Indiana ROC-1

Keep your business records accurate and avoid liability issues by using the Indiana ROC-1 Form to properly update your Responsible Officer information.

For businesses operating in Indiana, keeping the Department of Revenue (DOR) updated on who is legally responsible for the company is not just a formality—it is a critical safeguard. Indiana Form ROC-1, officially titled Correct/Change of Responsible Officer Information, is the designated document used to report changes in leadership, such as removing a former partner or adding a new corporate officer. This form ensures that the state knows exactly who to contact—and who to hold liable—for tax matters. It is essential for protecting outgoing officers from future tax liabilities incurred after they leave and for authorizing new leaders to manage the business’s tax affairs. There is a key limitation to this form: you cannot use it if the Internal Revenue Service (IRS) has required you to obtain a new Federal Identification Number (FEIN). In that scenario, the change is considered too significant for a simple update, and you must file a completely new business registration with the Indiana DOR.

How To File Form ROC-1

Filing this form requires physical submission; it cannot be filed electronically.

  1. Preparation: Fill out the form completely. You must also gather supporting documentation (like corporate minutes or resignation letters) to prove the change occurred.
  2. Signature: The form must be signed by an existing owner, partner, or corporate officer.
    • Crucial Rule: The person being removed cannot be the one who signs this request.
  3. Submission: Mail the signed form and your supporting documents to:
    Indiana Department of Revenue, Tax Administration
    P.O. Box 6197
    Indianapolis, IN 46206-6197
  4. Assistance: For questions, you can contact the DOR at (317) 232-2240.
How to Complete Indiana ROC-1 Form

How to Complete Indiana ROC-1 Form

Business Information

This section identifies the entity making the change.

  • Federal Identification Number (FEIN): Enter your business’s federal tax ID.
  • Indiana Taxpayer Identification Number (TID): Enter your state tax ID.
  • Legal Name of the Entity: Print the official legal name of the business.
  • Doing Business As Name (DBA): Enter the trade name, if different from the legal name.
  • Street Address, City, State, Zip Code: Enter the current business mailing address.

Old Responsible Officer Information

Complete this section to remove someone from the records.

  • Social Security No.: Enter the SSN of the officer leaving the position. (Mandatory for processing).
  • Name: Print the Last Name, First Name, Middle Initial, and Suffix of the outgoing officer.
  • Title: Enter their former job title.
  • Address, City, State, Zip Code: Enter their personal home address.
  • Effective Date: Enter the exact date their responsibility ended.
    • Documentation: You must attach proof of this date, such as corporate minutes, a resignation letter, or financial documents showing removal from bank accounts.

New Responsible Officer Information

Complete this section to add a new leader.

  • Social Security No.: Enter the SSN of the incoming officer.
  • Name: Print the full name of the new officer.
  • Title: Enter their new job title.
  • Address, City, State, Zip Code: Enter their personal home address.
  • Begin Date: Enter the start date of their new role.
    • Documentation: You must attach proof of their appointment, such as corporate minutes or documents showing they are now a signatory on bank accounts.

Affirmation And Signature

  • Affirmation: By signing, you verify that the changes are correct.
  • Signature: An existing authorized officer (not the one being removed) must sign here.
  • Phone: Provide a contact number.
  • Printed Name: Print the name of the signer.
  • Title: Enter the signer’s title.
  • Date: Enter the date the form was signed.
Back to top button