IC 4-22-2.1
Chapter 2.1. Rules Affecting Small Businesses
IC 4-22-2.1-1 Application of chapter; exemption for certain rules
Sec. 1. Except for a rule that is the subject of a rulemaking action
under IC 13-14-9, IC 22-12, IC 22-13, IC 22-14, or IC 22-15, this
chapter applies to a rule for which the notice required by
IC 4-22-2-23 is published by an agency after June 30, 2005. As added by P.L.188-2005, SEC.4. Amended by P.L.139-2007,
SEC.1.
IC 4-22-2.1-2 Application of definitions in rulemaking statute
Sec. 2. The definitions in IC 4-22-2-3 apply throughout this
chapter. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1-3 "Corporation"
Sec. 3. As used in this chapter, "corporation" refers to the Indiana
economic development corporation established by IC 5-28-3-1. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1-4 "Small business"
Sec. 4. As used in this chapter, "small business" has the meaning
set forth in IC 5-28-2-6. As added by P.L.188-2005, SEC.4. Amended by P.L.110-2010,
SEC.4.
IC 4-22-2.1-5 Rules affecting small businesses; economic impact statement
required; full implementation of rules; submission of statement to
small business ombudsman
Sec. 5. (a) If an agency intends to adopt a rule under IC 4-22-2
that will impose requirements or costs on small businesses, the
agency shall prepare a statement that describes the annual economic
impact of a rule on all small businesses after the rule is fully
implemented as described in subsection (b). The statement required
by this section must include the following:
(1) An estimate of the number of small businesses, classified by
industry sector, that will be subject to the proposed rule.
(2) An estimate of the average annual reporting, record keeping,
and other administrative costs that small businesses will incur
to comply with the proposed rule.
(3) An estimate of the total annual economic impact that
compliance with the proposed rule will have on all small
businesses subject to the rule. The agency is not required to
submit the proposed rule to the office of management and
budget for a fiscal analysis under IC 4-22-2-28 unless the
estimated economic impact of the rule is greater than five
hundred thousand dollars ($500,000) on all regulated entities,
as set forth in IC 4-22-2-28.
(4) A statement justifying any requirement or cost that is:
(A) imposed on small businesses by the rule; and
(B) not expressly required by:
(i) the statute authorizing the agency to adopt the rule; or
(ii) any other state or federal law.
The statement required by this subdivision must include a
reference to any data, studies, or analyses relied upon by the
agency in determining that the imposition of the requirement or
cost is necessary.
(5) A regulatory flexibility analysis that considers any less
intrusive or less costly alternative methods of achieving the
purpose of the proposed rule. The analysis under this
subdivision must consider the following methods of minimizing
the economic impact of the proposed rule on small businesses:
(A) The establishment of less stringent compliance or
reporting requirements for small businesses.
(B) The establishment of less stringent schedules or
deadlines for compliance or reporting requirements for small
businesses.
(C) The consolidation or simplification of compliance or
reporting requirements for small businesses.
(D) The establishment of performance standards for small
businesses instead of design or operational standards
imposed on other regulated entities by the rule.
(E) The exemption of small businesses from part or all of the
requirements or costs imposed by the rule.
If the agency has made a preliminary determination not to
implement one (1) or more of the alternative methods
considered, the agency shall include a statement explaining the
agency's reasons for the determination, including a reference to
any data, studies, or analyses relied upon by the agency in
making the determination.
(b) For purposes of subsection (a), a proposed rule will be fully
implemented with respect to small businesses after:
(1) the conclusion of any phase-in period during which:
(A) the rule is gradually made to apply to small businesses
or certain types of small businesses; or
(B) the costs of the rule are gradually implemented; and
(2) the rule applies to all small businesses that will be affected
by the rule.
In determining the total annual economic impact of the rule under
subsection (a)(3), the agency shall consider the annual economic
impact on all small businesses beginning with the first twelve (12)
month period after the rule is fully implemented. The agency may
use actual or forecasted data and may consider the actual and
anticipated effects of inflation and deflation. The agency shall
describe any assumptions made and any data used in determining the
total annual economic impact of a rule under subsection (a)(3).
(c) The agency shall:
(1) publish the statement required under subsection (a) in the
Indiana Register as required by IC 4-22-2-24; and
(2) deliver a copy of the statement, along with the proposed
rule, to the small business ombudsman designated under
IC 5-28-17-5 not later than the date of publication under
subdivision (1). As added by P.L.188-2005, SEC.4. Amended by P.L.1-2006, SEC.75;
P.L.123-2006, SEC.17; P.L.110-2010, SEC.5.
IC 4-22-2.1-6 Review by economic development corporation; consideration of
written comments by agency
Sec. 6. (a) Not later than seven (7) days before the date of the
public hearing set forth in the agency's notice under IC 4-22-2-24, the
corporation shall do the following:
(1) Review the proposed rule and economic impact statement
submitted to the corporation by the agency under section 5(c)
of this chapter.
(2) Submit written comments to the agency on the proposed rule
and the economic impact statement prepared by the agency
under section 5 of this chapter. The corporation's comments
may:
(A) recommend that the agency implement one (1) or more
of the regulatory alternatives considered by the agency under
section 5(a)(5) of this chapter;
(B) suggest regulatory alternatives not considered by the
agency under section 5(a)(5) of this chapter;
(C) recommend any other changes to the proposed rule that
would minimize the economic impact of the proposed rule
on small businesses; or
(D) recommend that the agency abandon or delay the
rulemaking action until:
(i) more data on the impact of the proposed rule on small
businesses can be gathered and evaluated; or
(ii) less intrusive or less costly alternative methods of
achieving the purpose of the proposed rule can be
effectively implemented with respect to small businesses.
(b) Upon receipt of the corporation's written comments under
subsection (a), the agency shall make the comments available:
(1) for public inspection and copying at the offices of the
agency under IC 5-14-3;
(2) electronically through the electronic gateway administered
under IC 4-13.1-2-2(a)(5) by the office of technology; and
(3) for distribution at the public hearing required by
IC 4-22-2-26.
(c) Before finally adopting a rule under IC 4-22-2-29, and in the
same manner that the agency considers public comments under
IC 4-22-2-27, the agency must fully consider the comments
submitted by the corporation under subsection (a). After considering
the comments under this subsection, the agency may:
(1) adopt any version of the rule permitted under IC 4-22-2-29;
or
(2) abandon or delay the rulemaking action as recommended by
the corporation under subsection (a)(2)(D), if applicable. As added by P.L.188-2005, SEC.4. Amended by P.L.198-2007,
SEC.1.
IC 4-22-2.1-7 Review of rule before readoption
Sec. 7. Before an agency may act under IC 4-22-2.5 to readopt a
rule to which the chapter applies, the agency must conduct the
review required under IC 4-22-2.5-3.1. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1-8 Small businesses' right of action to determine agency's compliance
Sec. 8. (a) This section applies to a small business that is
adversely affected or aggrieved by a rule that:
(1) is subject to this chapter;
(2) is finally adopted by an agency under IC 4-22-2-29; and
(3) has taken effect under IC 4-22-2-36.
(b) In addition to or instead of filing a complaint with the
administrative rules oversight committee under IC 2-5-18-8, and
subject to subsection (c), a small business described in subsection (a)
may file, in a court having jurisdiction, an action seeking a
determination of the agency's compliance with the requirements of
this chapter during the rulemaking process. Upon receipt of a
complaint under this section, the court shall, at the earliest date
possible, hear evidence on the matter and make a determination as to
the agency's compliance with this chapter during the rulemaking
process. If the court determines that the agency failed to comply with
one (1) or more requirements of this chapter, the court may issue an
order or injunction enjoining the agency from enforcing the rule with
respect to the complaining small business and any similarly situated
small businesses. A determination of the court under this section is
final, subject to the right of direct appeal by either party.
(c) A small business that seeks a determination by a court under
subsection (b) must file the action described in subsection (b) not
later than one year (1) after the date the rule described in subsection
(a) takes effect under IC 4-22-2-36. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1
Chapter 2.1. Rules Affecting Small Businesses
IC 4-22-2.1-1 Application of chapter; exemption for certain rules
Sec. 1. Except for a rule that is the subject of a rulemaking action
under IC 13-14-9, IC 22-12, IC 22-13, IC 22-14, or IC 22-15, this
chapter applies to a rule for which the notice required by
IC 4-22-2-23 is published by an agency after June 30, 2005. As added by P.L.188-2005, SEC.4. Amended by P.L.139-2007,
SEC.1.
IC 4-22-2.1-2 Application of definitions in rulemaking statute
Sec. 2. The definitions in IC 4-22-2-3 apply throughout this
chapter. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1-3 "Corporation"
Sec. 3. As used in this chapter, "corporation" refers to the Indiana
economic development corporation established by IC 5-28-3-1. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1-4 "Small business"
Sec. 4. As used in this chapter, "small business" has the meaning
set forth in IC 5-28-2-6. As added by P.L.188-2005, SEC.4. Amended by P.L.110-2010,
SEC.4.
IC 4-22-2.1-5 Rules affecting small businesses; economic impact statement
required; full implementation of rules; submission of statement to
small business ombudsman
Sec. 5. (a) If an agency intends to adopt a rule under IC 4-22-2
that will impose requirements or costs on small businesses, the
agency shall prepare a statement that describes the annual economic
impact of a rule on all small businesses after the rule is fully
implemented as described in subsection (b). The statement required
by this section must include the following:
(1) An estimate of the number of small businesses, classified by
industry sector, that will be subject to the proposed rule.
(2) An estimate of the average annual reporting, record keeping,
and other administrative costs that small businesses will incur
to comply with the proposed rule.
(3) An estimate of the total annual economic impact that
compliance with the proposed rule will have on all small
businesses subject to the rule. The agency is not required to
submit the proposed rule to the office of management and
budget for a fiscal analysis under IC 4-22-2-28 unless the
estimated economic impact of the rule is greater than five
hundred thousand dollars ($500,000) on all regulated entities,
as set forth in IC 4-22-2-28.
(4) A statement justifying any requirement or cost that is:
(A) imposed on small businesses by the rule; and
(B) not expressly required by:
(i) the statute authorizing the agency to adopt the rule; or
(ii) any other state or federal law.
The statement required by this subdivision must include a
reference to any data, studies, or analyses relied upon by the
agency in determining that the imposition of the requirement or
cost is necessary.
(5) A regulatory flexibility analysis that considers any less
intrusive or less costly alternative methods of achieving the
purpose of the proposed rule. The analysis under this
subdivision must consider the following methods of minimizing
the economic impact of the proposed rule on small businesses:
(A) The establishment of less stringent compliance or
reporting requirements for small businesses.
(B) The establishment of less stringent schedules or
deadlines for compliance or reporting requirements for small
businesses.
(C) The consolidation or simplification of compliance or
reporting requirements for small businesses.
(D) The establishment of performance standards for small
businesses instead of design or operational standards
imposed on other regulated entities by the rule.
(E) The exemption of small businesses from part or all of the
requirements or costs imposed by the rule.
If the agency has made a preliminary determination not to
implement one (1) or more of the alternative methods
considered, the agency shall include a statement explaining the
agency's reasons for the determination, including a reference to
any data, studies, or analyses relied upon by the agency in
making the determination.
(b) For purposes of subsection (a), a proposed rule will be fully
implemented with respect to small businesses after:
(1) the conclusion of any phase-in period during which:
(A) the rule is gradually made to apply to small businesses
or certain types of small businesses; or
(B) the costs of the rule are gradually implemented; and
(2) the rule applies to all small businesses that will be affected
by the rule.
In determining the total annual economic impact of the rule under
subsection (a)(3), the agency shall consider the annual economic
impact on all small businesses beginning with the first twelve (12)
month period after the rule is fully implemented. The agency may
use actual or forecasted data and may consider the actual and
anticipated effects of inflation and deflation. The agency shall
describe any assumptions made and any data used in determining the
total annual economic impact of a rule under subsection (a)(3).
(c) The agency shall:
(1) publish the statement required under subsection (a) in the
Indiana Register as required by IC 4-22-2-24; and
(2) deliver a copy of the statement, along with the proposed
rule, to the small business ombudsman designated under
IC 5-28-17-5 not later than the date of publication under
subdivision (1). As added by P.L.188-2005, SEC.4. Amended by P.L.1-2006, SEC.75;
P.L.123-2006, SEC.17; P.L.110-2010, SEC.5.
IC 4-22-2.1-6 Review by economic development corporation; consideration of
written comments by agency
Sec. 6. (a) Not later than seven (7) days before the date of the
public hearing set forth in the agency's notice under IC 4-22-2-24, the
corporation shall do the following:
(1) Review the proposed rule and economic impact statement
submitted to the corporation by the agency under section 5(c)
of this chapter.
(2) Submit written comments to the agency on the proposed rule
and the economic impact statement prepared by the agency
under section 5 of this chapter. The corporation's comments
may:
(A) recommend that the agency implement one (1) or more
of the regulatory alternatives considered by the agency under
section 5(a)(5) of this chapter;
(B) suggest regulatory alternatives not considered by the
agency under section 5(a)(5) of this chapter;
(C) recommend any other changes to the proposed rule that
would minimize the economic impact of the proposed rule
on small businesses; or
(D) recommend that the agency abandon or delay the
rulemaking action until:
(i) more data on the impact of the proposed rule on small
businesses can be gathered and evaluated; or
(ii) less intrusive or less costly alternative methods of
achieving the purpose of the proposed rule can be
effectively implemented with respect to small businesses.
(b) Upon receipt of the corporation's written comments under
subsection (a), the agency shall make the comments available:
(1) for public inspection and copying at the offices of the
agency under IC 5-14-3;
(2) electronically through the electronic gateway administered
under IC 4-13.1-2-2(a)(5) by the office of technology; and
(3) for distribution at the public hearing required by
IC 4-22-2-26.
(c) Before finally adopting a rule under IC 4-22-2-29, and in the
same manner that the agency considers public comments under
IC 4-22-2-27, the agency must fully consider the comments
submitted by the corporation under subsection (a). After considering
the comments under this subsection, the agency may:
(1) adopt any version of the rule permitted under IC 4-22-2-29;
or
(2) abandon or delay the rulemaking action as recommended by
the corporation under subsection (a)(2)(D), if applicable. As added by P.L.188-2005, SEC.4. Amended by P.L.198-2007,
SEC.1.
IC 4-22-2.1-7 Review of rule before readoption
Sec. 7. Before an agency may act under IC 4-22-2.5 to readopt a
rule to which the chapter applies, the agency must conduct the
review required under IC 4-22-2.5-3.1. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1-8 Small businesses' right of action to determine agency's compliance
Sec. 8. (a) This section applies to a small business that is
adversely affected or aggrieved by a rule that:
(1) is subject to this chapter;
(2) is finally adopted by an agency under IC 4-22-2-29; and
(3) has taken effect under IC 4-22-2-36.
(b) In addition to or instead of filing a complaint with the
administrative rules oversight committee under IC 2-5-18-8, and
subject to subsection (c), a small business described in subsection (a)
may file, in a court having jurisdiction, an action seeking a
determination of the agency's compliance with the requirements of
this chapter during the rulemaking process. Upon receipt of a
complaint under this section, the court shall, at the earliest date
possible, hear evidence on the matter and make a determination as to
the agency's compliance with this chapter during the rulemaking
process. If the court determines that the agency failed to comply with
one (1) or more requirements of this chapter, the court may issue an
order or injunction enjoining the agency from enforcing the rule with
respect to the complaining small business and any similarly situated
small businesses. A determination of the court under this section is
final, subject to the right of direct appeal by either party.
(c) A small business that seeks a determination by a court under
subsection (b) must file the action described in subsection (b) not
later than one year (1) after the date the rule described in subsection
(a) takes effect under IC 4-22-2-36. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1
Chapter 2.1. Rules Affecting Small Businesses
IC 4-22-2.1-1 Application of chapter; exemption for certain rules
Sec. 1. Except for a rule that is the subject of a rulemaking action
under IC 13-14-9, IC 22-12, IC 22-13, IC 22-14, or IC 22-15, this
chapter applies to a rule for which the notice required by
IC 4-22-2-23 is published by an agency after June 30, 2005. As added by P.L.188-2005, SEC.4. Amended by P.L.139-2007,
SEC.1.
IC 4-22-2.1-2 Application of definitions in rulemaking statute
Sec. 2. The definitions in IC 4-22-2-3 apply throughout this
chapter. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1-3 "Corporation"
Sec. 3. As used in this chapter, "corporation" refers to the Indiana
economic development corporation established by IC 5-28-3-1. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1-4 "Small business"
Sec. 4. As used in this chapter, "small business" has the meaning
set forth in IC 5-28-2-6. As added by P.L.188-2005, SEC.4. Amended by P.L.110-2010,
SEC.4.
IC 4-22-2.1-5 Rules affecting small businesses; economic impact statement
required; full implementation of rules; submission of statement to
small business ombudsman
Sec. 5. (a) If an agency intends to adopt a rule under IC 4-22-2
that will impose requirements or costs on small businesses, the
agency shall prepare a statement that describes the annual economic
impact of a rule on all small businesses after the rule is fully
implemented as described in subsection (b). The statement required
by this section must include the following:
(1) An estimate of the number of small businesses, classified by
industry sector, that will be subject to the proposed rule.
(2) An estimate of the average annual reporting, record keeping,
and other administrative costs that small businesses will incur
to comply with the proposed rule.
(3) An estimate of the total annual economic impact that
compliance with the proposed rule will have on all small
businesses subject to the rule. The agency is not required to
submit the proposed rule to the office of management and
budget for a fiscal analysis under IC 4-22-2-28 unless the
estimated economic impact of the rule is greater than five
hundred thousand dollars ($500,000) on all regulated entities,
as set forth in IC 4-22-2-28.
(4) A statement justifying any requirement or cost that is:
(A) imposed on small businesses by the rule; and
(B) not expressly required by:
(i) the statute authorizing the agency to adopt the rule; or
(ii) any other state or federal law.
The statement required by this subdivision must include a
reference to any data, studies, or analyses relied upon by the
agency in determining that the imposition of the requirement or
cost is necessary.
(5) A regulatory flexibility analysis that considers any less
intrusive or less costly alternative methods of achieving the
purpose of the proposed rule. The analysis under this
subdivision must consider the following methods of minimizing
the economic impact of the proposed rule on small businesses:
(A) The establishment of less stringent compliance or
reporting requirements for small businesses.
(B) The establishment of less stringent schedules or
deadlines for compliance or reporting requirements for small
businesses.
(C) The consolidation or simplification of compliance or
reporting requirements for small businesses.
(D) The establishment of performance standards for small
businesses instead of design or operational standards
imposed on other regulated entities by the rule.
(E) The exemption of small businesses from part or all of the
requirements or costs imposed by the rule.
If the agency has made a preliminary determination not to
implement one (1) or more of the alternative methods
considered, the agency shall include a statement explaining the
agency's reasons for the determination, including a reference to
any data, studies, or analyses relied upon by the agency in
making the determination.
(b) For purposes of subsection (a), a proposed rule will be fully
implemented with respect to small businesses after:
(1) the conclusion of any phase-in period during which:
(A) the rule is gradually made to apply to small businesses
or certain types of small businesses; or
(B) the costs of the rule are gradually implemented; and
(2) the rule applies to all small businesses that will be affected
by the rule.
In determining the total annual economic impact of the rule under
subsection (a)(3), the agency shall consider the annual economic
impact on all small businesses beginning with the first twelve (12)
month period after the rule is fully implemented. The agency may
use actual or forecasted data and may consider the actual and
anticipated effects of inflation and deflation. The agency shall
describe any assumptions made and any data used in determining the
total annual economic impact of a rule under subsection (a)(3).
(c) The agency shall:
(1) publish the statement required under subsection (a) in the
Indiana Register as required by IC 4-22-2-24; and
(2) deliver a copy of the statement, along with the proposed
rule, to the small business ombudsman designated under
IC 5-28-17-5 not later than the date of publication under
subdivision (1). As added by P.L.188-2005, SEC.4. Amended by P.L.1-2006, SEC.75;
P.L.123-2006, SEC.17; P.L.110-2010, SEC.5.
IC 4-22-2.1-6 Review by economic development corporation; consideration of
written comments by agency
Sec. 6. (a) Not later than seven (7) days before the date of the
public hearing set forth in the agency's notice under IC 4-22-2-24, the
corporation shall do the following:
(1) Review the proposed rule and economic impact statement
submitted to the corporation by the agency under section 5(c)
of this chapter.
(2) Submit written comments to the agency on the proposed rule
and the economic impact statement prepared by the agency
under section 5 of this chapter. The corporation's comments
may:
(A) recommend that the agency implement one (1) or more
of the regulatory alternatives considered by the agency under
section 5(a)(5) of this chapter;
(B) suggest regulatory alternatives not considered by the
agency under section 5(a)(5) of this chapter;
(C) recommend any other changes to the proposed rule that
would minimize the economic impact of the proposed rule
on small businesses; or
(D) recommend that the agency abandon or delay the
rulemaking action until:
(i) more data on the impact of the proposed rule on small
businesses can be gathered and evaluated; or
(ii) less intrusive or less costly alternative methods of
achieving the purpose of the proposed rule can be
effectively implemented with respect to small businesses.
(b) Upon receipt of the corporation's written comments under
subsection (a), the agency shall make the comments available:
(1) for public inspection and copying at the offices of the
agency under IC 5-14-3;
(2) electronically through the electronic gateway administered
under IC 4-13.1-2-2(a)(5) by the office of technology; and
(3) for distribution at the public hearing required by
IC 4-22-2-26.
(c) Before finally adopting a rule under IC 4-22-2-29, and in the
same manner that the agency considers public comments under
IC 4-22-2-27, the agency must fully consider the comments
submitted by the corporation under subsection (a). After considering
the comments under this subsection, the agency may:
(1) adopt any version of the rule permitted under IC 4-22-2-29;
or
(2) abandon or delay the rulemaking action as recommended by
the corporation under subsection (a)(2)(D), if applicable. As added by P.L.188-2005, SEC.4. Amended by P.L.198-2007,
SEC.1.
IC 4-22-2.1-7 Review of rule before readoption
Sec. 7. Before an agency may act under IC 4-22-2.5 to readopt a
rule to which the chapter applies, the agency must conduct the
review required under IC 4-22-2.5-3.1. As added by P.L.188-2005, SEC.4.
IC 4-22-2.1-8 Small businesses' right of action to determine agency's compliance
Sec. 8. (a) This section applies to a small business that is
adversely affected or aggrieved by a rule that:
(1) is subject to this chapter;
(2) is finally adopted by an agency under IC 4-22-2-29; and
(3) has taken effect under IC 4-22-2-36.
(b) In addition to or instead of filing a complaint with the
administrative rules oversight committee under IC 2-5-18-8, and
subject to subsection (c), a small business described in subsection (a)
may file, in a court having jurisdiction, an action seeking a
determination of the agency's compliance with the requirements of
this chapter during the rulemaking process. Upon receipt of a
complaint under this section, the court shall, at the earliest date
possible, hear evidence on the matter and make a determination as to
the agency's compliance with this chapter during the rulemaking
process. If the court determines that the agency failed to comply with
one (1) or more requirements of this chapter, the court may issue an
order or injunction enjoining the agency from enforcing the rule with
respect to the complaining small business and any similarly situated
small businesses. A determination of the court under this section is
final, subject to the right of direct appeal by either party.
(c) A small business that seeks a determination by a court under
subsection (b) must file the action described in subsection (b) not
later than one year (1) after the date the rule described in subsection
(a) takes effect under IC 4-22-2-36. As added by P.L.188-2005, SEC.4.
