Agency Rulemaking Petition - Indiana

PETITION FOR RULEMAKING — INDIANA

COVER LETTER

[__/__/____]

[________________________________]
[Agency Head Name / Title]
[________________________________]
[Agency Name]
[________________________________]
[Street Address]
[________________________________]
[City, State, ZIP Code]

Re: Petition for Rulemaking Under IC 4-22-2-23
Requesting: ☐ Adoption ☐ Amendment ☐ Repeal of Administrative Rule
Subject Matter: [________________________________]

Dear [________________________________]:

Pursuant to Indiana Code 4-22-2-23, the undersigned petitioner(s) respectfully submit this Petition for Rulemaking requesting that [________________________________] [Agency Name] initiate rulemaking proceedings to [adopt/amend/repeal] a rule concerning [________________________________] [identify rule or subject area].

Under Indiana law, any interested person may petition an agency requesting the adoption, amendment, or repeal of any rule. This petition sets forth the reasons for the proposed action, the text of the proposed rule or amendment, and supporting documentation.

The petitioner(s) request that the Agency take this petition under consideration and provide a written response in accordance with the time periods established by Indiana law.

Respectfully submitted,

[________________________________]
[Petitioner Name / Title]
[________________________________]
[Organization / Firm Name]
[________________________________]
[Street Address]
[________________________________]
[City, State, ZIP Code]
[________________________________]
[Telephone Number]
[________________________________]
[Email Address]

FORMAL PETITION FOR RULEMAKING

BEFORE THE [________________________________] [AGENCY NAME]

STATE OF INDIANA

PETITION NO.: [____] (Agency Assigned)

I. IDENTIFICATION OF PETITIONER(S)

Primary Petitioner:

Additional Petitioner(s): ☐ See Attachment A for additional petitioners

Attorney/Representative (if applicable):

II. TYPE OF RULEMAKING ACTION REQUESTED

☐ Adoption of a new administrative rule
☐ Amendment of an existing administrative rule
☐ Repeal of an existing administrative rule

Existing Rule Citation (if amendment or repeal):
Indiana Administrative Code Title: [____] Article: [____] Rule: [____]

Proposed Rule Title: [________________________________]

Subject Matter Category: [________________________________]

III. STATEMENT OF NEED AND REASONS

A. Description of the Problem or Regulatory Gap

[________________________________]
[________________________________]
[________________________________]

This section must clearly identify: (1) the specific problem, harm, or regulatory gap requiring agency action; (2) the individuals, businesses, or entities affected; (3) the scope and severity of the problem; and (4) why rulemaking is the appropriate remedy.

B. Factual Basis Supporting the Petition

[________________________________]
[________________________________]
[________________________________]

Provide specific data, studies, incidents, or conditions supporting the need for the proposed rule, including:

☐ Documented incidents or complaints: [________________________________]
☐ Statistical data or research: [________________________________]
☐ Industry or practice changes: [________________________________]
☐ Federal regulatory developments: [________________________________]
☐ Court decisions: [________________________________]
☐ Technological changes: [________________________________]
☐ Other: [________________________________]

C. Inadequacy of Current Regulations

[________________________________]
[________________________________]
[________________________________]

Explain why existing rules (or the absence of rules) fail to address the problem.

IV. PROPOSED RULE LANGUAGE

A. Complete Text of Proposed Rule (New Adoption)

TITLE [____] INDIANA ADMINISTRATIVE CODE
ARTICLE [____]
RULE [____]

Section [____]. [Title of Proposed Section]

(a) [________________________________]
(b) [________________________________]
(c) [________________________________]
(d) [________________________________]

B. Proposed Amendment (Showing Changes)

For amendments, show current text and proposed changes:

Current Rule Text:
[________________________________]
[________________________________]

Proposed Rule Text (additions in [brackets], deletions in {braces}):
[________________________________]
[________________________________]

C. Proposed Repeal

If seeking repeal, identify the specific rule(s):

V. LEGAL AUTHORITY ANALYSIS

A. Agency Rulemaking Authority

The [________________________________] [Agency Name] possesses rulemaking authority under the following provisions:

1. Organic Statute: [________________________________]
   - Grant of rulemaking authority: [________________________________]
   - Section citation: IC [________________________________]

2. Indiana Administrative Rules Statute: IC 4-22-2 governs the adoption, amendment, and repeal of administrative rules by Indiana state agencies.

3. Additional Authority:
   - [________________________________]
   - [________________________________]

B. Petition Right Under Indiana Law

Under IC 4-22-2-23, any interested person may petition a state agency requesting the promulgation, amendment, or repeal of any rule. The petition procedure requires:

• The petitioner must be an "interested person" as defined in the statute
• The petition must set forth the reasons for the requested action
• The petition should include the text of the proposed rule or amendment
• The agency must consider the petition and respond

C. Indiana OMB and State Budget Agency Requirements

Under IC 4-22-2-22.8, prior to proposing a rule, the agency must submit the proposed rule to the Office of Management and Budget (OMB) and the State Budget Agency (SBA) along with a regulatory analysis. The petitioner should be aware that:

☐ The regulatory analysis must address fiscal impact on state and local government
☐ OMB and SBA must approve the regulatory analysis before the rule can proceed
☐ Small business impact must be evaluated
☐ Environmental impact must be assessed where applicable

D. Constitutional and Preemption Analysis

☐ The proposed rule does not violate the Indiana Constitution
☐ The proposed rule does not conflict with federal law or regulations
☐ The proposed rule is consistent with existing Indiana statutes
☐ Preemption analysis attached (if applicable): [________________________________]

VI. IMPACT ANALYSIS

A. Economic Impact

B. Regulatory Analysis Components (per IC 4-22-2-22.8)

The following components should be addressed consistent with Indiana OMB requirements:

☐ Description of affected persons and entities
☐ Fiscal impact on state government
☐ Fiscal impact on local government
☐ Impact on small businesses (fewer than 50 employees)
☐ Comparison with federal requirements (if applicable)
☐ Description of less intrusive regulatory alternatives considered
☐ Environmental impact assessment

C. Social and Community Impact

[________________________________]
[________________________________]

VII. PUBLIC INTEREST ARGUMENTS

A. Health and Safety Benefits

[________________________________]
[________________________________]

B. Consumer Protection Benefits

[________________________________]
[________________________________]

C. Economic Development Benefits

[________________________________]
[________________________________]

D. Consistency with State Policy

[________________________________]
[________________________________]

E. Stakeholder Support

VIII. SUPPORTING EVIDENCE AND EXHIBITS

IX. PETITIONER'S SPECIFIC REQUESTS

The petitioner(s) respectfully request that the [________________________________] [Agency Name]:

1. Acknowledge receipt of this petition in writing;

2. Initiate rulemaking proceedings in accordance with IC 4-22-2, including publication of notice of intent in the Indiana Register and opportunity for public comment;

3. Alternatively, if the Agency determines not to initiate rulemaking, provide a written denial with specific reasons for the denial;

4. Provide the petitioner with notice of all proceedings related to this petition;

5. Submit the proposed rule to OMB and SBA for regulatory analysis review (IC 4-22-2-22.8) if rulemaking is initiated;

6. Schedule a public hearing to receive testimony on the proposed rule.

X. VERIFICATION AND SIGNATURE

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

Petitioner Signature: ______________________________

Printed Name: [________________________________]

Title: [________________________________]

Date: [__/__/____]

Attorney Signature (if applicable): ______________________________

Printed Name: [________________________________]

Indiana Bar Number: [________________________________]

Date: [__/__/____]

FILING INSTRUCTIONS — INDIANA

Where to File

Primary Filing: File with the specific state agency that has jurisdiction over the subject matter of the proposed rule.

Agency Contact:

• Identify the agency's rules coordinator or general counsel
• Check the agency's website for specific filing requirements
• The Indiana Office of Management and Budget maintains a rulemaking docket

OMB Rulemaking Resources:
Indiana Office of Management and Budget
State House, Room 212
200 W. Washington Street
Indianapolis, IN 46204
Website: https://www.in.gov/omb/

How to File

☐ Deliver by certified mail, return receipt requested
☐ Hand-deliver to the agency (request date-stamped copy)
☐ Check whether the agency accepts electronic submission
☐ Retain a complete copy of the filed petition with proof of delivery

Filing Requirements

☐ Original petition plus copies as required by the specific agency
☐ All exhibits and supporting documents properly labeled
☐ Cover letter addressed to agency head or rules coordinator
☐ Proof of service retained by petitioner

Filing Fee

Indiana law does not generally impose a filing fee for petitions for rulemaking. Confirm with the specific agency.

AGENCY RESPONSE REQUIREMENTS

Agency Obligations Under IC 4-22-2-23

Upon receipt of a properly filed petition for rulemaking, the agency must:

1. Consider the petition — Review the petition, supporting evidence, and proposed rule text.

2. Respond to the petitioner — Within a reasonable period, the agency must either:
   - Grant the petition and initiate rulemaking under IC 4-22-2, or
   - Deny the petition in writing, stating the reasons for denial.

Indiana Rulemaking Process (If Petition Is Granted)

Provisional Rulemaking

For urgent matters, Indiana also allows provisional rulemaking under IC 4-22-2-37.1, which permits expedited adoption with gubernatorial approval.

Tracking Your Petition

☐ Record the date of filing and method of delivery
☐ Monitor the Indiana Register for rulemaking notices
☐ Check the agency's rulemaking docket (IC 4-22-2-22.5)
☐ Follow up in writing if no response received within 90 days
☐ Check OMB rulemaking tracking system

APPEAL OF DENIAL

Options if the Petition Is Denied

If the agency denies the petition for rulemaking, the petitioner may pursue the following remedies:

A. Judicial Review

• Under IC 4-21.5-5, a person aggrieved by final agency action may seek judicial review
• File a petition for judicial review in the appropriate Indiana court
• The court reviews whether the denial was:
  ☐ Arbitrary, capricious, or an abuse of discretion
  ☐ 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

B. Legislative Action

• Contact members of the Indiana General Assembly
• Request legislative committee review of the agency's denial
• Propose statutory changes that would mandate the desired rule

C. Renewed Petition

• Submit a revised petition addressing the agency's stated reasons for denial
• Provide additional evidence or data
• Demonstrate broader stakeholder support
• Wait a reasonable period before refiling

D. Governor's Office

• Contact the Governor's Office regarding the regulatory matter
• The Governor has oversight authority over executive branch agencies
• The Governor may direct an agency to initiate rulemaking

Standards for Judicial Review

Indiana courts apply the following standards when reviewing agency denials:

☐ Arbitrary and capricious standard
☐ Substantial evidence test
☐ Abuse of discretion standard
☐ Compliance with statutory procedures

DOCUMENT CHECKLIST

Pre-Filing Checklist

☐ Identified the correct agency with jurisdiction
☐ Researched agency-specific filing requirements
☐ Confirmed the agency's address and rules coordinator contact information
☐ Researched statutory authority for the proposed rule
☐ Reviewed the Indiana Administrative Code for existing rules on the subject
☐ Checked the Indiana Register for pending related rulemakings
☐ Reviewed the agency's rulemaking docket (IC 4-22-2-22.5)

Petition Components

☐ Cover letter addressed to agency head
☐ Formal petition with all required sections
☐ Statement of need and reasons
☐ Proposed rule language (complete text or amendments)
☐ Legal authority analysis with statutory citations
☐ Impact analysis (economic, regulatory, environmental)
☐ Public interest arguments
☐ Supporting exhibits properly labeled and indexed

Filing Requirements

☐ Petition signed and dated
☐ Attorney signature (if represented)
☐ Sufficient copies prepared
☐ Proof of filing obtained

Post-Filing Actions

☐ Calendar follow-up date (90 days recommended)
☐ Monitor Indiana Register for agency action
☐ Monitor OMB rulemaking docket
☐ Prepare for potential public hearing testimony
☐ Notify stakeholders and supporters of filing

PRACTICE TIPS FOR INDIANA PRACTITIONERS

Strengthening Your Petition

1. Understand the OMB/SBA review process. Indiana's unique requirement that proposed rules undergo fiscal analysis by OMB and SBA before formal rulemaking means your petition should proactively address fiscal impact concerns.

2. Engage the agency early. Before filing, consider requesting an informal meeting with the agency's rules coordinator to discuss the proposal. Many agencies welcome advance input.

3. Draft with precision. Indiana rulemaking follows a specific format. Model your proposed rule language on existing Indiana Administrative Code provisions for consistency.

4. Address small business impact. Indiana law requires agencies to evaluate impact on small businesses. Your petition should include data on how the proposed rule affects or benefits small enterprises.

5. Build legislative support. Members of the General Assembly can influence agency rulemaking priorities. Informing supportive legislators of your petition adds institutional weight.

6. Reference the rulemaking docket. Under IC 4-22-2-22.5, each agency must maintain a rulemaking docket. Request that your petition be entered on the docket.

7. Consider Governor's Executive Orders. Check current executive orders regarding regulatory reform that may support or affect your petition.

Common Pitfalls to Avoid

1. Ignoring the OMB review requirement. Failing to address fiscal impact undermines the petition's credibility.
2. Filing with the wrong agency. Verify the agency's statutory jurisdiction over the subject matter.
3. Proposing rule language beyond agency authority. Ensure the proposed rule falls within the agency's organic statute.
4. Insufficient factual support. Petitions with robust data are taken more seriously than those with only policy arguments.
5. Failing to check for pending rulemaking. The agency may already be working on a related rule.

Timeline Expectations

• Initial acknowledgment: 2-6 weeks (agency-dependent)
• Substantive response: 60-180 days (no fixed statutory deadline)
• Rulemaking process (if initiated): 8-18 months from notice of intent to effective date
• OMB/SBA review period: 45-90 days typically

SOURCES AND REFERENCES

Primary Indiana Statutes

• IC 4-22-2 — Adoption of Administrative Rules (complete rulemaking chapter)
• IC 4-22-2-23 — Petition for Adoption, Amendment, or Repeal of Rules
• IC 4-22-2-22.5 — Agency Rulemaking Docket
• IC 4-22-2-22.8 — Regulatory Analysis and OMB/SBA Review
• IC 4-22-2-37.1 — Provisional Rulemaking
• IC 4-21.5 — Administrative Orders and Procedures Act
• IC 4-21.5-5 — Judicial Review of Agency Action

Administrative Resources

• Indiana Register — Official publication for rulemaking notices
• Indiana Office of Management and Budget: https://www.in.gov/omb/
• Indiana Legislative Services Agency: https://www.in.gov/legislative/
• Indiana Administrative Code: https://www.in.gov/legislative/iac/
• Attorney General's Rulemaking Page: https://www.in.gov/attorneygeneral/

Helpful References

• Indiana Continuing Legal Education Forum, Administrative Law Practice in Indiana
• Indiana State Bar Association, Administrative Law Section
• Office of Management and Budget, Administrative Rulemaking: Rulemaking Process Overview

This template is designed for use by Indiana attorneys and interested persons seeking to petition state agencies for rulemaking action. It should be adapted to the specific requirements of the target agency. All statutory citations should be verified for current accuracy before filing. This document does not constitute legal advice.