Administrative Hearing Request Packet - Indiana

ADMINISTRATIVE HEARING REQUEST PACKET

State of Indiana

Pursuant to Indiana Administrative Orders and Procedures Act (IC 4-21.5)

TABLE OF CONTENTS

1. Legal Framework
2. Cover Letter
3. Hearing Request Form
4. Statement of Issues
5. Statement of Facts
6. Legal Argument
7. Evidence and Exhibits
8. Request for Stay
9. Discovery Requests
10. Witness List
11. Proof of Service
12. Practitioner Notes

SECTION 1: LEGAL FRAMEWORK

1.1 Indiana Administrative Orders and Procedures Act (AOPA)

The Indiana Administrative Orders and Procedures Act, codified at IC 4-21.5-1-1 et seq., governs contested case proceedings before state agencies.

Key Statutory Provisions:

1.2 Contested Case Definition

Under IC 4-21.5-1-4, a "contested case" is a proceeding in which the legal rights, duties, or privileges of a party are required by statute or constitution to be determined by an agency after an opportunity for a hearing.

1.3 Right to Hearing

IC 4-21.5-3-6 provides that a party has the right to request a hearing within the time specified in the agency's notice. If no time is specified, the request must be filed within fifteen (15) days after receipt of the notice.

1.4 Administrative Law Judges

Many Indiana contested cases are heard by Administrative Law Judges (ALJs) from the Indiana Office of Administrative Law Proceedings (IOALP) or agency-designated hearing officers. The ALJ's proposed findings go to the agency for final decision.

1.5 Judicial Review

Pursuant to IC 4-21.5-5-1 et seq., a party aggrieved by a final agency action may seek judicial review in the appropriate court within 30 days of the agency's final decision.

SECTION 2: COVER LETTER

[LETTERHEAD]

[DATE]

VIA [CERTIFIED MAIL, RETURN RECEIPT REQUESTED / HAND DELIVERY / E-FILING]

[AGENCY NAME]
[ATTN: HEARING COORDINATOR / ADMINISTRATIVE LAW JUDGE / AS SPECIFIED]
[ADDRESS]
[CITY, INDIANA ZIP]

Re: Request for Administrative Hearing
Agency Action: [ORDER/NOTICE/DECISION] dated [DATE]
Agency Reference No.: [DOCKET/CASE NUMBER]
Respondent/Petitioner: [NAME]
Deadline to Request Hearing: [DATE]

Dear [NAME OR "SIR/MADAM"]:

Enclosed please find the Request for Administrative Hearing and supporting documents filed on behalf of [PARTY NAME] ("Respondent/Petitioner") pursuant to the Indiana Administrative Orders and Procedures Act, IC 4-21.5-3-6.

Enclosed Documents:

☐ Request for Administrative Hearing Form (Section 3)
☐ Statement of Issues (Section 4)
☐ Statement of Facts (Section 5)
☐ Legal Argument (Section 6)
☐ List of Exhibits with Copies (Section 7)
☐ Request for Stay of Enforcement (Section 8) [IF APPLICABLE]
☐ Discovery Requests (Section 9) [IF APPLICABLE]
☐ Witness List (Section 10)
☐ Copy of Agency Notice/Order Being Challenged
☐ Proof of Service (Section 11)
☐ Filing Fee: $[AMOUNT] [IF APPLICABLE]
☐ Fee Waiver Request [IF APPLICABLE]

This Request is timely filed within the [15-day / [NUMBER]-day] period specified in [THE NOTICE / IC 4-21.5-3-6].

Contact Information:

All communications regarding this matter should be directed to:

[NAME]
[FIRM, IF APPLICABLE]
[ADDRESS]
[CITY, STATE ZIP]
Telephone: [PHONE]
Email: [EMAIL]
Indiana Attorney No.: [NUMBER, IF APPLICABLE]

Please acknowledge receipt and provide confirmation of the hearing date, time, and location at your earliest convenience.

Respectfully submitted,

_________________________________
[NAME]
[TITLE]

Enclosures: As noted above

cc: [CLIENT]
[OTHER PARTIES, IF ANY]

SECTION 3: HEARING REQUEST FORM

STATE OF INDIANA

[AGENCY NAME]

REQUEST FOR ADMINISTRATIVE HEARING
Pursuant to IC 4-21.5-3-6

Part A: Party Information

Respondent/Petitioner (Party Requesting Hearing):

Representative/Attorney (if represented):

Additional Parties (if applicable):

Part B: Agency Action Information

Part C: Hearing Request

I hereby request an administrative hearing pursuant to IC 4-21.5-3-6 to contest the above-referenced agency action.

Type of Hearing Requested:

☐ Evidentiary hearing (full contested case hearing with testimony and evidence)
☐ Hearing on the record (based on written submissions)
☐ Informal conference (if available under agency rules)

Requested Relief:

☐ Reversal of the agency action
☐ Modification of the agency action as follows: [DESCRIBE]
☐ Remand for further proceedings
☐ Dismissal of charges/allegations
☐ Award of costs and fees
☐ Other: [SPECIFY]

Part D: Timeliness

This request is timely filed within the deadline specified in the Agency's notice [OR within 15 days as provided by IC 4-21.5-3-6].

Part E: Accessibility Accommodations

☐ No accommodations needed.

☐ The following accommodations are requested pursuant to the Americans with Disabilities Act:

[DESCRIBE NEEDED ACCOMMODATIONS - e.g., interpreter, accessible hearing location, assistive technology]

Part F: Scheduling Preferences

Dates/Times Unavailable:
[LIST ANY DATES WHEN PARTY OR COUNSEL IS UNAVAILABLE]

Estimated Length of Hearing:
[ESTIMATE - e.g., 2 hours, half day, full day, multiple days]

Preferred Hearing Location:
☐ Indianapolis (IOALP)
☐ Regional Office in [CITY]
☐ Other: [SPECIFY]
☐ No preference

Part G: Signature and Verification

I, [NAME], hereby verify under the penalties of perjury that the foregoing statements are true and correct to the best of my knowledge, information, and belief.

_________________________________
Signature

_________________________________
Print Name

_________________________________
Date

SECTION 4: STATEMENT OF ISSUES

4.1 Issues Presented for Hearing

The following issues are presented for determination at the administrative hearing:

Issue 1:

[STATE THE ISSUE CLEARLY AND CONCISELY]

Example formats:

• "Whether the Agency had sufficient evidence to find that Respondent violated IC [CITE]."
• "Whether the Agency's interpretation of 68 IAC [CITE] is correct."
• "Whether the penalty imposed is appropriate under the circumstances."

Supporting Authority: [CITE RELEVANT STATUTE, RULE, OR CASE]

Issue 2:

[STATE THE SECOND ISSUE]

Supporting Authority: [CITE]

Issue 3:

[STATE THE THIRD ISSUE, IF APPLICABLE]

Supporting Authority: [CITE]

Issue 4:

[STATE THE FOURTH ISSUE, IF APPLICABLE]

Supporting Authority: [CITE]

4.2 Summary of Position

[PROVIDE A BRIEF SUMMARY (1-2 PARAGRAPHS) OF RESPONDENT/PETITIONER'S OVERALL POSITION ON THE ISSUES]

SECTION 5: STATEMENT OF FACTS

5.1 Background

[PROVIDE RELEVANT BACKGROUND INFORMATION ABOUT THE PARTY - e.g., nature of business, license history, relationship with agency]

5.2 Chronology of Events

5.3 Facts Relating to Issue 1

[PROVIDE DETAILED FACTS RELEVANT TO ISSUE 1]

1. [FACT 1] (Supported by Exhibit [X])
2. [FACT 2] (Supported by Exhibit [X])
3. [FACT 3] (Supported by Exhibit [X])

5.4 Facts Relating to Issue 2

[PROVIDE DETAILED FACTS RELEVANT TO ISSUE 2]

1. [FACT 1] (Supported by Exhibit [X])
2. [FACT 2] (Supported by Exhibit [X])

5.5 Disputed Facts

The following facts are disputed and require evidentiary determination:

5.6 Undisputed Facts

The following facts are not disputed:

1. [UNDISPUTED FACT 1]
2. [UNDISPUTED FACT 2]
3. [UNDISPUTED FACT 3]

SECTION 6: LEGAL ARGUMENT

6.1 Standard of Review

In contested case proceedings under IC 4-21.5-3, the agency must base its decision on substantial evidence in the record. The agency bears the burden of proving the factual basis for its action by a preponderance of the evidence.

Applicable Standards:

• Factual Findings: Must be supported by substantial, reliable, and probative evidence. IC 4-21.5-3-27(d)(5).
• Legal Conclusions: Must be in accordance with law and agency rules.
• Penalty/Sanction: Must be appropriate and not arbitrary or capricious.

6.2 Argument on Issue 1

[ISSUE 1 RESTATED]

A. Applicable Law:

[CITE AND EXPLAIN THE RELEVANT STATUTE(S), RULE(S), AND/OR CASE LAW]

Under IC [CITE], [EXPLAIN THE LEGAL STANDARD OR REQUIREMENT].

The Indiana Court of Appeals has held that [CITE AND SUMMARIZE RELEVANT CASE LAW]. See [Case Name], [Citation].

B. Application to Facts:

[APPLY THE LAW TO THE SPECIFIC FACTS OF THIS CASE]

The evidence demonstrates that [EXPLAIN HOW THE FACTS SATISFY OR DO NOT SATISFY THE LEGAL STANDARD].

Specifically:

1. [POINT 1 WITH FACTUAL SUPPORT]
2. [POINT 2 WITH FACTUAL SUPPORT]
3. [POINT 3 WITH FACTUAL SUPPORT]

C. Conclusion on Issue 1:

For these reasons, the Agency's finding that [DESCRIBE FINDING] should be [REVERSED / MODIFIED / AFFIRMED IN PART] because [BRIEF EXPLANATION].

6.3 Argument on Issue 2

[ISSUE 2 RESTATED]

A. Applicable Law:

[CITE AND EXPLAIN]

B. Application to Facts:

[APPLY THE LAW TO THE FACTS]

C. Conclusion on Issue 2:

[STATE CONCLUSION]

6.4 Argument on Issue 3 (if applicable)

[REPEAT FORMAT AS NEEDED]

6.5 Argument Regarding Penalty/Remedy (if applicable)

A. Penalty Imposed by Agency:

The Agency has imposed the following penalty/remedy: [DESCRIBE]

B. Applicable Penalty Provisions:

Under [CITE STATUTE/RULE], the Agency may impose [DESCRIBE RANGE OF PENALTIES].

Factors to be considered include:

• [FACTOR 1]
• [FACTOR 2]
• [FACTOR 3]

C. Why the Penalty Should Be Modified:

The penalty imposed is [EXCESSIVE / INAPPROPRIATE / NOT SUPPORTED] because:

1. [REASON 1]
2. [REASON 2]
3. [REASON 3]

D. Recommended Penalty:

Respondent requests that any penalty be modified to: [DESCRIBE PROPOSED PENALTY]

6.6 Procedural Objections (if any)

☐ No procedural objections.

☐ Respondent raises the following procedural objections:

Objection 1: [DESCRIBE PROCEDURAL DEFECT]

Legal Basis: [CITE STATUTE/RULE VIOLATED]

Prejudice: [EXPLAIN HOW RESPONDENT WAS PREJUDICED]

Objection 2: [DESCRIBE]

SECTION 7: EVIDENCE AND EXHIBITS

7.1 Exhibit List

Note: Exhibits are attached to this Request and will be offered for admission at the hearing.

7.2 Description of Documentary Evidence

Exhibit A: Agency Order/Notice
The [ORDER/NOTICE] dated [DATE] sets forth the Agency's findings and the action being challenged.

Exhibit B: [TITLE]
[DESCRIBE THE DOCUMENT AND ITS RELEVANCE TO THE ISSUES]

Exhibit C: [TITLE]
[DESCRIBE THE DOCUMENT AND ITS RELEVANCE]

[CONTINUE FOR ALL EXHIBITS]

7.3 Authentication

Respondent will authenticate the exhibits through:

☐ Testimony of [WITNESS NAME]
☐ Business records certification (IC 34-43-1-4)
☐ Self-authentication (IRE 902)
☐ Stipulation with Agency counsel
☐ Other: [DESCRIBE]

7.4 Anticipated Agency Evidence

Based on the Agency's notice/order, Respondent anticipates the Agency will offer the following evidence:

SECTION 8: REQUEST FOR STAY OF ENFORCEMENT

8.1 Stay Request

☐ No stay requested. Proceed to Section 9.

☐ Stay requested. Respondent requests that enforcement of the Agency action be stayed pending the outcome of this contested case proceeding.

8.2 Agency Action to be Stayed

Respondent requests a stay of the following aspects of the Agency action:

☐ All provisions of the [ORDER/NOTICE] dated [DATE]
☐ The following specific provisions: [IDENTIFY]

8.3 Grounds for Stay

A. Likelihood of Success:

Respondent is likely to prevail on the merits because [BRIEF EXPLANATION - REFERENCE SECTION 6].

B. Irreparable Harm:

Without a stay, Respondent will suffer irreparable harm, including:

1. [DESCRIBE HARM - e.g., loss of license, business closure]
2. [DESCRIBE HARM - e.g., reputational damage]
3. [DESCRIBE HARM - e.g., financial losses that cannot be recovered]

C. Balance of Harms:

The harm to Respondent without a stay outweighs any harm to the Agency or public from granting a stay because:

[EXPLAIN]

D. Public Interest:

A stay serves the public interest because:

[EXPLAIN]

8.4 Proposed Stay Conditions

Respondent proposes the following conditions during the stay period:

☐ [CONDITION 1 - e.g., posting bond]
☐ [CONDITION 2 - e.g., interim compliance measures]
☐ [CONDITION 3 - e.g., reporting requirements]

8.5 Automatic Stay Provisions

☐ An automatic stay applies under [CITE STATUTE/RULE].
☐ No automatic stay applies; discretionary stay requested.

SECTION 9: DISCOVERY REQUESTS

9.1 Discovery Request

☐ No discovery requested. Proceed to Section 10.

☐ Discovery requested. Pursuant to IC 4-21.5-3-8 and 68 IAC 1-1-3 (or applicable agency rules), Respondent requests discovery as set forth below.

9.2 Document Requests

Respondent requests that the Agency produce copies of the following documents within [30] days:

Request No. 1:
All documents reviewed, relied upon, or considered by the Agency in issuing the [ORDER/NOTICE] dated [DATE].

Request No. 2:
All inspection reports, investigation reports, and field notes relating to [SUBJECT MATTER].

Request No. 3:
All correspondence, emails, and communications between the Agency and [IDENTIFY PARTIES] relating to this matter.

Request No. 4:
[ADDITIONAL DOCUMENT REQUEST]

Request No. 5:
[ADDITIONAL DOCUMENT REQUEST]

9.3 Interrogatories

Respondent propounds the following interrogatories to be answered within [30] days:

Interrogatory No. 1:
Identify each person who participated in the investigation leading to the [ORDER/NOTICE] and describe each person's role.

Interrogatory No. 2:
State the factual basis for each alleged violation set forth in the [ORDER/NOTICE].

Interrogatory No. 3:
Identify all witnesses the Agency intends to call at the hearing and summarize the expected testimony of each.

Interrogatory No. 4:
[ADDITIONAL INTERROGATORY]

9.4 Requests for Admission

Respondent requests that the Agency admit or deny the following within [30] days:

Request for Admission No. 1:
Admit that [FACT TO BE ADMITTED].

Request for Admission No. 2:
Admit that [FACT TO BE ADMITTED].

Request for Admission No. 3:
Admit that [FACT TO BE ADMITTED].

9.5 Deposition Notice

☐ No depositions requested at this time.

☐ Respondent intends to depose the following witnesses:

SECTION 10: WITNESS LIST

10.1 Respondent's Witnesses

Respondent intends to call the following witnesses at the hearing:

10.2 Expert Witnesses

☐ No expert witnesses.

☐ Respondent intends to call the following expert witnesses:

Expert reports will be disclosed [NUMBER] days before the hearing pursuant to [CITE RULE].

10.3 Subpoenas

☐ No subpoenas needed.

☐ Respondent requests the Agency issue subpoenas for the following witnesses:

☐ Respondent requests the Agency issue subpoenas duces tecum for the following documents:

SECTION 11: PROOF OF SERVICE

11.1 Certificate of Service

I hereby certify that on [DATE], I served a true and correct copy of this Administrative Hearing Request Packet, including all exhibits, on the following by the method indicated:

Agency:

[AGENCY NAME]
[ATTN: HEARING COORDINATOR]
[ADDRESS]
[CITY, INDIANA ZIP]

☐ First-class mail, postage prepaid
☐ Certified mail, return receipt requested (Tracking No.: [NUMBER])
☐ Hand delivery
☐ E-filing via [SYSTEM NAME]
☐ Email to: [EMAIL]

Agency Counsel (if known):

[NAME]
[ADDRESS]
Method: [DESCRIBE]

Other Parties (if any):

[NAME]
[ADDRESS]
Method: [DESCRIBE]

_________________________________
[NAME]
Date: [DATE]

PRACTITIONER NOTES

Indiana-Specific Considerations

1. Deadline to Request Hearing: Under IC 4-21.5-3-6, if the agency notice does not specify a deadline, the request must be filed within 15 days of receiving the notice. Always calendar this deadline immediately upon receipt of the agency notice.

2. Indiana Office of Administrative Law Proceedings (IOALP): Many contested cases are referred to IOALP for hearing before an Administrative Law Judge. The ALJ issues proposed findings that go to the ultimate authority (agency head or board) for final decision.

3. Discovery: IC 4-21.5-3-8 permits discovery in contested cases "to the extent provided by law or agency rule." Discovery is not automatic - review the specific agency's rules. The scope is generally more limited than in civil litigation.

4. Burden of Proof: The agency typically bears the burden of proving the factual basis for its action by a preponderance of the evidence. However, in license application denials, the applicant may bear the burden of proving entitlement to the license.

5. Evidence Rules: The Indiana Rules of Evidence apply, but are relaxed in administrative proceedings. Hearsay may be admitted if reliable and probative. IC 4-21.5-3-26.

6. Judicial Review: Under IC 4-21.5-5-13, the reviewing court may reverse agency action if it is:
   - Arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law
   - Contrary to constitutional right, power, privilege, or immunity
   - In excess of statutory jurisdiction, authority, or limitations
   - Without observance of procedure required by law
   - Unsupported by substantial evidence

7. Stay Pending Judicial Review: Under IC 4-21.5-5-8, the reviewing court may stay agency action pending review upon appropriate terms.

8. Attorney Fees: Under IC 4-21.5-5-16, the court may award reasonable attorney fees and expenses to a prevailing party if the agency acted without substantial justification.

Key Statutory Citations

Agency-Specific Rules

Review the specific agency's administrative rules in the Indiana Administrative Code (IAC). Common agency codes include:

Filing Checklist

☐ Confirm deadline to request hearing (15 days default)
☐ Review agency-specific rules for additional requirements
☐ Prepare complete hearing request packet
☐ Attach all supporting exhibits
☐ Include request for stay if needed
☐ Include discovery requests if needed
☐ List all witnesses and prepare summaries
☐ File within deadline via required method
☐ Serve all required parties
☐ Retain proof of filing and service
☐ Calendar prehearing conference date (if scheduled)
☐ Calendar hearing date when received
☐ Calendar judicial review deadline (30 days from final order)

Common Procedural Pitfalls

1. Missing deadline: The 15-day default is strictly enforced.
2. Wrong agency/address: Verify the correct filing location.
3. Incomplete packet: Include all required elements.
4. Failure to preserve issues: Raise all issues in the administrative proceeding to preserve them for judicial review.
5. Inadequate record: Ensure all evidence is properly submitted and made part of the record for judicial review.

Template Version 2.0 | Indiana Administrative Hearing Request Packet | Last Updated: January 2026