is set forth at T.C.A. § 4-5-313.

(2) In all cases before an administrative judge from the Administrative Procedures Division, whether sitting alone or with an agency, the administrative judge shall have the authority to order that all evidence that comes in the form of exhibits be separately filed with the Administrative Procedures Division in an electronic format consistent with Rule 1360-04-01- .03.

History

Authority: T.C.A. §§ 4-5-219, 4-5-312, 4-5-313, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendment filed May 31, 1990; effective July 15, 1990. Rule was previously numbered 1360-04-01-.16 but was renumbered 1360-04-01- .15 with the deletion of original rule 1360-04-01-.14 filed January 8, 2024; effective April 7, 2024. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.16 REQUESTS FOR COSTS

(1) In cases heard by administrative judges from the Administrative Procedures Division, sitting alone, whenever a statute allows for the recovery of costs or attorney’s fees, the moving party shall file a motion for the actual and reasonable costs and attorney’s fees incurred in order to recover such costs and fees. These may include, but are not limited to, the costs associated with the Administrative Procedures Division for docketing, filing, judges, and other costs; cost for all depositions, court reporters, and transcriptions; costs incurred and assessed for the time of the prosecuting attorneys, investigators, expert witnesses, and such other persons involved in the investigation, prosecution, and hearing of the contested matter as well as the time rendered for each service.

(2) The motion shall be accompanied by an affidavit of the attorney setting forth an itemized statement of the services rendered, the time involved, a suggestion of the fee to be awarded, and with a statement of other pertinent facts including, but not limited to, that required by Tennessee Supreme Court Rule 8, Rules of Professional Conduct 1.5, applicable case law, and such other information as may be requested by the administrative judge.

(3) To the extent the motion seeks to recover costs associated with the Administrative Procedures Division, the moving party may request that the Administrative Procedures Division provide a bill of costs. The bill of costs shall be attached to the motion as an exhibit, and those costs shall be allowed to the movant unless the administrative judge otherwise directs.

(4) The non-moving party may contest any costs or attorney’s fees requested by filing a written response to the motion. If the motion is not contested, the awardable amount remains subject to the administrative judge’s discretion regarding accuracy and reasonableness.

Such motions shall otherwise be governed by Rule 1360-04-01-.09.

History

Authority: T.C.A. §§ 4-5-219 and 4-5-321.
Administrative History: New rule filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.17 THE RECORD

(1) Clerical Mistakes - Prior to any appeal being perfected by either party to a court, clerical mistakes in orders or other parts of the record and errors therein arising from oversight or omissions may be corrected by the administrative judge if sitting alone, or by the agency if the matter was heard before them. Such corrections may be made at any time on the initiative of either the administrative judge or the agency, or upon motion of any party. The entering of a corrected order will not affect the dates of the original appeal or reconsideration time period.

(2) Certified Record - Once an appeal has been perfected, if the case was conducted by the Administrative Procedures Division, a party may file a request with the Administrative Procedures Division for a certified copy of the record in accordance with T.C.A. § 4-5-322. If a party believes a record, as contemplated by T.C.A. § 4-5-319, certified by an administrative judge pursuant to T.C.A. § 4-5-322, contains anything improperly included or misstated, then a motion may be filed with the Administrative Procedures Division to correct or modify such a certification. However, in no event shall such a certification add to or subtract from the record of what transpired while the case was pending with the Administrative Procedures Division. If a transcript(s) was not filed with the Administrative Procedures Division at the time of the certification, then no transcript will be included as part of the record certified by the administrative judge.

(3) Recordings and Transcripts - The hearing of a case shall be recorded by the agency, either by audio or video recording, stenography, or both. Such recording shall be maintained by the agency. If the case was conducted by the Administrative Procedures Division and a transcript is filed with the Administrative Procedures Division, such filing will be maintained as part of the Administrative Procedures Division record. All other oral proceedings may likewise be recorded by either party, at their own expense, upon advising the administrative judge that the proceeding is being recorded, or by order of the administrative judge.

History

Authority: T.C.A. §§ 4-5-219 and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.18 PETITIONS FOR RECONSIDERATION AND STAYS TO MULTI-MEMBER

AGENCIES.

(1) Unless agency rules state otherwise, the chair of a multi-member agency or any other of its members that the multi-member agency authorizes may in his or her discretion, by written order served on all parties, deny petitions for reconsideration of final orders or grant such petitions and schedule a hearing for further proceedings in front of a quorum of the multimember agency, in accordance with T.C.A. § 4-5-317.

(2) Unless agency rules state otherwise, the chair of a multi-member agency or any other of its members that the multi-member agency authorizes may in his or her discretio n, by written order served on all parties, schedule a hearing in front of a quorum of the multi-member agency on a petition for a stay of the effectiveness of a final order filed under T.C.A. § 4-5- 316.

(3) Hearings contemplated by subsections (1) and (2) above may be conducted by telephone conference call or via other electronic means under the requirements of T.C.A. § 4-5-312.

History

Authority: T.C.A. §§ 4-5-219, 4-5-312, 4-5-314, 4-5-315, 4-5-316, 4-5-317, 4-5-318, and 4-5-321.
Administrative History: Original rule filed November 22, 1978; effective January 8, 1979. Amendment filed May 23, 1984; effective June 22, 1984. Repeal and new rule filed November 25, 1986; effective January 9, 1987. Amendment filed May 31, 1990; effective July 15, 1990. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.19 FILING OF FINAL ORDERS

After an agency has made a decision in a contested case hearing conducted by the Administrative Procedures Division, whichever party is assigned the responsibility for drafting the final order shall file the signed, final order with the Administrative Procedures Division. The order shall state that it is deemed entered upon the date that it is filed with the Administrative Procedures Division, unless otherwise allowable by law. The party responsible for filing the final order with the Administrative Procedures Division shall serve a copy of the final order, timestamped by the Administrative Procedures Division, on the opposing party, or if such party is represented by counsel, on counsel for the opposing party, on the date of filing either by standard postal mail or electronically. All final orders shall contain a clear and concise statement of the available procedures and time limits for seeking reconsideration or other administrative relief and the time limits for seeking judicial review of the final order.

History

Authority: T.C.A. §§ 4-5-219, 4-5-312, 4-5-318, and 4-5-321.
Administrative History: Original rule filed May 31, 1990; effective July 15, 1990. Amendments filed January 8, 2024; effective April 7, 2024.

Tenn. Comp. R. & Regs. 1360-04-01-.20 CODE OF JUDICIAL CONDUCT

Unless otherwise provided by law or clearly inapplicable in context, the Tennessee Code of Judicial Conduct, Rule 10, Canons 1 through 4, of the Rules of the Tennessee Supreme Court, and any subsequent amendments thereto, shall apply to all administrative judges and hearing officers of the State of Tennessee. However, any complaints regarding any individual administrative judge’s or hearing officer’s conduct under the code shall be made to the Director of the Administrative Procedures Division or hearing officer or other comparable entity with supervisory authority over the administrative judge or hearing officer, and any complaints about such supervising authority shall be made to the appointing

authority.

History

Authority: T.C.A. § 4-5-321.
Administrative History: Original rule filed May 31, 1990; effective July 15, 1990. Amendments filed January 8, 2024; effective April 7, 2024.

Chapter 1360-05-01 Entity Formations

Tenn. Comp. R. & Regs. 1360-05-01-.01 EMAIL ADDRESSES SUBMITTED WITH FORMATION DOCUMENTS

(1) Business entity filers submitting business formation documents must provide a valid email address for the business entity and a valid email address for the registered agent. The Division of Business and Charitable Organizations will periodically send reminders and notifications to the email addresses provided. Should the email address of either the business entity or the registered agent change, the business entity must notify the Division of Business and Charitable Organizations.

(2) If a business entity does not utilize email due to religious or accessibility reasons, it must file a paper exemption form with the Division of Business and Charitable Organizations at the time of filing the business formation documents noting the business entity’s religious or accessibility objection to utilizing email.

History

Authority: T.C.A. §§ 48-11-301, 48-51-301, 48-247-101, 48-249-202, 48-249-904, 61-1-1001, 61-1-1003, and 61-2-201 and Public Chapter 719 of the 111th General Assembly.
Administrative History: Original rule filed June 5, 1986; effective September 13, 1986. Repeal filed November 22, 1999; effective March 29, 2000. New rule filed January 21, 2021; effective April 21, 2021. Amendments filed August 26, 2025; effective November 24, 2025.

Chapter 1360-05-02 Annual Reports

Tenn. Comp. R. & Regs. 1360-05-02-.01 EMAIL ADDRESSES SUBMITTED WITH ANNUAL REPORTS

(1) Business entity filers submitting annual reports must provide a valid email address for the business entity and a valid email address for the registered agent. The Division of Business and Charitable Organizations will periodically send reminders and notifications to the email addresses provided. Should the email address of either the business entity or the registered agent change, the business entity must notify the Division of Business and Charitable Organizations.

(2) If a business entity does not utilize email due to religious or accessibility reasons, it must file a paper exemption form with the Division of Business and Charitable Organizations at the time of submission of the annual report noting the business entity’s religious or accessibility objection to utilizing email.

History

Authority: T.C.A. §§ 48-26-203, 48-66-203, 48-228-203, 48-249-1017, 61-1-1001, and 61-3-211 and Public Chapter 719 of the 111th General Assembly.
Administrative History: New rule filed January 21, 2021; effective April 21, 2021. Amendments filed August 26, 2025; effective November 24, 2025.

Chapter 1360-06-01 Certification of Municipal Clerks & Recorders

Tenn. Comp. R. & Regs. 1360-06-01-.01 CERTIFICATION OF MUNICIPAL CLERKS & RECORDERS

(1) A municipality, with a population of one thousand, five hundred (1,500) or more, according to the 1990 Federal Census or any subsequent Federal Census, which employs an officer or employee responsible for exercising any of the duties of Municipal Clerk and Recorder, shall have at least one such person comply with the qualifications for certification established by the Secretary of State.

Compliance is optional for those municipalities having a population of less than one thousand, five hundred (1,500), according to the 1990 Federal Census or any subsequent Federal Census.

History

Authority: T.C.A. §6—54—120.
Administrative History: Original rule filed June 7, 1996; effective August 18, 1996.

Tenn. Comp. R. & Regs. 1360-06-01-.02 CERTIFICATION QUALIFICATIONS

(1) A person is eligible to obtain certification from the Secretary of State by obtaining certification from the International Institute of Municipal Clerks, or by completing a minimum of one hundred (100) credit hours from any of the following or combination thereof:

(a) The Municipal Clerks Institute conducted by the University of Tennessee; or (b) Seminars conducted by the Tennessee Municipal League; or (c) Leadership and Technical Programs conducted by the University of Tennessee Municipal Training; or (d) Job-related seminars (Documentation should be submitted outlining the content of the seminars); or (e) An Associate of Arts or Science Degree (maximum credit of 25 hours) or a Bachelor of Arts or Science Degree (maximum credit of 50 hours), provided that credit will be given for only one degree.

History

Authority: T.C.A. §6—54—120.
Administrative History: Original rule filed June 7, 1996; effective August 18, 1996 Amendment filed Juy 18, 2006; effective November 28, 2006..

Tenn. Comp. R. & Regs. 1360-06-01-.03 CERTIFICATION EXEMPTION

(1) Any person who is licensed to practice law in the State of Tennessee and who satisfies the continuing legal education requirement of Supreme Court Rule 21 is statutorily exempt from the certification requirements.

History

Authority: T.C.A. §6—54—120.
Administrative History: Original rule filed June 7, 1996; effective August 18, 1996.

Tenn. Comp. R. & Regs. 1360-06-01-.04 CONTINUING EDUCATION

(1) To retain certification, a certified officer or employee is required to attend a minimum of eighteen (18) hours of continuing education courses every three years.

History

Authority: T.C.A. §6—54—120.
Administrative History: Original rule filed June 7, 1996; effective August 18, 1996.

Tenn. Comp. R. & Regs. 1360-06-01-.05 CONTINUING EDUCATION COURSE REQUIREMENTS

(1) Continuing education requirements may be met by attending a minimum of eighteen (18) credit hours from any of the following or combination thereof:

(a) The Academy for Advanced Education conducted by the University of Tennessee.

(b) The International Institute of Municipal Clerks annual conference or state, provincial or regional clerks meetings.

(c) Seminars conducted by the Tennessee Municipal League, unless the seminars are used to complete the required hours of education for certification.

(d) Leadership and Technical Programs conducted by the University of Tennessee Municipal Training, unless such programs are used to complete the required hours of education for certification.

(e) Job-related seminars, unless the seminars are used to complete the required hours of education for certification. Documentation should be submitted outlining the content of the seminar.

History

Authority: T.C.A. §6—54—120.
Administrative History: Original rule filed June 7, 1996; effective August 18, 1996Amendment filed July 18, 2006 effective; November 28, 2006..

Tenn. Comp. R. & Regs. 1360-06-01-.06 APPLYING FOR CERTIFICATION OR CONTINUING EDUCATION CREDIT

(1) The Secretary of State shall provide to each municipality an application to submit for certification and continuing education credit. Upon receipt and review of said application, the Secretary of State shall issue, under his signature and the seal of the State, a certificate confirming the certification or continuing education credit.

History

Authority: T.C.A. §6—54—120.
Administrative History: Original rule filed June 7, 1996; effective August 18, 1996.

Chapter 1360-07-01 Trademarks

Tenn. Comp. R. & Regs. 1360-07-01-.01 Classification of Goods and Services. New trademark and service mark registrations shall be classified in accordance with the International Schedule of Classes of Goods & Services as adopted by the United States Patent and Trademark Office and found at Title 37, Code of Federal Regulations, Part 6.1 (37 CFR 6.1).

Provided, however, new trademark and service mark registrations filed prior to January 1, 2001, may be classified either in accordance with the International Schedule of Classes of Goods & Services, supra, or in accordance with the classifications found at 1982 Tenn. Pub. Acts, ch. 698, §10.

History

Authority: T.C.A. §47-25-510.
Administrative History: Original rule filed May 31, 2000; effective September 28, 2000.

Tenn. Comp. R. & Regs. 1360-07-01-.02 Fees. The following nonrefundable fees shall be collected by the Secretary of State for the various mark applications and recording fees and for related services:

Application for mark registration, per classification submitted................................$20 Application for mark renewal, per classification renewed.......................................$20 Assignment of mark, per registered classification................................................$20 Any other document permitted to be filed in regard to a mark, per registered classification.............................................................$20 Information listing search for mark, per search........................................................$20 Copies of mark documents on file, per page copied..................................................$1 Certification fee, per certification.....................................................................................$2

History

Authority: T.C.A. §47-25-517.
Administrative History: Original rule filed May 31, 2000; effective September 28, 2000.

Chapter 1360-07-02 Notary Publics

Tenn. Comp. R. & Regs. 1360-07-02-.01 NOTARY PUBLIC SEAL OF OFFICE

(1) A notary public shall use a notary seal that substantially conforms to the following design: a circular seal with the notary public’s name as it appears on the commission printed at the top, the county of election printed at the bottom, and the words “State of Tennessee Notary Public” or “Tennessee Notary Public” printed in the center. A sample seal format appears below.

History

Authority: T.C.A. §§ 4-5-202, 8-16-114, and 8-16-206(a) and Public Acts of 2004, Ch. 854.
Administrative History: Original rule filed June 10, 2004; effective October 28, 2004. Amendments filed September 5, 2023; effective December 4, 2023.

Chapter 1360-07-03 Online Notaries Public

Tenn. Comp. R. & Regs. 1360-07-03-.01 ONLINE NOTARIZATION

(1) A notary public who has been properly commissioned to conduct online notarizations may complete authorized notarial acts by means of an electronic interactive two-way audio and video communication that meets the following requirements. An online notarization may not be performed by an individual who has not been commissioned as an online notary public by the Department of State.

(2) The terms used herein shall have the same definitions prescribed in T.C.A. § 8-16-302.

These rules pertain to online notarizations as defined and used throughout T.C.A. §§ 8-16- 301, et seq. Notarial acts satisfying the requirements of T.C.A. §§ 8-16-101, et seq., are not affected by these rules.

History

Authority: T.C.A. §§ 8-16-301, et seq. (Public Chapter 931, effective April 18, 2018).
Administrative History: Emergency rules filed April 15, 2019; effective through October 12, 2019. Emergency rules expired effective October 13, 2019, and the chapter reverted to its previous status. Original rules filed October 9, 2019; effective January 7, 2020.

Tenn. Comp. R. & Regs. 1360-07-03-.02 APPLICATION FOR ONLINE NOTARY PUBLIC COMMISSION; RENEWAL

(1) A person who has been previously commissioned as a notary public by a county legislative body, and meets the qualification requirements for commissioning as a notary public as outlined in Tennessee Code Annotated Title 8, Chapter 16, may submit an application for commissioning as an online notary public by submitting to the Department of State, Division of Business and Charitable Organizations the prescribed application form including the following information:

(a) The applicant’s legal name as listed in the records of the county where the applicant is commissioned as a notary public;

(b) The applicant’s physical address in this state, as is on record with the clerk of the county in which the notary is commissioned, which includes the street address, city, state, and zip code. The applicant may provide a post office box number for purposes of receiving mail from the Secretary of State, but must also provide a physical address;

(d) A valid telephone number for the applicant;

(e) The county in this state where the applicant was commissioned as a notary public;

(f) The date the applicant was commissioned as a notary public;

(g) The date the applicant’s commission is set to expire;

(h) The name of the vendor and electronic technology or technologies to be used in attaching or logically associating an electronic notarial certificate, signature, and seal to an electronic document;

(i) The name of the vendor and electronic technology or technologies to be used in conducting identity proofing and credential analysis;

(j) A copy of the applicant’s electronic notarial certificate (otherwise known as a digital certificate) or other technology for rendering a notarized electronic document tamperevident;

(k) A copy of the applicant’s electronic seal, in a file format acceptable to the department;

(l) A copy of any necessary instructions or techniques supplied by a vendor that allow the online notary public’s electronic notarial certificate and seal to be read and authenticated;

(m) A copy of any necessary instructions or techniques supplied by a vendor that allow the online notary public to conduct identity proofing and credential analysis;

(n) An explanation of the methods and/or technology by which the online notary public will maintain and store the secure electronic records of all electronic documents notarized by the online notary public in accordance with Rule 1360-07-03-.03(8);

(o) A certification that the applicant has reviewed, understands, and will comply with the requirements of the Online Notary Public Act at T.C.A. §§ 8-16-301, et seq. and these Online Notaries Public Rules; and (p) An application fee of $75.00.

(2) The Secretary of State shall issue an online notary public commission to a qualified applicant who meets the eligibility requirements stated in these rules, has completed a course of instruction concerning online notarization approved by the Secretary of State or the Secretary of State’s authorized representative or designee and passed an examination administered by the course provider, has submitted a properly completed and executed application, and has submitted the required application fee.

(3) An online notary public may renew his or her online notary public commission by filing an application for renewal in the same manner and on the same form as if filing an initial application for commission. The renewal must be received by the Secretary of State no later than the expiration date of the online notary public’s current commission. The Secretary of State shall determine eligibility for renewals according to the same standards as initial applications, and shall not be bound by prior determinations of eligibility.

Online notary public commissions will terminate on the same date on which the county notary public commission terminates regardless of when the online notary public commission was granted.

(4) Applications must be submitted online to the Department of State Division of Business and Charitable Organizations via the online portal established by the Department at sos.tn.gov.

History

Authority: T.C.A. §§ 8-16-301, et seq. (Public Chapter 124, effective January 1, 2026).
Administrative History: Emergency rules filed April 15, 2019; effective through October 12, 2019. Emergency rules expired effective October 13, 2019, and the chapter reverted to its previous status. Original rules filed October 9, 2019; effective January 7, 2020. Amendments filed December 2, 2025; effective March 2, 2026.

Tenn. Comp. R. & Regs. 1360-07-03-.03 PERFORMANCE OF NOTARIAL ACTS

(1) An online notary public may perform authorized online notarial acts relating to electronic documents only if the principal personally appears before the online notary public at the time of the notarization; however, such personal appearance may be by means of an electronic two-way audio and video communication.

(2) An online notary public may perform authorized notarial acts by means of an electronic interactive two-way audio and video communication only when the online notary public is physically located within this state, without regard to whether the principal is physically located in this state at the time of the online notarization.

(3) An online notary public shall require the principal to demonstrate, to the satisfaction of the online notary public, that such person is not under duress and is not otherwise being coerced to complete the transaction, in order to preserve the integrity, security, and authenticity of online notarizations. An online notary public is authorized to refuse to perform a notarial act when the online notary public has reasonable grounds to believe that the principal is acting under coercion or undue influence.

(4) An online notary public must verify the identity of a principal at the time that the signature is taken by means of two-way video and audio conference technology. Identity may be verified by the online notary public’s personal knowledge of the principal, or by:

(a) Remote presentation by the principal of a non-military, government-issued credential, which is an identification card or other document issued by the United States government, any state government, or a passport issued by a foreign government that has been stamped by the United States immigration and naturalization service, and which is unexpired, contains the signature and a photograph of the principal, and which is capable of credential analysis in accordance with Rule 1360-07-03-.05.

(b) Credential analysis of the credential provided by the principal as set forth in Rule 1360- 07-03-.05; and (c) Identity proofing of the principal as set forth in Rule 1360-07-03-.05.

(5) Under no circumstances shall an online notary public base identification merely on familiarity with a principal’s electronic signature or an electronic verification process that authenticates the principal’s electronic signature when the principal does not personally appear before the online notary public.

(6) The online notary public shall refuse to complete the performance of a notarial act where:

(a) The online notary public has reasonable grounds to believe that the principal is acting under coercion or undue influence;

(b) The online notary public is unable to verify the identity of the principal using the means and the standards identified in these rules;

(d) The signature of the principal cannot be attached to the electronic document; or (e) The online notary public’s electronic notarial certificate and seal cannot be attached to the electronic document using an electronic technology which renders any subsequent change or modification to the document evident.

(7) The online notary public shall complete and attach an electronic notarial certificate to all written notarial acts that identifies the principal, the date of notarization, the state and county in which the notarization was performed, that the notarial act was an online notarization, and the type of notarial act performed. The electronic notarial certificate shall be signed by affixing or logically associating the online notary public’s electronic notarial certificate, electronic signature, and electronic seal in a manner that is capable of independent verification and renders any subsequent change or modification to the electronic document evident.

(8) An online notary public performing authorized notarial acts must also satisfy the following requirements.

An online notary public, or his or her properly designated custodian or repository, must keep, for at least 5 years after the date of the transaction or proceeding, a secure electronic record of all electronic documents notarized by the online notary public, containing all of the following information:

(a) The date and time of the notarization;

(b) The type of notarial act;

(d) The printed name and address of each principal involved in the transaction or proceeding;

(e) Evidence of the identity of each principal involved in the transaction or proceeding in the form of:

A statement that the principal(s) is personally known to the online notary public; or both 2. A notation of the type of identification document provided to the online notary public for each principal; and 3. A notation that the principal(s) completed identity proofing and credential analysis procedures described by Rule 1360-07-03-.05 and both were satisfactory to verify the identity of the principal(s);

(f) A recording of any video and audio conference that is the basis for satisfactory evidence of identity and a notation of the type of identification presented as evidence; and (g) The fee, if any, charged for the notarization.

(9) The online notary public must take reasonable steps to ensure that the two-way video and audio communication used is encrypted during transmission, through means such as a virtual private network (VPN), and secure from unauthorized interception.

(10) The online notary public shall not disclose any access information used to affix the online notary public’s electronic notarial certificate, signature, and seal, except when requested by the Secretary of State, law enforcement, the courts, or pursuant to an agreement between the online notary public and an electronic documentation preparation and transmission vendor, which agreement shall have in place reasonable precautions to prevent the unauthorized release of access information.

(11) The online notary public should ensure that all records relating to any individual transaction are securely stored using the Advanced Encryption Standard (AES) as a minimum encryption standard and that the principal’s personally identifying information or any government-issued identification numbers cannot be accessed by unauthorized individuals. The online notary public should refrain from recording, or take steps to obscure from the recording, any identification number that was assigned to the principal by a governmental agency or by the United States and any other number(s) that could be used to identify the principal.

(12) Records of an online notarization shall be retained, in a safe and secure manner, for five years following the date of the notarization. An online notary public must also maintain a backup of the electronic records for the same period of time. Both the original records and the backup shall be protected from unauthorized use. An online notary public may elect to store such recordings with a custodian or repository and such recordings may be stored separately from the journal as long as the corresponding journal entry cross-references the place of storage and describes the manner in which the record is stored.

(13) An online notary public may use his or her electronic signature only for preforming online notarizations. The online notary public may certify that a tangible copy of an electronic record is an accurate copy of the electronic record by also affixing his or her signature and seal to the copy of the electronic record in the traditional manner or other manner authorized by law, but only where the online notary public is capable of independently verifying the document is a true and correct copy of the electronic record consistent with the requirements of T.C.A. § 66-24-101(d).

History

Authority: T.C.A. §§ 8-16-301, et seq. (Public Chapter 931, effective April 18, 2018).
Administrative History: Emergency rules filed April 15, 2019; effective through October 12, 2019. Emergency rules expired effective October 13, 2019, and the chapter reverted to its previous status. Original rules filed October 9, 2019; effective January 7, 2020.

Tenn. Comp. R. & Regs. 1360-07-03-.04 ELECTRONIC SIGNATURE AND SEAL

(1) An online notary public must use the same electronic signature for all online notarial acts performed by the online notary public.

(2) An online notary public must use the same electronic seal for all online notarial acts performed by the online notary public, and a copy of such seal must be provided to the Department of State at the time of the online notary public’s application for certification as an online notary public. The name on the online notary public seal must match the name, as stated on the application, under which the online notary public is commissioned and performs all notarial acts.

(3) An online notary public shall use an electronic seal that substantially conforms to the following design: a circular, square, or rectangular seal with the notary public’s name as it appears on the commission printed at the top, the county of election printed at the bottom, the words “State of Tennessee Notary Public” or “Tennessee Notary Public” printed in the center, and the words “Online Notary Public” printed below. The electronic seal must also be accompanied by a statement of the date upon which the online notary public’s commission expires. A sample seal format appears below:

(4) An online notary public must attach or logically associate his or her electronic signature and seal to the electronic notarial certificate in a manner that is capable of independent verification and renders any subsequent change or modification to the electronic document evident.

(5) The online notary public must use technology from a third-party provider who has provided the online notary public with evidence of its ability to provide an electronic technology standard that utilizes Public Key Infrastructure (PKI) technology from a PKI service provider that is X.509 compliant.

(6) The electronic notarial certificate for an online notarization must contain a notation that the notarization is an online notarization, which may be satisfied by affixing the online notary public’s seal to the electronic notarial certificate. The acknowledgment contained within the electronic notarial certificate must also contain a statement that the principal “personally appeared before me by audio-video communication” or “personally appeared by audio-video communication” or “before me appeared by audio-video communication”.

(7) The online notary public’s electronic notarial certificate, electronic signature, and electronic seal must remain within the exclusive control of the online notary public (including control by means of use of a password) at all times and shall be used only for the purpose of performing online notarial acts.

(8) The online notary public must provide any necessary instruction or techniques supplied by a vendor that allow the online notary public’s electronic notarial certificate and seal to be read and authenticated.

If at any time the online notary public adopts a new or additional technology or vendor with which to perform online notarial acts, the online notary public must notify the Department of State of the new or additional technology, signature and/or seal, as well as any additional information that may be requested by the Department of State.

History

Authority: T.C.A. §§ 8-16-301, et seq. (Public Chapter 931, effective April 18, 2018).
Administrative History: Emergency rules filed April 15, 2019; effective through October 12, 2019. Emergency rules expired effective October 13, 2019, and the chapter reverted to its previous status. Original rules filed October 9, 2019; effective January 7, 2020.

Tenn. Comp. R. & Regs. 1360-07-03-.05 STANDARDS FOR ONLINE NOTARIZATION

(1) Identity proofing and credential analysis must be performed by a third party who has provided evidence to the online notary public of the ability to satisfy the requirements of this chapter.

(2) Requirements for Credential Analysis.

A credential is a non-military identification card or other document issued by the United States government, any state government, or a passport issued by a foreign government that has been stamped by the United States immigration and naturalization service. In order to be valid, the credential must also be unexpired and contain the photograph and signature of the principal. Credential analysis is the process by which the validity of a non-military government-issued identification credential is verified. Credential analysis is performed utilizing public and proprietary data sources to verify the credential presented by the principal.

Credential analysis shall, at a minimum:

(a) Use automated processes to aid the online notary public in verifying the identity of a principal;

(b) Ensure that the credential passes an authenticity test, consistent with sound commercial practices that:

Use appropriate technologies to confirm the integrity of visual, physical or cryptographic security features;
Use appropriate technologies to confirm that the credential is not fraudulent or inappropriately modified;
Use reasonable efforts to utilize information held or published by the issuing source or authoritative source(s), as made generally available for commercial purposes, to confirm the validity of personal details and credential details; and, 4. Provide output of the authenticity test to the online notary public; and (c) Enable the online notary public to visually compare the following for consistency: the information and photo presented on the credential itself and the principal as viewed by the online notary public in real time through audio-visual transmission.

(3) Requirements for Identity Proofing.

Identity proofing is the process by which the identity of an individual is affirmed by a third party through review of public and proprietary data sources. Identity proofing is performed through dynamic Knowledge Based Authentication (KBA) which meets the following requirements:

(a) The principal must answer a quiz consisting of a minimum of five (5) questions related to the principal’s personal history or identity, formulated from public and proprietary data sources;

(b) Each question must have a minimum of five (5) possible answer choices;

(d) All questions must be answered within two (2) minutes;

(e) If the principal fails in his or her first attempt, the principal may retake the quiz one time within 24 hours;

(f) During the second attempt, a minimum of 60% of the prior questions must be replaced; and (g) If the principal fails in his or her second attempt, the principal is not permitted to retry with the same online notary public for a period of 24 hours.

(4) If the principal must exit the workflow, the principal must meet the criteria outlined in this

section and must restart the identity proofing and credential analysis from the beginning.

(5) An online notarization system used to perform online notarial acts by means of two-way audio-video communication shall:

(a) Provide for continuous, synchronous audio-visual feeds;

(b) Provide sufficient video resolution and audio clarity to enable the online notary public and the principal to see and speak with each other simultaneously through live, realtime transmission;

(d) Include a means of authentication that reasonably ensures only authorized parties have access to the audio-video communication;

(e) Provide some manner of ensuring that the electronic record presented for online notarization is the same record electronically signed by the principal;

(f) Be capable of securely creating and storing or transmitting securely to be stored an electronic recording of the audio-video communication, keeping confidential the questions asked as part of any identity proofing quiz and the means and methods used to generate the credential analysis output; and (g) Provide reasonable security measures to prevent unauthorized access to:

The live transmission of the audio-video communication;
A recording of the audio-video communication;
The verification methods and credentials used to verify the identity of the principal; and 4. The electronic documents presented for online notarization.

History

Authority: T.C.A. §§ 8-16-301, et seq. (Public Chapter 931, effective April 18, 2018).
Administrative History: Emergency rules filed April 15, 2019; effective through October 12, 2019. Emergency rules expired effective October 13, 2019, and the chapter reverted to its previous status. Original rules filed October 9, 2019; effective January 7, 2020.

Tenn. Comp. R. & Regs. 1360-07-03-.06 FEES

An online notary public, or the online notary public’s employer, may charge a fee that does not exceed twenty-five dollars ($25.00) for performing each online notarization.

History

Authority: T.C.A. §§ 8-16-301, et seq. (Public Chapter 931, effective April 18, 2018).
Administrative History: Emergency rules filed April 15, 2019; effective through October 12, 2019. Emergency rules expired effective October 13, 2019, and the chapter reverted to its previous status. Original rules filed October 9, 2019; effective January 7, 2020.

Tenn. Comp. R. & Regs. 1360-07-03-.07 CHANGES AFTER COMMISSIONING

(1) An online notary public who changes his or her address, such that the online notary public no longer qualifies for either a traditional notary public commission or an online notary public commission, vacates the office of online notary public and must surrender the online notary public commission to the Secretary of State.

(2) An online notary public who replaces or changes an electronic notarial certificate or electronic seal during the term of the online notary public commission must provide an updated copy of the electronic notarial certificate or electronic seal to the Secretary of State prior to conducting any notarial acts using the updated electronic notarial certificate or electronic seal. This information may be updated using the Secretary of State’s web-based Online Notary Application.

(3) If at any time during the term of the online notary commission the online notary public elects to use a new vendor or technology or technologies to be used in attaching or logically associating an electronic notarial certificate, signature, and seal to an electronic document, the online notary public must provide to the Secretary of State the name of the vendor and electronic technology or technologies to be used in attaching or logically associating an electronic notarial certificate, signature, and seal to an electronic document and a copy of any necessary instructions or techniques supplied by the vendor that allow the online notary public’s electronic signature and seal to be read and authenticated prior to conducting any notarial acts using the new vendor or technology or technologies. This information may be updated using the Secretary of State’s web-based Online Notary Application.

(4) If at any time during the term of the online notary public commission the online notary public elects to use a new vendor or technology or technologies to be used in conducting identity proofing and credential analysis, the online notary public must provide to the Secretary of State the name of the vendor and electronic technology or technologies to be used in conducting identity proofing and credential analysis and a copy of any necessary instructions or techniques supplied by the vendor that allow the online notary public to conduct identity proofing and credential analysis prior to conducting any notarial acts using the new vendor or technology or technologies. This information may be updated using the Secretary of State’s web-based Online Notary Application.

History

Authority: T.C.A. §§ 8-16-301, et seq. (Public Chapter 931, effective April 18, 2018).
Administrative History: Emergency rules filed April 15, 2019; effective through October 12, 2019. Emergency rules expired effective October 13, 2019, and the chapter reverted to its previous status. Original rules filed October 9, 2019; effective January 7, 2020.

Tenn. Comp. R. & Regs. 1360-07-03-.08 TERMINATION OF COMMISSION

If the Secretary of State determines that any online notary public has not complied with these regulations or the provisions of Tennessee Code Annotated Title 8, Chapter 16 related to online notarization, the Secretary of State shall terminate the commission of the online notary public.

History

Authority: T.C.A. §§ 8-16-301, et seq. (Public Chapter 931, effective April 18, 2018).
Administrative History: Emergency rules filed April 15, 2019; effective through October 12, 2019. Emergency rules expired effective October 13, 2019, and the chapter reverted to its previous status. Original rules filed October 9, 2019; effective January 7, 2020.

Chapter 1360-07-04 Miscellaneous Databases

Tenn. Comp. R. & Regs. 1360-07-04-.01 MISCELLANEOUS DATABASES

The following fees apply to databases available for purchase from the Tennessee Secretary of State.

(1) Business Entity Database.

(a) Complete database................................................................................. $1,000 (b) Prior month................................................................................................ $50 (c) Prior week................................................................................................. $50 (2) Uniform Commercial Code Databases.

(a) UCC Database – complete database.......................................................... $1,000 (b) UCC Database – prior month........................................................................ $50 (c) UCC Database – prior week......................................................................... $50 (d) UCC Image Database – per week selected..................................................... $125 (3) Trademark Database.

(a) Per month selected..................................................................................... $50 (4) Motor Vehicle Database.

(a) Past one hundred (100) days...................................................................... $100 (5) Each party requesting a Business Entity database must swear under the penalty of perjury that it will not use, or knowingly allow another to use, any purchased database to market goods or services in a manner that implies that the person using or employing the purchased database is part of, or associated with, a unit of any governmental entity.

(6) The Division of Business and Charitable Organizations may prescribe, and shall furnish on request, a form that a party requesting a database must use for any purchase under this rule.

History

Authority: T.C.A. §§ 8-3-104(10), 47-9-523, 47-25-517, 48-11-401, 48-51-401, 48-247-201, and 55-3-126.
Administrative History: New rule filed February 10, 2026; effective May 11, 2026.

Chapter 1360-08-01 Uniform Commercial Code General Provisions

Tenn. Comp. R. & Regs. 1360-08-01-.01 DEFINITIONS

The following terms shall have the respective meanings provided in this

rule. Terms not defined in this rule which are defined in the UCC shall have the respective meanings accorded such terms in the UCC.

(1) “Active record” means a UCC record that has been stored in the UCC information management system and indexed in, but not yet removed from, the searchable indexes and has not either lapsed or been terminated.

(2) “Address” means either (i) a street address, route number (may include box), or P.O. Box number, plus the city, state, and zip code, or (ii) an address that purports to be a mailing address outside the United States of America. Submitted addresses will be verified and standardized using the United States Postal Service Address Matching System Application Programming Interface.

(3) “Affidavit” means a notarized affidavit, signed under penalty of perjury pursuant to T.C.A. § 47-9-513(e)(2)(A), stating that the affiant is a public official and that the UCC financing statement was filed without any reasonable basis or legal cause, and the affiant’s factual

basis for why the UCC financing statement lacks any reasonable basis or legal cause, executed on the form available from the secretary of state’s filing office.

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

(5) “Assignment” is an amendment that assigns all or a part of a secured party’s power to authorize an amendment to a financing statement.

(6) “Cost Bond” means the bond filed by the secured party of record, unless exempt pursuant to T.C.A. § 47-9-513(e)(5)(B), contemporaneously with the filing of a petition for review, in accordance with these rules.

(7) “Filing office” and “filing officer” mean the Tennessee Secretary of State, Division of Business Services.

(8) “Filing officer statement” means a statement entered into the filing office’s information system to correct an error.

(9) “Initial financing statement” means a UCC record that causes the filing office to establish the initial record of filing of a financing statement.

(10) “Petition for Review” means a petition filed by a secured party of record who believes in good faith that the filed financing statement by the secured party was filed with reasonable basis or legal cause.

(11) “Public Official” means:

(a) An individual who is a current or retired elected or appointed government official, including a state, county, metropolitan, or municipal official;

(b) An individual who is the head of a division or major unit or department within an agency or office of the executive, judicial, or legislative branch of state, county, metropolitan, or municipal government, regardless of the title of this position, and who, as a substantial

part of the individual’s duties, provides meaningful input on the development of policy goals or the implementation of policy;

(c) A high-ranking employee within the executive, judicial, or legislative branch of state, county, metropolitan, or municipal government who has primary responsibility for one (1) or more of the following functions:

Public information and legislative affairs;
Fiscal, budget, and audit matters;
Legal, security, or internal affairs;
Information technology systems; and 5. Human resources;

(d) A first responder, as defined in T.C.A. § 29-34-203; or (e) A law enforcement officer, as defined in T.C.A. § 39-11-106.

(12) “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.

(13) “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.

(14) “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 such person as a secured party of record.

(15) “Statement of claim” means a UCC record whereby the debtor or secured party indicates that a financing statement is inaccurate or wrongfully filed.

(16) “UCC” means the Uniform Commercial Code as adopted in this State.

(17) “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 Rule 1360-08-03.

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

(19) “Unlapsed record” means a UCC record that has been stored and indexed in the UCC information management system, which has not yet lapsed under T.C.A. § 47-9-515 with respect to all secured parties of record. .

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-102, 47-9-513, 47-9-520, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013. Emergency rule filed January 25, 2018; effective through July 24, 2018. Emergency rule expired effective July 25, 2018, and the rule reverted to its previous status. Amendments filed May 9, 2018; effective August 7, 2018.

Tenn. Comp. R. & Regs. 1360-08-01-.02 MEANS TO DELIVER UCC RECORDS

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 based on the file date and file time assigned by the scanner software when the document is scanned 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 awaits an immediate determination of whether the UCC record will be taken.

(2) Courier delivery by a person other than a remitter, at the filing office’s street address. The file time for a UCC record delivered by this method is based on the file date and file time assigned by the scanner software when the document is scanned by the filing office, even though the UCC record may not yet have been accepted for filing and subsequently may be 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 the UCC record will be taken under Rule 1360-08-01-.02(1).

(3) Postal service delivery, to the filing office’s mailing address. The file time for a UCC record delivered by this method is based on the file date and file time assigned by the scanner software when the document is scanned by the filing office, even though the UCC record may not yet have been accepted for filing and subsequently may be rejected.

(4) Reserved.

(5) Reserved.

(6) Electronic data entry. UCC records may be delivered by electronic data entry using the filing office’s website on the Internet. The file time for a UCC record delivered by this method is the time the entry of all required elements of the UCC record in the proper format is acknowledged by the online entry system and confirmation is received that all fees and taxes that constitute the payment have been received.

(7) Means of communication. Regardless of the method of delivery, information submitted to the UCC filing office must be communicated only in the form of characters that are defined in an acceptable character set. A financing statement or amendment form that does not designate separate fields for organization and individual names and separate fields for first, middle, and last names and suffixes for individual names is not an acceptable means of communication to the filing office.

(8) Transmitting utility, manufactured home, 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 manufactured home or 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 1360-08-03-.07(3) or Rule 1360-08-03-.08, is to check the appropriate box on a UCC-1 addendum filed with respect to the financing statement or to transmit the requisite information in the proper field in an electronic filing that is such initial financing statement or is a part of such financing statement.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-501, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.03 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

Authority: T.C.A. §§ 4-5-202, 4-5-204, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.04 FORMS

The forms prescribed by T.C.A. § 47-9-521 are accepted by the filing office.

Paper-based forms approved by the International Association of Commercial Administrators on or after July 1, 2013 and forms otherwise approved by the filing office from time to time shall be accepted. If applicable, UCC initial financing statements and amendment documents shall include the statutory language required in T.C.A. § 67-4-409(b)(6)(C). A list of forms approved by the filing office will be made available on request.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-521, 47-9-526, and 67-4-409(b) and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013. Amendments filed September 5, 2023; effective December 4, 2023.

Tenn. Comp. R. & Regs. 1360-08-01-.05 FEES

(1) The following fees apply to UCC documents:

(a) The fee for filing and indexing an initial financing statement is fifteen dollars ($15) per debtor, plus fifty cents (50¢) per page in excess of ten (10) pages. Each different address listed for a debtor is treated as a separate debtor for filing and indexing purposes.

(b) The fee for filing and indexing a financing statement amendment that changes, modifies, deletes, or adds one or more debtors is fifteen dollars ($15) per debtor or debtor address changed, modified, deleted, or added, plus fifty cents (50¢) per page in excess of ten (10) pages.

(c) The fee for filing and indexing a financing statement amendment that amends the collateral description or changes, deletes, modifies, or adds a secured party is fifteen dollars ($15), plus fifty cents (50¢) per page in excess of ten (10) pages.

(d) The fee for filing and indexing each assignment, continuation, termination, or correction statement is fifteen dollars ($15), plus fifty cents (50¢) per page in excess of ten (10) pages.

(2) UCC search fee. The fee for responding to a written request for information from the filing office, including for issuing a certificate showing whether there is on file any financing statement naming a particular debtor, is fifteen dollars ($15).

(3) UCC search – copies. The fee for UCC search copies is one dollar ($1) per page (or page equivalent for electronically transmitted search responses).

(4) In addition to the fees described above, tax may be payable under T.C.A. § 67-4-409(b) upon the filing of a financing statement. The filing office may accept the representation on the financing statement, or in an accompanying sworn statement, of the amount of the maximum principal indebtedness for recording tax purposes. The filing officer is not required to verify the computation of the amount of such tax. The amount tendered to the filing office shall be applied first to the filing fee and then to any tax imposed on the filing.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-525, 47-9-526, and 67-4-409(b) and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.06 RESERVED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.07 METHODS OF PAYMENT

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

(2) Checks. Personal checks, cashier’s checks, and money orders made payable to the Tennessee Secretary of State or the State of Tennessee 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) Prepaid accounts. Checks may be deposited in a prepaid account only for use with electronic filings submitted using .xml technology.

(5) Debit or credit cards. The filing office may accept payment by debit cards or credit cards issued by approved issuers. Remitters shall provide the filing officer with the card number, the expiration date of the card, the name of the card issuer, the name of the person or entity to whom the card was issued, and the billing address for the card. Payment will not be deemed tendered until the issuer or his agent has confirmed payment.

(6) Credit vouchers. The filing office shall accept credit vouchers issued by the State through the Uniform Commercial Code Management System based on the expiration date shown on the credit voucher. The filing office will not accept credit vouchers on or after January 1, 2014.

(7) Inter-unit journal vouchers. The filing office shall accept inter-unit journal vouchers from other State agencies for payment of filings and searches.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.08 OVERPAYMENT AND UNDERPAYMENT

(1) Overpayment. The filing officer shall refund the amount of an overpayment of ten dollars ($10) or more to the remitter. The filing officer shall refund an overpayment of less than ten dollars ($10) only upon the written request of the remitter.

(2) Underpayment. Upon receipt of a UCC record with an insufficient fee and recording tax (if applicable), the filing officer shall return the UCC record to the remitter as provided in Rule

Tenn. Comp. R. & Regs. 1360-08-01-.09 PUBLIC RECORDS SERVICES

Public records services are provided on a nondiscriminatory basis to any member of the public. Copies of individual UCC records, bulk copies of records, and data elements from the filing office UCC information management system are made available in such forms, at such times, and for such fees as the filing office may prescribe from time to time.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-523(f), and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Amendment filed October 25, 2002; effective February 28, 2003. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.10 FEES FOR PUBLIC RECORDS SERVICES

Fees for public records services are established as follows:

(1) Paper copies of individual documents: as provided in Rule 1360-08-01-.05.

(2) Bulk copies of documents: as provided in Rule 1360-08-01-.05.

(3) Reserved.

(4) Reserved.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-523(f), 47-9-525(c), and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.11 OFFICE HOURS

Although the filing office maintains regular office hours, it may receive and process transmissions electronically 24 hours per day, 365 days per year, except for scheduled maintenance and unscheduled interruption of service.

History

Authority: T. C.A. §§ 4-5-202, 4-5-204, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.12 EFFECTIVE DATE

The rules established in Chapter 1360-08 shall take effect on July 1, 2013.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.13 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Repeal filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.19 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal filed March 19, 2913; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-02-.03 . The underpayment may be included with the UCC record or delivered under separate cover.

(3) Returned for Nonpayment. A filer whose payment is returned for nonpayment will have sixty (60) calendar days from the date of the returned payment to provide a valid cashier’s check or money order to replace the nonpayment. Otherwise, all filings associated with the nonpayment will be voided.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.14 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.15 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.16 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.17 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal filed March 19, 2013; effective June 19, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.18 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal filed March 19, 2013; effective June 17, 2013.

Chapter 1360-08-02 Uniform Commercial Code Acceptance and Refusal of Documents

Tenn. Comp. R. & Regs. 1360-08-02-.01 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 determine the legal sufficiency or insufficiency of the UCC record or determine that information in the record is correct or incorrect, in whole or in part.

Accepting for filing or refusing to file a UCC record does not create a presumption that information in the UCC record is correct or incorrect, in whole or in part.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-516, 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-02-.02 TIME FOR FILING A CONTINUATION STATEMENT

(1) First Day Permitted. The first date on which a continuation statement may be filed is the date six months preceding the date on which such financing statement would lapse. If there is no such corresponding date, the first date on which a continuation statement may be filed is the last day of the sixth month preceding the month in which the financing statement would lapse. The foregoing rule is subject to the ability of the filing office to take delivery of the continuation statement as tendered and to Rule 1360-08-01-.02.

(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. The foregoing rule is subject to the ability of the filing office to take delivery of the continuation statement as tendered and to Rule

Tenn. Comp. R. & Regs. 1360-08-02-.03 , the filing officer will file the UCC record with the filing date and time the UCC record was originally tendered for filing. A filing officer statement relating to the relevant initial financing statement will be placed in the UCC information management system on the date that the corrective action was taken.

The filing officer statement must provide the date of the correction and explain the nature of the corrective action taken. The record shall be preserved for so long as the record of the initial financing statement is preserved in the UCC information management system.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-516(d), 47-9-518, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-02-.04 PROCEDURE UPON REFUSAL

Except as provided in Rule 1360-08-01-.08, if the filing officer finds grounds to refuse a UCC record, the filing officer shall return the filing fee and recording tax, if any. 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 no event more than two (2) business days after the refused UCC record was received by the filing office, by the same 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.

Records of refusal, including a copy of the refused UCC record and the ground(s) for refusal, shall be maintained for a period of five (5) years from the initial rejection date.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-520, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-02-.05 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 under Rule

Tenn. Comp. R. & Regs. 1360-08-02-.06 NOTIFICATION OF DEFECTS

Nothing in these rules prevents a filing officer from communicating to a remitter that the filing officer noticed apparent potential defects in a UCC record, whether it was filed or refused for filing. The filing office is, however, 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

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-520, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-02-.07 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-02-.08 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-02-.09 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-01-.02 . Accordingly, the time of filing of the continuation statement under Rule 1360- 08-01-.02 must be on or prior to such last day and delivery by certain means of communication may not be available on such last day if the filing office is not open for business on such day.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-515, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Chapter 1360-08-03 Uniform Commercial Code UCC Information Management System

Tenn. Comp. R. & Regs. 1360-08-03-.01 GENERAL

The filing officer uses an information management system to store, index, and retrieve information relating to financing statements. The 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

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.02 PRIMARY DATA ELEMENTS

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

(1) Identification Numbers.

(a) 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 information management system for each initial financing statement, and all information comprising such record is maintained in the system. The record is identified by the same information assigned to the initial financing statement.

(b) 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, 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 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 recorded in the UCC information management system using one or more data entry or transmittal techniques.

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

(6) Lapse Indicator. An indicator is maintained by which the information management system identifies whether a financing statement will lapse and, if it does, when it will lapse. The lapse date is determined as provided in Rules 1360-08-03-.07, 1360-08-03-.08, and 1360-08- 03-.09.

(7) 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 be comprised of records in the UCC information management system identified to be included in such searchable index.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.03 INDIVIDUAL DEBTOR NAMES

For purposes of this rule, 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 actual debtor.

(1) Individual Name Fields. Individual debtor names are stored in fields that include only the individual debtor names and not organization debtor names. Separate data entry fields are established for first (given), middle (given), and last names (surnames or family names) of individuals. The name of a debtor with a single name (e.g., “Cher”) is treated as a last name and shall be entered in the last name 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 of indications of status (e.g., “M.D.”) are not typically part of a debtor’s name. When entering a “name” into the UCC information management system, however, the data will be entered exactly as it appears.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.05 ESTATES

The debtor name to be provided on a financing statement for a debtor that is an estate is the name of the relevant decedent. In order for the 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. The filing office will, however, enter data submitted by a filer in the fields designated by the filer exactly as it appears in such fields.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-503(a), 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.06 TRUSTS

The debtor name to be provided for a debtor that is a trust or a trustee acting in respect of trust property 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 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

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-503(a), 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.07 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:

(a) The initial financing statement indicates as provided in Rule 1360-08-01-.02(h) that it is filed with respect to a public-financing transaction or a manufactured-home transaction, in which case the lapse date shall be thirty (30) years from the file date; or (b) The initial financing statement indicates as provided in Rule 1360-08-01-.02(h) that it is filed against a transmitting utility, in which case there shall be no lapse date. For system purposes, no lapse date is designated as 12/31/9999.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-511, 47-9-514(a), 47-9-515, 47-9-519, 47-9-522(a), and 47- 9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.08 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 the appropriate index and associated with the record of the financing statement in the UCC information management system, and an amendment that designates an assignee shall cause the assignee to be added as a secured party of record with respect to the affected 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, but an amendment that indicates that the debtor is a transmitting utility will cause the filing office to reflect in the information management system that the amended financing statement has no lapse date.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-511, 47-9-512, 47-9-515(e), 47-9-519, 47-9-522(a), and 47- 9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.04 ORGANIZATION DEBTOR NAMES

For purposes of these rules, an “organization debtor name” means 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. Organization debtor names are stored in fields that include only organization debtor names and not individual debtor names. A single field is used to store an organization debtor name.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.09 CONTINUATION STATEMENT

(1) Continuation of Lapse Date. Upon the timely filing of a continuation statement by any secured party of record, the lapse date of the financing statement shall be postponed for five (5) years from the prior lapse date. Only one continuation statement can be filed on a financing statement during the continuation period.

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

History

Authority: T.C.A. §§4-5-202, 4-5-204, 47-9-515, 47-9-519, 47-9-522(a), 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.10 TERMINATION

The filing of a termination statement shall cause the financing statement to show as terminated.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-513(d), 47-9-519, 47-9-522(a), and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.11 INFORMATION STATEMENT

The filing of a statement of claim by a debtor or secured party shall have no effect upon the status of any party to the financing statement, the status of the financing statement, or the information maintained in the information management system. The filing of a statement of claim does not affect the effectiveness of an initial financing statement or other filed record.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-518(c), 47-9-519, 47-9-522(a), and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.12 PROCEDURE UPON LAPSE

If there is no timely filing of a continuation statement with respect to a financing statement, the financing statement shall lapse on its lapse date, but no action shall then be taken by the filing office. On the first anniversary of such lapse date, the information management system shall render or cause to be rendered the financing statement inactive, and 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 information management system.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-515, 47-9-522(a), and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.13 REMOVAL OF RECORD

A financing statement must remain as an active record until one year after it lapses, or if it is indicated to be filed against a transmitting utility, until at least one year after it is terminated with respect to all secured parties of record. On or after the first anniversary of such lapse or termination date, the filing office or the UCC information management system may remove the financing statement and all related UCC records from the searchable indexes or from the UCC information management system, and upon such removal, the removed UCC records shall cease to be active records.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-519, 47-9-522, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-03-.14 THROUGH 1360-08-03-.72 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rules filed October 23, 2000; effective January 6, 2001. Repeals filed March 19, 2013; effective June 17, 2013.

Chapter 1360-08-04 Uniform Commercial Code Filing and Data Entry Procedures

Tenn. Comp. R. & Regs. 1360-08-04-.01 ERRORS OF THE FILING OFFICE

The filing office may correct data entry and indexing errors of filing office personnel in the UCC information management system at any time. If a correction is made to a record of a financing statement, the filing office will associate with the record of the financing statement in the UCC information management system a filing officer statement on the date that the corrective action was taken providing the date and an explanation of the correction.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-04-.02 DATA ENTRY

Data is entered into the UCC information management system exactly as provided in a UCC record, without regard to apparent errors. Data provided in electronic form is transferred to the information management system exactly as submitted by the remitter.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-04-.03 VERIFICATION OF DATA ENTRY

The filing office will not verify accuracy of the data from UCC records entered in accordance with Rule 1360-08-04-.02 into the UCC information management system. Data entry performed by remitters with respect to electronically-filed UCC records is the responsibility of the remitter and is not verified by the filing office.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-04-.04 RESERVED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-04-.05 NOTICE OF BANKRUPTCY

The filing officer shall take no action upon the receipt of a notification, formal or informal, of a bankruptcy proceeding involving a debtor named in the UCC information management system.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-515, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Amendment filed July 26, 2004; effective November 26, 2004. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-04-.06 REDACTION OF CERTAIN INFORMATION

Pursuant to Tennessee Code Annotated Title 10, Chapter 7, Part 5, data entered into the information management system is public information.

The filing office will not redact information. Personally identifiable information not required on forms should not be included in UCC records. All UCC forms contain the following notice: “NOTE: All information on this form is public record.”

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-04-.07 THROUGH 1360-08-04-.18 REPEALED

History

Authority: 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rules filed October 23, 2000; effective January 6, 2001. Repeals filed March 19, 2013; effective June 17, 2013.

Chapter 1360-08-05 Uniform Commercial Code Search Requests and Reports

Tenn. Comp. R. & Regs. 1360-08-05-.01 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 can be retrieved with the initial financing statement using either retrieval method.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-523(c), and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-05-.02 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 or individual first, middle, and last names. 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 request shall include the name and address of the person to whom the search results are to be sent.

(3) Fee. The appropriate fee shall be tendered by a method described in Rule 1360-08-01-.07.

(4) Search Logic. The request shall specify if a search methodology other than that described in

Rule 1360-08-05-.04(1) is to be applied in conducting the search. If no such methodology is specified, the one described in Rule 1360-08-05-.04(1) shall be applied.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-523(c), and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-05-.03 SEARCH REQUESTS–OPTIONAL INFORMATION

Search requests may include the following:

(1) Copies. The request may limit the copies of the UCC records that would normally be provided with a search report by requesting that no copies be provided or that the first page of each copy be provided.

(2) Scope of Search. A search request may ask for a search that reports active records or unlapsed records.

(3) 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.

(4) Search Request with Filing. If a filer requests a search at the time an initial financing statement is filed by submitting a search request with the initial financing statement at the time it is tendered for filing, the search request shall be deemed to request a search to be conducted as soon as practicable such that it would include all UCC records filed against the debtor name(s) provided on the initial financing statement on or prior to the date and time the initial financing statement is filed.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-523(c), and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-05-.04 SEARCH METHODOLOGY

Search results are produced by the application of search logic to the name presented to the filing officer. Human judgment does not play a role in determining the results of the search.

(1) Standard Search Logic. The following rules describe the filing office’s standard search logic and apply to all searches except for those where the search request specifies that a nonstandard search logic be used:

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

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

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

(d) Punctuation marks and accents are disregarded. For the purposes of this rule, punctuation marks 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.

(e) 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:

i. Agency ii. Association iii. Assn iv. Associates v. Assc vi. Assoc vii. Attorneys at Law viii. Bank ix. National Bank x. Business Trust xi. Charter xii. Chartered xiii. Company xiv. Co xv. Corporation xvi. Corp xvii. Credit Union xviii. CU xix. Federal Savings Bank xx. FSB xxi. General Partnership xxii. Gen part xxiii. GP xxiv. Incorporated xxv. Inc xxvi. Limited xxvii. Ltd xxviii. Ltee xxix. Limited Liability Company xxx. LC xxxi. LLC xxxii. Limited Liability Partnership xxxiii. LLP xxxiv. Limited Partnership xxxv. LP xxxvi. Medical Doctors Professional Association xxxvii. MDPA xxxviii. Medical Doctors Professional Corporation xxxix. MDPC xl. National Association xli. NA xlii Partners xliii. Partnership xliv. Professional Association xlv. Prof Assn xlvi. PA xlvii. Professional Corporation xlviii. Prof Corp xlix. PC l. Professional Limited Liability Company li. Professional Limited Liability Co lii. PLLC liii. Railroad liv. RR lv. Real Estate Investment Trust lvi. REIT lvii. Registered Limited Liability Partnership lviii. RLLP lix. Savings Association lx. SA lxi. Service Corporation lxii. SC lxiii. Sole Proprietorship lxiv. SP lxv. SPA lxvi. Trust lxvii. Trustee lxviii. As Trustee.

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

(g) All spaces are disregarded.

(h) For first and middle names of individual debtor names, initials are treated as the logical equivalent of all names that begin with such initials, and first name and no middle name or initial is equated with all middle names and initials. 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 name, “Smith” as the last name, and the initial “A” or any name beginning with “A” in the middle name field. This search will not return the name “Jon A. Smith” or “Jonathan A. Smith.” If the search request were for “John Smith” (first and last names with no designation in the middle name field), the search would retrieve all filings against individual debtors with “John” or the initial “J” as the first name, “Smith” as the last name, and any name or initial or no name or initial in the middle name field. This search will not return the name “Jon Smith” or “Jonathan Smith.”

(i) If the name being searched is the last name of an individual debtor name without any first or middle name provided, the search will retrieve from the UCC information management system all financing statements with individual debtor names that include the last name.

(j) After using the preceding rules to modify the name being searched, 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 debtor names that, after being modified as provided in this rule, exactly match the modified name being searched.

(k) Additional search criteria include:

i. Filter by debtor city or state.

ii. Filter by secured party.

iii. Filter by a particular date range.

iv. Filter for a specific UCC file number.

(2) Non-Standard Search Logic. The following non-standard search logic options may be requested on a search request and will be applied when requested:

(a) The debtor search can be restricted to return only debtors in a specified city or state.

(b) A secured party search can be requested based on secured party name and optional city/state.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-523(c), and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-05-.05 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

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-523, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed October 23, 2000; effective January 6, 2001. Repeal and new rule filed March 19, 2013; effective June 17, 2013.

Tenn. Comp. R. & Regs. 1360-08-05-.06 SEARCH RESPONSES

Responses to a search request shall include the following:

(1) Copies. Copies of all UCC records retrieved by the searcher unless the searcher requests only partial copies or the searcher does not request copies.

(2) Introductory Information. A filing officer shall include the following information with a UCC search response:

(a) Filing Office Identification. Identification of the filing office responsible for the search response.

(b) Unique Search Report Identification Number. Unique number which identifies the search report.

(d) Through Date and Time. The date and time 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.

(e) Certification Language. The certification language reads as follows: “Pursuant to the request you submitted, a search was conducted based on the search criteria listed below. I, Tre Hargett, Secretary of State of the State of Tennessee, do hereby certify that the information outlined below along with the copies which are attached to this cover sheet constitute the certified copies of all UCC filings based on the search criteria.”

(f) Scope of Search. The scope of search includes active records and unlapsed records.

(g) Search Logic Used. The search logic used is the search logic recommended by the International Association of Commercial Administrators, which may be modified from time to time.

(h) Name Provided. Name as provided by searcher.

(i) Copies. If requested, all copies, first pages only, or date range of UCC documents revealed by the search.

(3) Report. The search report shall contain the following:

(a) Identification. Identification of the filing office responsible for the search report.

(b) Search Report Identification Number. Unique number assigned under Rule 1360-08- 05-.06(2)(b).

(c) Identification of Financing Statement. Identification of each initial financing statement, including a listing of all related amendments and Information Statements (Statements of Claim), 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:

i. Initial Financing Statement File Number.

ii. Initial Financing Statement Filing Date and Time. The date and time it was filed.

iii. Lapse Date.

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

v. Debtor Address. The debtor address(es) that appear(s) of record.

vi. Secured Party Name. The secured party name(s) that appear(s) of record.

vii. Secured Party Address. The secured party address(es) that appear(s) of record.

viii. Amendment Type. An indication of type of each amendment, if any.

ix. Amendment Filing Date and Time. The date and time each amendment, if any, was filed.

x. Amendment Filing Number. The amendment file number of each amendment, if any.

xi. Information Statement (Statement of Claim). The date and time a correction statement, if any, was filed.

History

Authority: T.C.A. §§ 4-5-202, 4-5-204, 47-9-519, and 47-9-526 and 2012 Tenn. Pub. Acts Ch. 708.
Administrative History: Original rule filed March 19, 2013; effective June 17, 2013.

Chapter 1360-08-06 Filing Procedures for Affidavits and Petitions for Review

Tenn. Comp. R. & Regs. 1360-08-06-.01 FILING PROCEDURES FOR AFFIDAVITS AND PETITIONS FOR REVIEW

(1) Filing of Affidavit. Affidavits shall be filed in the Secretary of State’s filing office in the division of business services. The Secretary of State shall mark the affidavit with the date and time the affidavit is received. The filing office maintains regular office hours of 8:00 a.m. to 4:30 p.m. central time, Monday through Friday and is closed on legal holidays pursuant to T.C.A. § 15-1-101. There is no cost to file an affidavit.

(2) Delivery of Affidavit. Within three (3) days of receipt of an affidavit pursuant to T.C.A. § 47-9- 513(e)(2)(A), the filing office shall send a copy of the affidavit to the secured party for the financing statement to which the affidavit relates. The copy of the affidavit shall be sent by registered or certified mail, with return receipt requested to the address on file for the secured party. Pursuant to T.C.A. § 47-9-513(e)(4)(B), the copy of the affidavit shall be deemed delivered to the secured party in the following instances: acceptance by the addressee, a statement in the return receipt of the United States postal service showing that the addressee refused to accept delivery, or the return of the copy of the affidavit by the United States postal service as undeliverable or unclaimed.

(3) Filing of Petition for Review. The petition for review shall be filed with the Secretary of State’s filing office in the division of business services. The Secretary of State shall mark the petition for review with the date and time the petition for review is received. The filing office maintains regular office hours of 8:00 a.m. to 4:30 p.m. central time, Monday through Friday and is closed on legal holidays pursuant to T.C.A. § 15-1-101.

(4) Time for Filing Petition for Review. The secured party has twenty (20) days to file a petition for review with the filing office. The twenty (20) day deadline shall begin when the filing office receives notice of delivery or constructive delivery, evidenced by the return receipt of the United States postal service, notice of refusal or failure to sign the return receipt, or notice that the affidavit is undeliverable or unclaimed. If the petition for review is received by the filing office after the twenty (20) day deadline has expired, the petition will be rejected by the filing office, and the filing office shall void and remove from the public record the financing statement, along with all other documents associated with the financing statement pursuant to T.C.A. § 47-9-513(e)(6). The twenty (20) day deadline shall not be extended for any reason.

(5) Contents of Petition for Review. The petition for review must contain a short and plain statement of the facts supporting and showing that the secured party’s UCC financing statement was filed with reasonable basis or legal cause, and must include the following:

(a) A copy of the affidavit;

(b) The name, address, telephone number, and email address of the secured party filing the petition for review;

August, 2018 2 (c) A description of the collateral, including its location and value;

(d) A description of the security agreement between the debtor and the secured party, including the date and payment terms of the agreement. A copy of any written agreement between the debtor and the secured party shall be attached to the petition for review;

(e) Any other factors that are relevant to the determination of whether the financing statement was filed with reasonable basis or legal cause;

(f) The signature of the secured party or the secured party’s attorney, and if the secured party is a business entity, the signature of an individual with authority to sign, as well as that individual’s title within the business entity; and (g) A valid cost bond as set forth below.

(6) Cost Bond to Accompany Petition for Review. The petition for review must be accompanied by a cost bond in the amount of United States Two Hundred Dollars ($200.00) in one (1) of the following forms:

(a) Money order or cashier’s check made payable to the “Tennessee Secretary of State;”

(b) Attorney’s check. A check, made payable to the Tennessee Secretary of State, from an attorney licensed to practice law in good standing. An attorney must include his or her Board of Professional Responsibility number on the check for it to be considered valid;

(c) Surety. The filing office may accept a surety signed by an attorney licensed to practice in good standing, a bond from a licensed bonding company, or a corporate surety bond.

(7) Rejection of Petition for Review. If the secured party fails to comply with subsection (5) and (6) of these rules within twenty (20) days as set forth in Rule 1360-08-06-.01(4), the petition for review shall be rejected by the filing office and the filing office shall void and remove from the public record the financing statement, along with all other documents associated with the financing statement, including the affidavit, pursuant to T.C.A. § 47-9-513(e)(6).

History

Authority: T.C.A. §§ 47-9-513 and 47-9-526.
Administrative History: Emergency rules filed January 25, 2018; effective through July 24, 2018. Emergency rules expired effective July 25, 2018, and the rules reverted to their previous statuses. Original rules filed May 9, 2018; effective August 7, 2018.

Tenn. Comp. R. & Regs. 1360-08-06-.02 CONTESTED CASES PURSUANT TO THE UNIFORM ADMINISTRATIVE

PROCEDURES ACT, T.C.A. § 4-5-101, ET SEQ.

(1) The filing of a petition for review and cost bond in compliance with T.C.A. § 47-9-513(e)(5)(A) and (B) will commence a contested case pursuant to the Uniform Administrative Procedures Act.

(2) An administrative law judge will preside over the contested case. The administrative law judge shall make a determination as to whether the financing statement was filed with any reasonable basis or legal cause and shall issue an order that complies with T.C.A. § 4-5- 314(c) within thirty (30) days of the close of the record of the proceedings. T.C.A. § 4-5-322 shall provide to either party the exclusive method of review of the administrative law judge’s order.

August, 2018 3

History

Authority: T.C.A. §§ 47-9-513 and 47-9-526.
Administrative History: Emergency rules filed January 25, 2018; effective through July 24, 2018. Emergency rules expired effective July 25, 2018, and the rules reverted to their previous statuses. Original rules filed May 9, 2018; effective August 7, 2018.

Chapter 1360-09-01 Repealed (Transferred to 0800-02-32)

Tenn. Comp. R. & Regs. 1360-09-01-.01 REPEALED

History

Authority: T.C.A. §§ 4-5-208, 50-6-901, and 50-6-901(8); Tenn. Pub. Acts Ch. 422 (2011); Tenn. Pub. Acts, Ch. 1149, § 19(a); and Public Chapter 88 (2021).
Administrative History: Emergency rule filed December 7, 2010; effective through June 5, 2011. Original rule filed February 9, 2011; effective May 10, 2011. Emergency rule filed September 20, 2011; effective through March 18, 2012. Amendment filed December 14, 2011; effective March 13, 2012. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 0800-02-32 pursuant to Public Chapter 88 (2021).

Tenn. Comp. R. & Regs. 1360-09-01-.10 REPEALED

History

Authority: Tenn. Pub. Acts, Ch. 1149, § 19(a) and Public Chapter 88 (2021).
Administrative History: Emergency rule filed December 7, 2010; effective through June 5, 2011. Original rule filed February 9, 2011; effective May 10, 2011. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 0800-02-32 pursuant to Public Chapter 88 (2021).

Tenn. Comp. R. & Regs. 1360-09-01-.02 REPEALED

History

Authority: Tenn. Pub. Acts, Ch. 1149, § 19(a) and Public Chapter 88 (2021).
Administrative History: Emergency rule filed December 7, 2010; effective through June 5, 2011. Original rule filed February 9, 2011; effective May 10, 2011. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 0800-02-32 pursuant to Public Chapter 88 (2021).

Tenn. Comp. R. & Regs. 1360-09-01-.03 REPEALED

History

Authority: T.C.A. § 50-6-904; Tenn. Pub. Acts, Ch. 1149, § 19(a); and Public Chapter 88 (2021).
Administrative History: Emergency rule filed December 7, 2010; effective through June 5, 2011. Original rule filed February 9, 2011; effective May 10, 2011. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 0800-02-32 pursuant to Public Chapter 88 (2021).

Tenn. Comp. R. & Regs. 1360-09-01-.04 REPEALED

History

Authority: T.C.A. §§ 50-6-904 and 50-6-905; Tenn. Pub. Acts, Ch. 1149, § 19(a); and Public Chapter 88 (2021).
Administrative History: Emergency rule filed December 7, 2010; effective through June 5, 2011. Original rule filed February 10, 2011; effective May 10, 2011. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 0800-02-32 pursuant to Public Chapter 88 (2021).

Tenn. Comp. R. & Regs. 1360-09-01-.05 REPEALED

History

Authority: T.C.A. §§ 4-5-208, 50-6-904, 50-6-905, 50-6-908, 50-6-912, and 50-6-913; Tenn. Pub. Acts Ch. 422 (2011); Tenn. Pub. Acts, Ch. 1149, § 19(a); Tenn. Pub. Acts, Ch. 1030 (2012); and Public Chapter 88 (2021).
Administrative History: Emergency rule filed December 7, 2010; effective June 5, 2011. Original rule filed February 9, 2011; effective May 10, 2011. Emergency rule filed September 20, 2011; effective through March 18, 2012. Amendment filed December 14, 2011; effective March 13, 2012. Amendment filed September 4, 2012; effective December 3, 2012. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 0800-02-32 pursuant to Public Chapter 88 (2021).

Tenn. Comp. R. & Regs. 1360-09-01-.06 REPEALED

History

Authority: Tenn. Pub. Acts, Ch. 1149, § 19(a) and Public Chapter 88 (2021).
Administrative History: Emergency rule filed December 7, 2010; effective through June 5, 2011. Original rule filed February 9, 2011; effective May 10, 2011. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 0800-02-32 pursuant to Public Chapter 88 (2021).

Tenn. Comp. R. & Regs. 1360-09-01-.07 REPEALED

History

Authority: Tenn. Pub. Acts, Ch. 1149, § 19(a) and Public Chapter 88 (2021).
Administrative History: Emergency rule filed December 7, 2010; effective through June 5, 2011. Original rule filed February 9, 2011; effective May 10, 2011. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 0800-02-32 pursuant to Public Chapter 88 (2021).

Tenn. Comp. R. & Regs. 1360-09-01-.08 REPEALED

History

Authority: T.C.A. §§ 50-6-904, 50-6-905, and 50-6-915; Tenn. Pub. Acts, Ch. 1149, § 19(a); and Public Chapter 88 (2021).
Administrative History: Emergency rule filed December 7, 2010; effective through June 5, 2011. Original rule filed February 9, 2011; effective May 10, 2011. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 0800-02-32 pursuant to Public Chapter 88 (2021).

Tenn. Comp. R. & Regs. 1360-09-01-.09 REPEALED

History

Authority: Tenn. Pub. Acts, Ch. 1149, § 19(a) and Public Chapter 88 (2021).
Administrative History: Emergency rule filed December 7, 2010; effective through June 5, 2011. Original rule filed February 9, 2011; effective May 10, 2011. Repeal filed September 5, 2023; effective December 4, 2023. Rule transferred to Chapter 0800-02-32 pursuant to Public Chapter 88 (2021).

Chapter 1360-10-01 Repealed

Tenn. Comp. R. & Regs. 1360-10-01-.01 REPEALED

History

Authority: T.C.A. §§ 8-3-104, 10-7-501, et seq., and 10-7-503(g).
Administrative History: Original rule filed April 1, 2015; effective June 30, 2015. Repeal filed June 6, 2017; effective September 4, 2017.

Tenn. Comp. R. & Regs. 1360-10-01-.07 REPEALED

History

Authority: T.C.A. §§ 8-3-104, 10-7-501, et seq., and 10-7-503(g). Administrate History: Original rule filed April 1, 2015; effective June 30, 2015. Repeal filed June 6, 2017; effective September 4, 2017.

Tenn. Comp. R. & Regs. 1360-10-01-.02 REPEALED

History

Authority: T.C.A. §§ 8-3-104, 10-7-501, et seq., and 10-7-503(g).
Administrative History: Original rule filed April 1, 2015; effective June 30, 2015. Repeal filed June 6, 2017; effective September 4, 2017.

Tenn. Comp. R. & Regs. 1360-10-01-.03 REPEALED

History

Authority: T.C.A. §§ 8-3-104, 10-7-501, et seq., and 10-7-503(g).
Administrative History: Original rule filed April 1, 2015; effective June 30, 2015. Repeal filed June 6, 2017; effective September 4, 2017.

Tenn. Comp. R. & Regs. 1360-10-01-.04 REPEALED

History

Authority: T.C.A. §§ 8-3-104, 10-7-501, et seq., and 10-7-503(g).
Administrative History: Original rule filed April 1, 2015; effective June 30, 2015. Repeal filed June 6, 2017; effective September 4, 2017.

Tenn. Comp. R. & Regs. 1360-10-01-.05 REPEALED

History

Authority: T.C.A. §§ 8-3-104, 10-7-501, et seq., and 10-7-503(g).
Administrative History: Original rule filed April 1, 2015; effective June 30, 2015. Repeal filed June 6, 2017; effective September 4, 2017.

Tenn. Comp. R. & Regs. 1360-10-01-.06 REPEALED

History

Authority: T.C.A. §§ 8-3-104, 10-7-501, et seq., and 10-7-503(g).
Administrative History: Original rule filed April 1, 2015; effective June 30, 2015. Repeal filed June 6, 2017; effective September 4, 2017.

Chapter 1360-11-01 Tennessee Address Confidentiality Program General Provisions

Tenn. Comp. R. & Regs. 1360-11-01-.01 DEFINITIONS

(1) The terms defined in Tennessee Code Annotated Title 40, Chapter 38, Part 6, T.C.A. §§ 40- 38-601 et seq., shall have the same meaning for the purpose of these rules and definitions in these rules shall apply to T.C.A. §§ 40-38-601 et seq.

(2) “Program participant” or “participant” means a person who is certified by the Secretary of State as a program participant and who is an applicant, co-applicant, the child of an applicant or co-applicant, or a person with a disability for whom an applicant or co-applicant serves as a fiduciary.

(3) “Applicant” means the person who applies to be a program participant and who is or has been a victim of domestic abuse, stalking, human trafficking, rape, sexual battery, or another sexual offense.

(4) “Co-Applicant” means the spouse, parent, or fiduciary of the applicant who lives in the same residence as the applicant at the time the application is made and who resides in the same residence with the applicant while the applicant is a program participant. In order to participate as a co-applicant, the co-applicant must not be prohibited from program participation by T.C.A. § 40-38-603.

(5) “Date of application” or “time of application” means the date on which the application for enrollment is signed and notarized. Applications must be completed, and all necessary supporting documentation provided, before an applicant and/or co-applicant will be approved to participate in the Safe at Home Address Confidentiality Program. Applications must be completed within 30 days from the date of application in order to be approved for enrollment unless, at the sole discretion of the Secretary, just cause can be shown to excuse a delay.

(6) “Residential address” means the address at which an individual applying for participation in the program currently resides.

(7) Where these rules specify procedures for “applicants” to follow, the same procedures apply and should be followed by “co-applicants” as defined in subdivision (4) above.

History

Authority: T.C.A. §§ 40-38-601, et seq., and Public Chapter 140, enacted 2021.
Administrative History: Emergency rules filed October 30, 2018; effective through April 28, 2019. Emergency rules expired effective April 29, 2019. Original rules filed November 21, 2019; effective February 19, 2020. Emergency rules filed May 25, 2021; effective through November 21, 2021. Emergency rules expired effective November 22, 2021, and the rules reverted to their previous statuses. Amendments filed December 21, 2021; effective March 21, 2022.

Tenn. Comp. R. & Regs. 1360-11-01-.02 ELIGIBILITY AND APPLICATION PROCEDURES

(1) To be eligible for participation in the Address Confidentiality Program, an individual must be a resident of the State of Tennessee and meet the following requirements:

(a) Be a victim of domestic abuse, stalking, human trafficking, or any sexual offense, including violent sexual offenses; and, (b) Have moved to a new residential address, which is unknown to the victims’ abuser, within the previous thirty (30) days, currently reside at an address unknown to the offender and not previously identified in any public record as the person’s address, or presently intend to move to a new residential address unknown to the victims’ abuser, within ninety (90) days from the date of application; or, (c) Be a co-applicant residing at the residence of a primary applicant who satisfies subdivision (b) above.

(2) A person who is required by law to be registered under any of the following is not eligible to participate in the address confidentiality program:

(a) Tennessee Sexual Offender and Violent Sexual Offender Registration, Verification and Tracking Act of 2004, T.C.A. §§ 40-39-201 et seq.;

(b) Tennessee Animal Abuser Registration Act, T.C.A. §§ 40-39-101 et seq.;

(c) Registry of persons who have abused, neglected, or misappropriated the property of vulnerable individuals, T.C.A. §§ 68-11-1001 et seq.; or (d) Drug Offender Registry, T.C.A. § 39-17-436.

(3) A prospective applicant may submit an application for program participation to the Office of the Secretary of State, with the assistance of an application assistant. An application for program participation must be submitted on the designated form prescribed by the Office of the Secretary of State. The application must include all of the following:

(a) The mailing address and telephone number(s) at which the applicant may be contacted;

(b) The address or addresses of the applicant’s residence address, school, institution of higher education, business and/or place of employment, and/or those of the applicant’s minor children, which the applicant requests be treated as confidential;

There exists an ongoing criminal case that may result in, or an ongoing criminal case that has resulted in, a conviction by a judge or jury or by a defendant’s guilty plea, in which the applicant was a victim of domestic abuse, stalking, human trafficking, or any sexual offense; or, 2. A court of competent jurisdiction has granted an order of protection to the applicant, which is in effect at the time of application;

(d) In the absence of an ongoing criminal case that may result, or an ongoing criminal case that has resulted, in a conviction or guilty plea, or an order of protection granted by a court of competent jurisdiction within this state which is in effect at the time of application, the applicant may submit a notarized statement by a licensed professional with knowledge of the circumstances, such as an attorney, social worker, or therapist, confirming that such individual believes that the applicant is in danger of further harm;

(e) Either of the following:

Documentary evidence that the applicant has moved to a new residential address within the State of Tennessee, which is unknown to the applicant’s abuser to the best of the applicant’s knowledge and belief, within the previous thirty (30) days; or, 2. A sworn statement by the applicant that the applicant currently resides at an address unknown to the offender and not previously identified in any public record as the person’s address or has the present intent to move to a new address within the State of Tennessee, which will be unknown to the applicant’s abuser, within the ninety (90) days following the application date.
The documentary evidence required by subparagraph (1) above may consist of a rental agreement or utility service agreement bearing the name of the applicant as a party to the agreement and evidencing a residential address within the State of Tennessee, or any other documentary evidence which is determined to be acceptable by the Office of the Secretary of State.

(f) A sworn statement by the applicant that disclosure of the confidential address or addresses would endanger the safety of the applicant or the minor or the person with a disability on whose behalf the application is made;

(g) A sworn statement by the applicant confirming that the applicant understands all of the following:

That during the time the applicant chooses to have a confidential voter registration record, the applicant may vote only by absentee ballot;
That the applicant may provide a program participation number instead of their residential address on an application for an absentee ballot or on an absentee voter’s ballot identification envelope statement of voter with the voter’s signature;
That casting any ballot in person during program participation will reveal the applicant’s precinct and residence address to precinct election officials and employees of the county election commission, and may reveal the applicant’s precinct or residential address to members of the public; and, 4. That if the applicant signs an election petition during program participation, the applicant’s address will be made available to the public.

(h) A knowing and voluntary designation of the Secretary of State as the applicant’s agent for the purposes of receiving service of process and the receipt of mail;

(i) A knowing and voluntary release and waiver of all future claims against the state for any claim that may arise from participation in the address confidentiality program, except for a claim based on the performance or nonperformance of a public duty that was manifestly outside the scope of the officer’s or employee’s office or employment or in which the officer or employee acted with malicious purpose, in bad faith, or in a wanton or reckless manner;

(j) A statement of the applicant’s consent for the Department of State to release their information, including their residential address, to the Department of Correction and/or the Board of Parole, if the participant is subject to probation and/or parole;

(k) A statement of the applicant’s consent for the Department of State to release their information, including their residential address, to the Department of Children’s Services, if the participant is receiving services from the Department of Children’s Services or are otherwise required to participate in home visits with the Department of Children’s Services.

(l) The notarized signature of the applicant, the name and notarized signature of the application assistant who assisted the applicant, and the date on which the applicant and application assistant signed the application;

(m) If, at the time of application, the applicant is subject to a court order or is involved in a court action related to the dissolution of marriage proceedings, child support, or the allocation of parental responsibilities or parenting time, the applicant must also provide the name of the court, contact information for the court, and the case number(s) associated with those proceedings; and, (n) A voter registration form, if the applicant is eligible to vote and wishes to register to vote or update a current voter registration.

(4) If an applicant submits an application based on the applicant’s present intent to relocate to a new residential address within the State of Tennessee within the ninety (90) days following the date of application, the applicant must submit documentation of the applicant’s move to such residential address within ninety (90) days from the date of application. Such documentation may include, but is not limited to, a rental agreement or a utility service agreement executed within ninety (90) days of the date of application and evidencing a residential address within the State of Tennessee, or any other documentary evidence which is determined to be acceptable by the Office of the Secretary of State.

(5) Following receipt and certification of a properly submitted application, the Secretary of State shall issue to the program participant a unique substitute address, a unique participant identification number, and documentary evidence of such participation that may be used as proof of program participation, if requested, when the applicant requests that a governmental entity or third party use the substitute address as the participant’s official address of record.

The Secretary of State shall also issue to the participant all other informational documentation required by law.

(6) Following certification of program participation, the Office of the Secretary of State will accept all first class mail and/or certified mail received at the substitute address and forward this material to the participant at the address designated by the participant on the participant’s application within three (3) business days from the date of receipt. The Office of the Secretary of State will also accept all service of process received at the substitute address and shall immediately forward this material to the participant at the address designated by the program participant on the participant’s application.

(7) The Office of the Secretary of State will not accept or forward packages, periodicals, or marketing materials. If these materials are received by the Office of the Secretary of State, they will be immediately returned to sender or securely shredded as applicable. For these purposes, a package is defined as any piece of mail with any dimension greater than 12 inches wide, 15 inches long, ¾ inches thick, or over 13 ounces in weight.

(8) Mail received by the Office of the Secretary of State for forwarding cannot be retrieved by participants in person for any reason. Participants should not attempt to physically retrieve their mail from the Office of the Secretary of State at any time.

History

Authority: T.C.A. §§ 40-38-601, et seq., and 40-38-604; 2018 Public Acts, Ch. 1004, § 4; Public Chapter 577, enacted March 19, 2020; and Public Chapter 140, enacted 2021.
Administrative History: Emergency rules filed October 30, 2018; effective through April 28, 2019. Emergency rules expired effective April 29, 2019. Original rules filed November 21, 2019; effective February 19, 2020. Emergency rules filed June 2, 2020; effective through November 29, 2020. Emergency rules expired effective November 30, 2020, and the rules reverted to their previous statuses. Amendments filed September 9, 2020; effective December 8, 2020. Emergency rules filed May 25, 2021; effective through November 21, 2021. Emergency rules expired effective November 22, 2021, and the rules reverted to their previous statuses. Amendments filed December 21, 2021; effective March 21, 2022. Amendments filed September 9, 2024; effective December 8, 2024.

Tenn. Comp. R. & Regs. 1360-11-01-.03 PARTICIPANT RESPONSIBILITIES

(1) Program participants must provide the substitute address to all governmental and private entities to ensure the confidentiality of the program participant’s confidential address.

Program participants must also provide the substitute address to all governmental and private entities in matters relating to the participant’s minor children to ensure the confidentiality of the program participant’s confidential address.

(2) Program participants are not permitted to use their substitute address for the following purposes, and must instead use their confidential address:

(a) For purposes of listing, appraising, or assessing property taxes and collecting property taxes; or (b) On any document related to real property recorded with a county clerk and recorder.

(3) If a program participant obtains a legal name change, the participant must provide evidence of the legal name change to the Office of the Secretary of State within ten (10) days of the date of the legal name change.

(4) Program participants must notify the Office of the Secretary of State of any change in the participant’s residential address and/or application information in writing within thirty (30) days after any change has occurred by submitting a Notice of Change Form to the Office of the Secretary of State. This Notice of Change must be notarized; if the Notice of Change is not properly notarized, the participant’s information cannot be updated and the participant may become subject to cancellation.

(a) Program participants will be required to provide documentation to verify any change in the program participant’s residential address to the satisfaction of the Office of the Secretary of State. Such documentation may include, but is not limited to, a rental agreement or a utility service agreement, executed within thirty (30) days of the date of the reported change.

(b) In the event that the participant moves to a new residential address, or the participant’s contact information otherwise changes, and the participant does not provide notification of such to the Office of the Secretary of State, any materials received at the participant’s substitute address may not be received by the participant upon forwarding of the materials by the Office of the Secretary of State and the program participant may be prevented from voting in any precinct other than the precinct established by the program participant’s application. Any materials which cannot be delivered to the program participant will be maintained by the Office of the Secretary of State for a period of twenty (20) business days and will then be destroyed if unclaimed.

(c) In the event that a program participant moves to a new residential address outside of the State of Tennessee, the program participant may submit a Change of Address form showing the new, out-of-state address and the Office of the Secretary of State will forward program participant mail received at the substitute address for up to sixty (60) days or until the program participant enrolls in the state’s address confidentiality program, if available. Participants who enroll in an address confidentiality program in another state should withdraw their program participation in Tennessee. If the program participant does not withdraw their program participation in Tennessee and does not return to Tennessee within the sixty (60) day forwarding period, program participation will be cancelled.

(5) Program participants must request that any public record created within thirty (30) days prior to the date of the participant’s application for participation and which contains the participant’s confidential address be treated as confidential by the governmental entity holding the public record and/or that the confidential address be substituted with the substitute address, and must provide proof of program participation to the governmental entity.

(6) Program participants must abide by all applicable voter registration and absentee deadlines, as well as any procedures established by the coordinator of elections for the submission and processing of absentee ballots by program participants.

(7) Program participants must provide the substitute address and evidence of program participation to public schools for purposes of enrollment for themselves or their minor children in order to ensure the confidentiality of the program participant’s confidential address. Public school officials must then contact the Office of the Secretary of State in order to obtain verification of eligibility for enrollment, if residential verification is required. The Office of the Secretary of State shall then provide confirmation or denial of enrollment eligibility based on the most recent information provided to the Office of the Secretary of State by the program participant.

(8) Program participants may be required to provide their confidential residential address to a utility service provider for the purposes of obtaining utility services. Program participants must also provide the utility service provider with evidence of program participation and request that the utility service provider treat their residential address as confidential. The program participant may also request that the utility service provider use the substitute address as the program participant’s official mailing address.

(9) Program participation certification shall be valid for four (4) years following the date of filing of the application by the Office of the Secretary of State, unless participation is otherwise withdrawn or invalidated prior to the end of the four year term. A program participant who wishes to renew their participation beyond the current four (4) year term may do so by submitting a renewal application to the Office of the Secretary of State within the ninety (90) days prior to the termination of the current four (4) year term. The renewal application must contain all of the information required by Rule 1360-11-01-.02(3), except for the information described in Rule 1360-11-01-.02(3)(e) and (l). A co-applicant who was under eighteen (18) years of age when enrolled in the program, but who is at least eighteen (18) years of age at the time the renewal application is submitted, may renew the co-applicant’s participation in the program by submitting a renewal application to the Secretary of State with the assistance of an application assistant. The renewal application must be on a form prescribed by the Secretary of State and contain all the information described in Rule 1360-11-01-.02(3), except for the information described in Rule 1360-11-01-.02(3)(e) and (l).

(10) Program participants are exempt from selection for state and municipal jury duty. In the event that the program participant receives a jury summons for either a state or municipal jury, it shall be the responsibility of the program participant to notify the summoning court of the participant’s participation in the program and exempt status. Program participants may not fail to respond to a jury summons.

(11) If an individual ceases to be a program participant, by reason of either cancellation or withdrawal, it shall be the responsibility of such individual to notify persons and entities that use of the substitute address is no longer valid.

History

Authority: T.C.A. §§ 40-38-601, et seq., and 40-38-605; 2018 Public Acts, Ch. 1004, § 4; and Public Chapter 577, enacted March 19, 2020.
Administrative History: Emergency rules filed October 30, 2018; effective through April 28, 2019. Emergency rules expired effective April 29, 2019. Original rules filed November 21, 2019; effective February 19, 2020. Emergency rules filed June 2, 2020; effective through November 29, 2020. Emergency rules expired effective November 30, 2020, and the rules reverted to their previous statuses. Amendments filed September 9, 2020; effective December 8, 2020. Amendments filed September 9, 2024; effective December 8, 2024.

Tenn. Comp. R. & Regs. 1360-11-01-.04 SERVICE OF PROCESS

(1) Upon request by a person who intends to serve process on an individual, the Office of the Secretary of State shall confirm whether the individual is a program participant but shall not disclose any other information concerning a program participant.

(2) Any person intending or attempting to serve process on a program participant may do so by serving Secretary of State as agent of a program participant at Department of State, Safe At Home Address Confidentiality Program, W.R. Snodgrass Tower, 3rd Floor, 312 Rosa L.

Parks Avenue, Nashville, TN 37243. Service of process may be delivered by mail to:

Department of State, Safe At Home Address Confidentiality Program, W.R. Snodgrass Tower, 6th Floor, 312 Rosa L. Parks Avenue, Nashville, TN 37243.

History

Authority: T.C.A. §§ 40-38-601, et seq.
Administrative History: Emergency rules filed October 30, 2018; effective through April 28, 2019. Emergency rules expired effective April 29, 2019. Original rules filed November 21, 2019; effective February 19, 2020.

Tenn. Comp. R. & Regs. 1360-11-01-.05 CANCELLATION OF PROGRAM PARTICIPATION; WITHDRAWAL

(1) Program participation shall be cancelled if any of the following occurs:

(a) The Office of the Secretary of State finds or determines that the participant’s application contained one or more false statements;

(b) The program participant fails to relocate to a new residential address, or fails to provide documentary evidence of the new residential address to the Office of the Secretary of State, within ninety (90) days from the date of application, unless the Secretary of State determines that the program participant is currently residing at a shelter, as defined by T.C.A. § 71-6-202, or a similar facility;

(c) The program participant obtains a name change, unless the program participant provides the Office of the Secretary of State with documentation of a legal name change within ten (10) business days of the name change;

(d) The program participant’s certification has expired and the program participant has not submitted a renewal application prior to the expiration of the current four (4) year term;

(e) The Office of the Secretary of State finds or determines that the program participant is unreachable for a period of twenty (20) business days or more;

(f) The Office of the Secretary of State finds or determines that circumstances have changed such that the participant no longer meets the criteria outlined by statute or by

Rule 1360-11-01-.02 for program participation; or (g) The program participant submits to the Office of the Secretary of State a request to withdraw from the program.

(2) A program participant will be found to be unreachable when the Office of the Secretary of State has determined that any materials forwarded to the program participant at the designated address have been returned to the Office of the Secretary of State by the United States Postal Service, or other mail carrier, as either undeliverable or refused and the Office of the Secretary of State has been unable to reach the program participant by phone or electronic mail for a period of at least twenty (20) business days.

(3) A program participant may request to withdraw from program participation by submitting a written and notarized Withdrawal form to the Office of the Secretary of State. The Withdrawal form must include the following:

(a) The program participant’s name, residential address and participant identification number;

(b) A statement that the participant wishes to cease being a program participant;

(c) An acknowledgement that the participant’s address(es) will no longer be kept confidential, the Secretary of State will no longer accept or process mail received on their behalf, and participant’s voter registration will no longer be kept confidential; and, (d) A statement that the administrator of election should either treat the participant’s voter registration in the same manner as other voter registration forms, or purge the participant’s voter registration.

(4) Upon finding that a program participant’s participation should be cancelled, either by means of cancellation or withdrawal, the Office of the Secretary of State shall mail a notice of cancellation to the program participant at the last known address by certified mail. This notice shall set out the reason(s) for cancellation, the program participant’s right to appeal the cancellation, and the procedures for appealing the notice of cancellation before an administrative law judge.

(a) In the event that cancellation occurs because the Office of the Secretary of State has found the program participant to have been unreachable for a period of twenty (20) business days or more and the notice of cancellation sent to the program participant by certified mail is returned to the Office of the Secretary of State as either undeliverable or refused, the program participant shall not have the right to appeal the cancellation of program participation.

History

Authority: T.C.A. §§ 40-38-601, et seq.; and Public Chapter 577, enacted March 19, 2020.
Administrative History: Emergency rules filed October 30, 2018; effective through April 28, 2019. Emergency rules expired effective April 29, 2019. Original rules filed November 21, 2019; effective February 19, 2020. Emergency rules filed June 2, 2020; effective through November 29, 2020. Emergency rules expired effective November 30, 2020, and the rules reverted to their previous statuses. Amendments filed September 9, 2020; effective December 8, 2020.

Tenn. Comp. R. & Regs. 1360-11-01-.06 APPEAL PROCEDURES

(1) A program participant has the right to appeal the cancellation of program participation within thirty (30) days from the date of the notice of cancellation, unless otherwise limited by law or these rules. A petition for appeal may be submitted to the Office of the Secretary of State.

(2) A program participant has the right to appeal the disclosure by the Office of the Secretary of State of the program participant’s confidential address, or any other information pertaining to the program participant, disclosed to a state or federal agency within ten (10) business days of the Secretary’s determination that such information should be disclosed.

(3) Upon receipt of a petition for appeal, the Office of the Secretary of State will transmit the petition to the Administrative Procedures Division for a contested case hearing before an administrative law judge in accordance with the Uniform Administrative Procedures Act.

History

Authority: T.C.A. §§ 40-38-601, et seq.
Administrative History: Emergency rules filed October 30, 2018; effective through April 28, 2019. Emergency rules expired effective April 29, 2019. Original rules filed November 21, 2019; effective February 19, 2020.

Tenn. Comp. R. & Regs. 1360-11-01-.07 DISCLOSURES

(1) Except as otherwise allowed by law, the Office of the Secretary of State shall not disclose the confidential address or any other information contained within a program participant’s file, other than the substitute address designated by the Secretary of State.

(2) Public schools and other governmental entities that require verification of residency for purposes of public school enrollment or public benefits enrollment must submit to the Office of the Secretary of State a completed Request for Residency Verification form to verify a program participant’s eligibility for enrollment and/or the eligibility for enrollment of the participant’s minor children. The public school or other governmental entity seeking such verification must provide a written statement and/or a map, as required by the Secretary of State, outlining the applicable residential district eligible for enrollment.

(3) As authorized by law, properly designated law enforcement agency officials and administrative agency officials may request confirmation of program participation pertaining to a supposed program participant by submitting a Request for Program Participation Confirmation Form to the Office of the Secretary of State. The Office of the Secretary of State shall make a determination and respond to such requests within three (3) business days, unless emergency circumstances exist.

(4) The Office of the Secretary of State shall provide an after-hours emergency phone number to the Chief Law Enforcement Official of every state law enforcement agency, county sheriff’s office, and municipal police department that may be used only by such chief law enforcement official. In such emergency situations, where there exists a significant threat to the physical health or welfare of the program participant or a member of the program participant’s immediate family, the Chief Law Enforcement Official of the requesting agency may request the immediate disclosure of the program participant’s confidential address. The Office of the Secretary of State may require the requesting official to verify their identity prior to the release of the program participant’s confidential address.

(5) As authorized by law, properly designated law enforcement agency officials and administrative agency officials may request disclosure of information pertaining to a program participant by submitting a Request for Disclosure Form to the Office of the Secretary of State.

(a) Request for Disclosure Forms submitted by law enforcement officials will be reviewed and addressed by the Secretary of State, or the Secretary’s designee, as soon as practicable. A program participant is not entitled to notice of the Secretary’s determination prior to the disclosure of the requested information.

(b) Request for Disclosure Forms submitted by state or federal administrative agency officials will be reviewed and addressed by the Secretary of State, or the Secretary’s designee, as soon as practicable. However, the program participant shall be notified of the nature of the request received and afforded an opportunity to respond to the request in writing stating any objections to the disclosure.

The program participant shall have ten (10) business days from the date of the notice issued to the program participant in which to respond to the notice. If no response from the program participant is received after ten (10) business days from the date of notice, then the information requested shall be disclosed to the requesting agency as soon as practicable.
If the program participant responds to the notice provided, the Secretary or the Secretary’s designee shall review the objections received and weigh those objections against the reasons cited by the requesting agency official for the disclosure. The Secretary or the Secretary’s designee shall then issue a determination within three (3) business days.
Any party may appeal the Secretary’s decision within ten (10) business days from the notice of the Secretary’s determination by submitting a petition for appeal to the Office of the Secretary of State. If no request for appeal is received within ten (10) business days, the Secretary’s decision shall be implemented according to its terms.

(6) Disclosure of a participant’s confidential address, or any other information contained within a program participant’s file, shall be limited under the terms of the court’s order or, in the absence of a court order, the Secretary’s determination, to ensure that the disclosure and dissemination of the confidential address will be no greater than necessary for the specific

purpose for which it was requested.

(7) Individuals granted access to the program participant’s confidential information, whether by court order or by virtue of the individual’s position as an employee of a governmental entity, are prohibited from knowingly disclosing such information to unauthorized individuals, except as otherwise required by law.

(8) No person shall knowingly obtain a program participant’s confidential address or telephone number from any governmental agency knowing that the person is not authorized to obtain the confidential information.

(9) The Secretary of State may grant a request for disclosure to a state or local government agency upon receipt of a program participant’s written and notarized consent to do so. In the event that a program participant submits a written and notarized consent for disclosure relating to a specific request for disclosure, the requested information shall be disclosed as soon as practicable and the program participant shall have no further right to appeal the disclosure.

(10) In the event that the state, a county, a municipality, an agency of the state or county or municipality, or an employee of the state or county or municipality negligently or otherwise unlawfully discloses the program participant’s confidential address, such entity must immediately upon learning of the disclosure notify the program participant of the disclosure and the full extent of the disclosure.

History

Authority: T.C.A. §§ 40-38-601, et seq.
Administrative History: Emergency rules filed October 30, 2018; effective through April 28, 2019. Emergency rules expired effective April 29, 2019. Original rules filed November 21, 2019; effective February 19, 2020.

Tenn. Comp. R. & Regs. 1360-11-01-.08 APPLICATION ASSISTANTS

(1) Individuals seeking certification as an application assistant must:

(a) Be an employee or a volunteer at an approved agency or organization that serves victims of domestic abuse, stalking, human trafficking, rape, sexual battery, or any other sexual offense;

(b) Submit an application for certification as an application assistant to the Office of the Secretary of State; and, (c) Receive training and instruction from the Office of the Secretary of State relating to the address confidentiality program and these rules to help prospective applicants to complete applications for program participation.

(2) Application assistants may not offer legal advice to any prospective applicant for program participation or program participant, unless otherwise authorized to engage in the practice of law in this state.

History

Authority: T.C.A. §§ 40-38-601, et seq.
Administrative History: Emergency rules filed October 30, 2018; effective through April 28, 2019. Emergency rules expired effective April 29, 2019. Original rules filed November 21, 2019; effective February 19, 2020.

Chapter 1360-11-02 Tennessee Businesses Against Trafficking

Tenn. Comp. R. & Regs. 1360-11-02-.01 DEFINITIONS

The following terms as used in this Chapter have the following meanings:

(1) “Commercial sex industry” means a commercial enterprise primarily engaged in providing services or offering for sale, rental, or exhibition, devices or items intended to facilitate sexual stimulation or gratification for its clientele.

(2) “Entity” means a domestic or foreign for-profit corporation, limited partnership, limited liability company, professional association, cooperative association, bank, trust company, savings and loan association or company, insurance company, reciprocal or interinsurance exchange, railroad company, cemetery company, government-regulated cooperative, stock company, abstract and title insurance company, organization that engages in for-profit activities through the use of employees, or any other organization that is governed under the Tennessee Code Annotated, federal law, or the laws of another state or nation.

(3) “Human trafficking” means any offense referred to in T.C.A. § 39-13-314(a)(1).

(4) “Human trafficking prevention training” means training designed to combat human trafficking, focusing on the accurate and prompt identification and reporting of, and response to, suspected human trafficking.

(5) “Partnership” or “Partner” means an entity that has applied to participate in the Tennessee Businesses Against Trafficking program, has satisfied the requirements of participation in the program, and has received a Tennessee Businesses Against Trafficking Certificate.

(6) “Secretary of State” or “Secretary” means the Secretary of State or the Secretary of State’s authorized representative or designee.

(7) “TBAT” means Tennessee Businesses Against Trafficking.

(8) “Zero-Tolerance Policy” means a policy regarding human trafficking that includes, at a minimum, the following:

(a) Compliance with relevant federal and state laws and regulations pertaining to human trafficking;

(b) A periodic review of the business’s supply lines, supplies, agents, subcontractors, other inputs, and facilities associated with the business to identify potential vulnerabilities to human trafficking, and taking appropriate actions to address any adverse findings, which may include incorporating language in supplier contracts outlining the entity’s human trafficking policies and encouraging suppliers to adhere to these policies; and (c) Implementation of measures to prevent the use of business funds for patronizing business entities or others involved in the commercial sex industry and to ensure that business resources are not used to engage in sexual conduct that violates state or federal laws or to operate a business within the commercial sex industry.

History

Authority: T.C.A. § 38-1-802.
Administrative History: Emergency rules filed March 18, 2024; effective through September 14, 2024. Emergency rules expired effective September 15, 2024, and the rules reverted to their previous statuses. New rules filed July 8, 2024; effective October 6, 2024.

Tenn. Comp. R. & Regs. 1360-11-02-.02 APPLICATION FOR TBAT CERTIFICATE

(1) Any entity seeking to join the Tennessee Businesses Against Trafficking Program must submit an application to the Secretary of State on a form provided by the Secretary and supported by additional documentation, if required, demonstrating the following:

(a) The applicant has adopted a Zero-Tolerance Policy regarding human trafficking;

(b) The applicant will participate in at least one anti-human trafficking public awareness or education campaign each year for the duration of its participation in the Partnership;

(c) Verification that the applicant will offer all current employees Human Trafficking Prevention Training within 60 days of application approval;

(d) Verification that the applicant will include Human Trafficking Prevention Training in all new hire materials or has established periodic training programs;

(e) An agreement to share with the Secretary of State best practices that are effective in combatting human trafficking;

(f) Contact information to ensure applicant receives timely updates to training materials and other pertinent announcements from the Secretary of State; and (g) Any additional information as required by the Secretary of State.

(2) The application for a TBAT Certificate must contain the signature of an individual with authority to sign on behalf of the entity and the date on which the applicant signed the application.

(3) If, after a review of the application and any additional documentation requested by the Secretary of State, the Secretary determines that all the requirements set forth in subsections (1) and (2) of this Rule have been met, the Secretary will approve the application, issue a TBAT Certificate to the applicant, and the applicant will be named a TBAT Partner.

(4) All TBAT Certificates issued by the Secretary of State must bear an expiration date that will be two years from the date the certificate is issued.

(5) There is no fee for an entity to submit an application for a TBAT Certificate.

History

Authority: T.C.A. § 38-1-802.
Administrative History: Emergency rules filed March 18, 2024; effective through September 14, 2024. Emergency rules expired effective September 15, 2024, and the rules reverted to their previous statuses. New rules filed July 8, 2024; effective October 6, 2024.

Tenn. Comp. R. & Regs. 1360-11-02-.03 HUMAN TRAFFICKING PREVENTION TRAINING

Human Trafficking Prevention Training must include the following:

(1) A general overview of human trafficking;

(2) A general overview of state law on human trafficking;

(3) The definition of human trafficking and the commercial exploitation of children;

(4) Guidance on how to recognize potential human trafficking victims;

(5) Guidance on how to recognize potential human traffickers;

(6) Guidance on how to identify activities commonly associated with human trafficking;

(7) Safe and effective responses to human trafficking situations, including how to report suspected human trafficking to proper law enforcement officials; and (8) Pre-training and post-training surveys to gauge the trainees’ increased understanding of the scope and signs of human trafficking and the manner in which to respond to potential trafficking.

History

Authority: T.C.A. § 38-1-802.
Administrative History: Emergency rules filed March 18, 2024; effective through September 14, 2024. Emergency rules expired effective September 15, 2024, and the rules reverted to their previous statuses. New rules filed July 8, 2024; effective October 6, 2024.

Tenn. Comp. R. & Regs. 1360-11-02-.04 PROGRAM VIOLATIONS

(1) Any Partner who violates the requirements of these Rules, including implementation of the Human Trafficking Prevention Training and Zero-Tolerance Policy, may result in termination of the Partnership and revocation of the entity’s TBAT Certificate.

(2) To revoke an entity’s participation in the program, the Secretary will send a revocation letter to the entity stating the grounds for non-compliance that resulted in termination of the Partnership and revocation of the TBAT Certificate.

(3) Any entity that has its Partnership terminated and its TBAT Certificate revoked may submit an application for TBAT Certification after rectifying the grounds for non-compliance. The Secretary has discretion to approve or deny, for any reason, the application of an entity that had its Partnership terminated and TBAT Certificate revoked.

History

Authority: T.C.A. § 38-1-802.
Administrative History: Emergency rules filed March 18, 2024; effective through September 14, 2024. Emergency rules expired effective September 15, 2024, and the rules reverted to their previous statuses. New rules filed July 8, 2024; effective October 6, 2024.

Tenn. Comp. R. & Regs. 1360-11-02-.05 CERTIFICATION RENEWAL

(1) An entity may renew its TBAT Certificate by filing an application for renewal in the same manner as the original application under these Rules.

(2) An application for renewal may be submitted only during the renewal period. The renewal period begins sixty (60) days before the expiration of the TBAT Certificate and ends on the date of the TBAT Certificate’s expiration. An application for renewal submitted before the renewal period will be rejected.

(3) An application for renewal submitted after the renewal period will be treated as a new application under these Rules.

History

Authority: T.C.A. § 38-1-802.
Administrative History: Emergency rules filed March 18, 2024; effective through September 14, 2024. Emergency rules expired effective September 15, 2024, and the rules reverted to their previous statuses. New rules filed July 8, 2024; effective October 6, 2024.

Tenn. Comp. R. & Regs. 1360-11-02-.06 BENEFITS TO BUSINESSES

(1) Any entity that becomes a Partner in the Tennessee Businesses Against Trafficking program will receive a Tennessee Businesses Against Trafficking Certificate and digital participation symbol signifying the business’s commitment to combatting human trafficking.

(2) The Secretary will place the name of each Partner on the Secretary of State website and may publicly acknowledge the Partnership through various communication channels, such as the Secretary of State website, social media platforms, and newsletters.

History

Authority: T.C.A. § 38-1-802.
Administrative History: Emergency rules filed March 18, 2024; effective through September 14, 2024. Emergency rules expired effective September 15, 2024, and the rules reverted to their previous statuses. New rules filed July 8, 2024; effective October 6, 2024.

Chapter 1360-12-01 Public Libraries and Archives

Tenn. Comp. R. & Regs. 1360-12-01-.01 DEFINITIONS

The following terms shall have the respective meanings provided in this

rule.

(1) Public Library Maintenance of Effort Agreement. The annual agreement between the Tennessee Regional Library System and a public library which confirms the amount of public funds appropriated and expended for library services in each fiscal year, as well as the total number of library operating hours in each fiscal year. The amount of public funds appropriated and expended for library services, as well as the total number of library operating hours, must be matched or exceeded during each succeeding fiscal year. Funds contained therein are not to include capital or one-time appropriations or expenditures, or any pass through money appropriated by a County or City.

(2) Public Library Service Agreement. The annual agreement between the State of Tennessee and a public library which defines the respective responsibilities of both parties. A public library is required to enter into a Public Library Service Agreement, and to continue to adhere to the terms stated therein, in order to receive and maintain support from the Tennessee Regional Library System.

(3) Tennessee Regional Library System. A system of nine non-public library offices that serve as satellite locations of the Tennessee State Library and Archives. These offices provide assistance to local public libraries by supplementing local material appropriations with state and federal funds, assisting in the purchase of library materials, providing consultation services to library boards and directors, providing technology support, offering continuing education opportunities and other services. Membership in the Tennessee Regional Library System is voluntary.

History

Authority: T.C.A. §§ 10-1-104, 10-1-105, and 10-5-101.
Administrative History: Original rules filed October 23, 2020; effective January 21, 2021.

Tenn. Comp. R. & Regs. 1360-12-01-.02 REQUIREMENTS FOR ESTABLISHMENT OF A NEW PUBLIC LIBRARY WITHIN THE

TENNESSEE REGIONAL LIBRARY SYSTEM. In order for a public library to be approved for inclusion within the Tennessee Regional Library System, an application must be submitted to the Tennessee State Library and Archives.

(1) The public library must also meet all of the following requirements:

(a) The entity requesting inclusion must be recognized by resolution as a public library by the city or county requesting support from the Tennessee Regional Library System;

(b) A minimum of 51% of the library operating expense must be comprised of public funds from a city and/or county;

January, 2021 2 (c) The library budget must provide a minimum of 20 hours per week for paid staff;

(d) The library must be located in a county currently served by the regional library system;

(e) A governing library board must be appointed in accordance with T.C.A. §§ 10-3-101 and 10-3-103.

(f) The library must be open a minimum of 20 hours per week;

(g) The library must hold and/or own a circulating, cataloged collection;

(h) Basic library services must be free to the community, including but not limited to circulation of materials, reference services, programming, and public access to technology.

(2) The governmental entity requesting that the public library be included in the Tennessee Regional Library System must approve and an Authorized Signatory must sign both a Public Library Service Agreement and a Maintenance of Effort Agreement. The Public Library Board of Trustees will be responsible for satisfying the terms of these agreements.

(3) The following documentation must accompany the application submitted to the Tennessee State Library and Archives:

(a) A certified copy of the city or county resolution recognizing the entity as a public library in accordance with T.C.A. § 10-3-101;

(b) A copy of the entity’s line-item budget;

(d) Documentation of the number of materials in the entity’s collection;

(e) Signed Public Library Service Agreement;

(f) Signed Public Library Maintenance of Effort Agreement;

(g) Official library Board Appointment Form, which includes their service terms.

History

Authority: T.C.A. §§ 10-1-105, 10-3-101, 10-3-103, and 10-5-101.
Administrative History: Original rules filed October 23, 2020; effective January 21, 2021.

Tenn. Comp. R. & Regs. 1360-12-01-.03 REQUIREMENTS FOR PUBLIC LIBRARIES WITHIN THE TENNESSEE REGIONAL

LIBRARY SYSTEM. In order for a public library to maintain membership in the Tennessee Regional Library System, the Library Board must comply with all Tennessee laws and continue to fulfill all duties and exercise all powers granted by T.C.A. § 10-3-104. Furthermore, both the local funding body and the Public Library Board of Trustees shall be responsible for ensuring compliance with both the Maintenance of Effort Agreement and the Public Library Service Agreement.

History

Authority: T.C.A. §§ 10-1-105, 10-3-103, 10-3-104, and 10-3-111.
Administrative History: Original rules filed October 23, 2020; effective January 21, 2021.