Administrative Subpoena Response Guide

ADMINISTRATIVE SUBPOENA RESPONSE GUIDE — INDIANA

1. OVERVIEW OF ADMINISTRATIVE SUBPOENA AUTHORITY IN INDIANA

1.1 Governing Law

Indiana's administrative subpoena authority is governed by the Administrative Orders and Procedures Act (AOPA), codified at Indiana Code Article 4-21.5. The key statutory provisions include:

• Ind. Code § 4-21.5-3-22: Provides that an administrative law judge, at the request of any party or an agency, shall issue subpoenas. The ALJ may also issue subpoenas on the ALJ's own motion. Subpoenas are issued in accordance with the rules of procedure governing discovery, depositions, and subpoenas in civil actions in Indiana courts.
• Ind. Code § 4-21.5-3-19: Governs discovery in contested case proceedings, incorporating civil discovery standards.
• Ind. Code § 4-21.5-3-25: Establishes rules of evidence in contested cases.
• Ind. Code § 4-21.5-6-2: Provides for enforcement of subpoenas, discovery orders, and protective orders through the circuit or superior court. The court may compel compliance and impose sanctions for non-compliance, including contempt.
• Ind. Code § 4-21.5-1-8.5: Establishes the Office of Administrative Law Proceedings (OALP) as a centralized office for conducting administrative hearings.

1.2 Common Issuing Agencies

Indiana administrative subpoenas may be issued by or on behalf of numerous state agencies, typically through the Office of Administrative Law Proceedings (OALP) or agency-specific hearing processes:

• Office of Administrative Law Proceedings (OALP) — centralized administrative hearings (effective July 1, 2020)
• Indiana Department of Insurance (IDOI) — insurance regulation and enforcement
• Indiana Utility Regulatory Commission (IURC) — utility rate cases and compliance
• Indiana Department of Revenue (DOR) — tax assessments and appeals
• Indiana Department of Environmental Management (IDEM) — environmental enforcement
• Indiana Professional Licensing Agency (PLA) — professional licensing boards
• Indiana Department of Workforce Development (DWD) — unemployment insurance appeals
• Indiana Department of Health (IDOH) — health facility licensing
• Indiana Department of Financial Institutions (DFI) — banking and financial regulation
• Indiana Civil Rights Commission (ICRC) — discrimination investigations
• Indiana Alcohol and Tobacco Commission — alcohol licensing enforcement
• Indiana Family and Social Services Administration (FSSA) — Medicaid and public benefits

1.3 Types of Administrative Subpoenas

2. DEADLINE AND RESPONSE REQUIREMENTS

2.1 Calculating Response Deadlines

2.2 Key Timing Rules

• The AOPA does not prescribe a uniform statutory deadline for administrative subpoena compliance; the return date is set by the ALJ or in the subpoena
• Under Ind. Code § 4-21.5-3-22, subpoenas are issued in accordance with the rules governing civil subpoenas; Indiana Trial Rule 45 standards apply by analogy
• Motions to quash must be filed promptly after receipt of the subpoena, and before the compliance deadline
• OALP proceedings follow specific procedural rules; check the OALP website (www.in.gov/oalp/) for current rules and forms
• The ALJ has discretion to extend deadlines upon a showing of good cause
• If ordered by the ALJ, the sheriff in the county where the subpoena is to be served shall serve the subpoena
• Failure to timely object may result in waiver of certain grounds

3. INITIAL ASSESSMENT CHECKLIST

Upon receipt of an administrative subpoena, complete the following assessment:

3.1 Subpoena Validity

☐ Verify the subpoena was issued by an ALJ, OALP hearing officer, or agency with statutory authority under Ind. Code § 4-21.5-3-22 or the agency's enabling statute
☐ Confirm proper service (personal service by sheriff or as authorized by ALJ order, or as specified in the subpoena)
☐ Check that the subpoena identifies the issuing authority, case/docket number, and nature of the proceeding
☐ Verify the return date allows reasonable time for compliance
☐ Confirm the subpoena describes the documents or testimony sought with reasonable particularity
☐ Determine whether the subpoena was issued in a pending OALP contested case or under separate agency investigative authority

3.2 Jurisdiction and Scope

☐ Determine whether the agency has subject-matter jurisdiction over the underlying dispute
☐ Verify the agency has personal jurisdiction over the subpoena recipient
☐ Assess whether the documents or testimony sought are relevant to the proceeding
☐ Evaluate the temporal scope (date ranges) of the demand
☐ Determine whether the subpoena purports to reach beyond Indiana's borders
☐ Identify whether the recipient is a party or a third-party witness to the proceeding
☐ Verify that the proceeding is within OALP jurisdiction (if applicable)

3.3 Privilege and Confidentiality Review

☐ Identify documents potentially protected by attorney-client privilege
☐ Identify documents potentially protected by work product doctrine
☐ Assess whether trade secrets or proprietary information are implicated (Ind. Code § 24-2-3, Indiana Uniform Trade Secrets Act)
☐ Determine if protected health information is at issue (HIPAA / Ind. Code § 34-46-3, physician-patient privilege)
☐ Consider Indiana Access to Public Records Act (APRA) exemptions (Ind. Code § 5-14-3-4)
☐ Evaluate Fifth Amendment self-incrimination concerns for individual recipients
☐ Assess clergy-penitent privilege (Ind. Code § 34-46-3-1)
☐ Identify any other statutory or common law privileges under Indiana law

3.4 Burden and Proportionality Assessment

☐ Estimate the volume of potentially responsive documents
☐ Calculate the cost and time burden of compliance
☐ Determine whether the requests are proportional to the needs of the proceeding
☐ Identify whether less burdensome alternative sources exist
☐ Document the burden analysis for potential use in a motion to quash or modify

4. GROUNDS TO CHALLENGE AN ADMINISTRATIVE SUBPOENA

4.1 Recognized Grounds Under Indiana Law

☐ Lack of Statutory Authority: The issuing authority lacks subpoena power under Ind. Code § 4-21.5-3-22 or the agency's enabling statute
☐ Lack of Subject-Matter Jurisdiction: The underlying matter is outside the agency's jurisdiction
☐ Lack of Personal Jurisdiction: The recipient is not subject to Indiana agency jurisdiction
☐ Overbreadth: The subpoena seeks documents or testimony far exceeding the legitimate scope of the inquiry
☐ Undue Burden: Compliance would impose unreasonable cost, time, or operational disruption
☐ Vagueness: The subpoena fails to describe the demanded items with reasonable particularity
☐ Attorney-Client Privilege: Confidential communications between attorney and client
☐ Work Product Doctrine: Materials prepared in anticipation of litigation by or for an attorney
☐ Trade Secrets: Proprietary information requiring protection under Ind. Code § 24-2-3 (Indiana UTSA)
☐ Fifth Amendment: Compelled production would violate the privilege against self-incrimination
☐ Physician-Patient Privilege: Medical records protected under Ind. Code § 34-46-3
☐ Procedural Defects: Failure to comply with service, form, or other procedural requirements
☐ Relevance: The requested materials have no reasonable relationship to the proceeding
☐ Duplicative: The information is already available from other sources or already in the agency's possession
☐ Non-Compliance with Indiana Trial Rule 45: The subpoena fails to meet the standards applicable to civil subpoenas

5. RESPONSE LETTER TEMPLATE

[Letterhead]

[__/__/____]

[________________________________]
[Agency Name / Office of Administrative Law Proceedings]
[________________________________]
[Address Line 1]
[________________________________]
[City, State, ZIP]

Re: Response to Administrative Subpoena
OALP/Case/Docket No.: [________________________________]
Subpoena Dated: [__/__/____]

Dear [________________________________]:

This firm represents [________________________________] ("Respondent") in connection with the above-referenced administrative subpoena issued on [__/__/____], with a return date of [__/__/____].

Acknowledgment of Receipt

Respondent acknowledges receipt of the subpoena on [__/__/____] and provides this response pursuant to Indiana Code § 4-21.5-3-22 and applicable OALP rules.

Response to Specific Requests

Request No. [____]: [________________________________]

☐ Full Compliance: Respondent produces all responsive, non-privileged documents herewith. See Bates Nos. [________________________________].

☐ Partial Compliance with Objections: Respondent produces responsive, non-privileged documents to the extent described below, subject to the following objections:
[________________________________]
[________________________________]

☐ Objection — No Production: Respondent objects to this request on the following grounds:
[________________________________]
[________________________________]

[Repeat for each numbered request]

Privilege Log

To the extent any responsive documents have been withheld on the basis of privilege, a privilege log is attached hereto as Exhibit [____]. Respondent reserves the right to supplement the privilege log upon identification of additional privileged documents.

Request for Extension of Time

☐ Respondent respectfully requests an extension of [____] days, to [__/__/____], to complete the collection, review, and production of responsive documents. The basis for this request is:
[________________________________]

Request for Protective Order

☐ Respondent requests that any documents produced be subject to a protective order or confidentiality agreement to prevent public disclosure of trade secrets, proprietary business information, or other confidential materials, consistent with Ind. Code § 4-21.5-3-22 and Indiana Trial Rule 26(C).

Preservation of Rights

This response is made without waiver of any rights, objections, privileges, or defenses available to Respondent under Indiana Code Article 4-21.5, the Indiana Constitution, the United States Constitution, or any other applicable law.

Respectfully submitted,

[________________________________]
Attorney for Respondent
[________________________________]
[Indiana Bar No. ____]
[________________________________]
[Phone: ________________________________]
[Email: ________________________________]

6. MOTION TO QUASH OR MODIFY SUBPOENA

6.1 Caption and Filing

BEFORE THE [AGENCY NAME / OFFICE OF ADMINISTRATIVE LAW PROCEEDINGS]
STATE OF INDIANA

In the Matter of                    )
                                    )  Cause/Docket No. [________________]
[________________________________], )
                                    )
        Respondent.                 )
__________________________________ )

MOTION TO QUASH OR MODIFY ADMINISTRATIVE SUBPOENA

COMES NOW [________________________________] ("Movant"), by and through undersigned
counsel, and respectfully moves the Administrative Law Judge to quash or, in the
alternative, modify the administrative subpoena [duces tecum / ad testificandum]
issued on [__/__/____], and in support thereof states as follows:

6.2 Statement of Facts

1. On [__/__/____], the [Agency Name / ALJ] issued an administrative subpoena to Movant pursuant to Indiana Code § 4-21.5-3-22, commanding [production of documents / appearance for testimony] on or before [__/__/____].

2. The subpoena was served on Movant on [__/__/____] by [method of service].

3. The subpoena seeks: [________________________________]

4. [Additional relevant facts]

6.3 Memorandum of Law

I. LEGAL STANDARD

Under Indiana Code § 4-21.5-3-22, administrative subpoenas are issued "in accordance with the rules of procedure governing discovery, depositions, and subpoenas in civil actions in the courts." Accordingly, Indiana Trial Rule 45, which governs subpoenas in civil actions, provides the framework for evaluating the validity and scope of administrative subpoenas. The ALJ has authority to quash or modify a subpoena that imposes an undue burden, seeks privileged materials, or exceeds the scope of the proceeding.

II. THE SUBPOENA EXCEEDS THE AGENCY'S AUTHORITY

[Describe how the subpoena exceeds the agency's statutory authority or the scope of the OALP proceeding]

III. THE SUBPOENA IS OVERBROAD AND UNDULY BURDENSOME

The subpoena demands production of [________________________________], which far exceeds the reasonable scope of the underlying proceeding. Compliance would require Movant to [________________________________], at an estimated cost of $[____] and [____] hours of personnel time. Under Indiana Trial Rule 45(B), the court shall quash or modify a subpoena that subjects a person to undue burden.

IV. THE SUBPOENA SEEKS PRIVILEGED INFORMATION

[Describe applicable privileges — attorney-client, work product, trade secret, Fifth Amendment, physician-patient]

V. PROCEDURAL DEFECTS

[Describe any procedural defects]

6.4 Proposed Order

ORDER ON MOTION TO QUASH OR MODIFY SUBPOENA

Upon consideration of the Motion to Quash or Modify Administrative Subpoena
filed by [________________________________], and any opposition thereto, it is hereby:

☐ ORDERED that the subpoena issued on [__/__/____] is QUASHED in its entirety.

☐ ORDERED that the subpoena issued on [__/__/____] is MODIFIED as follows:
  [________________________________]
  [________________________________]

☐ ORDERED that the deadline for compliance is extended to [__/__/____].

☐ ORDERED that a protective order shall govern any production as follows:
  [________________________________]

Dated: [__/__/____]

________________________________________
Administrative Law Judge
[Office of Administrative Law Proceedings / Agency Name]

7. PRIVILEGE LOG FORMAT

7.1 Common Privilege Designations

• AC: Attorney-Client Privilege
• WP: Work Product Doctrine
• TS: Trade Secret / Proprietary Information (Ind. Code § 24-2-3)
• 5A: Fifth Amendment Privilege Against Self-Incrimination
• PP: Physician-Patient Privilege (Ind. Code § 34-46-3)
• CLER: Clergy-Penitent Privilege (Ind. Code § 34-46-3-1)
• HIPAA: Protected Health Information
• APRA: Access to Public Records Act Exemption (Ind. Code § 5-14-3-4)
• JOINT: Joint Defense / Common Interest Privilege
• STAT: Other Statutory Privilege (identify specific statute)

8. COMPLIANCE PROCEDURES

8.1 Document Collection and Organization

☐ Identify all custodians likely to possess responsive documents
☐ Issue litigation hold / preservation notice to all identified custodians
☐ Collect documents from all relevant sources (email, network drives, cloud storage, paper files, messaging platforms, mobile devices)
☐ Maintain chain of custody documentation throughout the collection process
☐ Organize documents by request number or topical category
☐ Remove exact duplicates to reduce unnecessary volume

8.2 Bates Numbering and Production

☐ Apply sequential Bates numbers to all documents produced (e.g., RESP-IN-000001)
☐ Produce documents in the format specified in the subpoena or agreed upon with the agency or ALJ
☐ If no format is specified, produce in the format in which documents are ordinarily maintained
☐ For electronically stored information (ESI), produce in native format, PDF, or TIFF with load files as appropriate
☐ Prepare a document index cross-referencing Bates numbers to subpoena request numbers
☐ Apply redactions for privileged or confidential content (and note on privilege log)

8.3 Production Cover Letter

The production cover letter should include:

☐ Identification of the subpoena being responded to (date, docket number, OALP cause number)
☐ Bates range of documents produced (e.g., RESP-IN-000001 through RESP-IN-[______])
☐ Identification of which requests are addressed by the production
☐ Statement of any objections preserved
☐ Reference to accompanying privilege log (if applicable)
☐ Statement regarding rolling or supplemental productions (if applicable)
☐ Reservation of rights

8.4 Witness Preparation (Subpoena Ad Testificandum)

☐ Identify the designated witness and confirm availability for the hearing date
☐ Review the scope of the subpoena to determine subject areas for testimony
☐ Prepare the witness on relevant facts, documents, and potential areas of examination
☐ Review OALP procedural rules governing testimony
☐ Confirm the right of counsel to attend and make objections during testimony
☐ Address any confidentiality or privilege concerns regarding testimony
☐ Review the rules of evidence applicable in the proceeding (Ind. Code § 4-21.5-3-25)

9. CONSEQUENCES OF NON-COMPLIANCE

9.1 Enforcement Mechanisms

Under Indiana law, failure to comply with a lawfully issued administrative subpoena may result in:

9.2 Judicial Enforcement Process Under Ind. Code § 4-21.5-6-2

1. The agency, a party, or the ALJ may file a petition for enforcement in the circuit or superior court of the county where the person was served or resides
2. The petition identifies the subpoena, the non-compliance, and the relief sought
3. The court reviews the subpoena for compliance with statutory authority and applicable law
4. If the court finds the subpoena valid, it issues an order compelling compliance
5. If ordered by the ALJ, the sheriff in the county where the order is to be served shall serve the subpoena or enforcement order
6. Failure to comply with the court order subjects the person to contempt sanctions

10. INDIANA-SPECIFIC PRACTICE NOTES

10.1 Office of Administrative Law Proceedings (OALP)

Effective July 1, 2020, Indiana established the Office of Administrative Law Proceedings (OALP) to centralize administrative hearings. OALP employs administrative law judges who preside over contested cases for various state agencies. Key points:

• OALP is located in Indianapolis and conducts hearings statewide
• OALP has its own procedural rules that supplement the AOPA
• Subpoena requests in OALP proceedings are directed to the assigned ALJ
• OALP forms and rules are available at https://www.in.gov/oalp/
• Not all agencies use OALP; some retain their own hearing processes

10.2 Indiana Trial Rule 45 Standards

Because Ind. Code § 4-21.5-3-22 incorporates civil procedure standards, Indiana Trial Rule 45 provides critical guidance for subpoena practice, including:

• Requirements for the form and content of subpoenas
• Service requirements (personal service or service by the sheriff)
• Grounds to quash or modify (undue burden, privilege, overbreadth)
• Protection for persons subject to subpoenas
• Duties of the issuing party regarding witness fees and mileage

10.3 Discovery in OALP Proceedings

Under Ind. Code § 4-21.5-3-19, discovery in contested cases is governed by the ALJ's discretion, subject to civil procedure standards. The ALJ may limit discovery that is:

• Unreasonably cumulative or duplicative
• Obtainable from other more convenient sources
• Unduly burdensome or expensive in proportion to the proceeding

10.4 Indiana Odyssey Case Management System

Indiana courts use the Odyssey case management system. If enforcement proceedings are filed in circuit or superior court, monitor the case through the MyCase portal (https://public.courts.in.gov/mycase/). Filings may be made electronically through the Indiana E-Filing System (IEFS).

10.5 Witness Fees

Under Indiana Trial Rule 45 and Ind. Code § 33-37-10-2, witnesses subpoenaed in Indiana are entitled to a witness fee and mileage. The party requesting the subpoena is typically responsible for these costs. Current witness fees should be confirmed at the time of subpoena issuance.

11. SOURCES AND REFERENCES

• Indiana Code Article 4-21.5 (Administrative Orders and Procedures Act)
• Indiana Code § 4-21.5-3-22 (Subpoenas)
• Indiana Code § 4-21.5-6-2 (Enforcement of subpoenas)
• Indiana Trial Rules, Rule 45 (Subpoenas)
• Indiana Code § 24-2-3 (Uniform Trade Secrets Act)
• Indiana Code § 5-14-3 (Access to Public Records Act)
• Office of Administrative Law Proceedings: https://www.in.gov/oalp/
• Indiana MyCase: https://public.courts.in.gov/mycase/

12. KEY DEADLINES TRACKER

This guide is intended for use by licensed attorneys in the State of Indiana. It does not constitute legal advice and should be adapted to the specific facts and circumstances of each matter. Always verify current statutory authority and agency-specific rules before relying on this guide.