Regulatory Comment Letter

REGULATORY COMMENT LETTER — INDIANA

Overview of Indiana Regulatory Comment Framework

Indiana's regulatory framework is governed primarily by two statutes: the Administrative Orders and Procedures Act (AOPA), codified at Indiana Code Article 4-21.5, and the rulemaking statute at Indiana Code Article 4-22-2. The AOPA governs adjudicatory proceedings and general administrative procedure, while IC 4-22-2 specifically governs the adoption, amendment, and repeal of administrative rules. Indiana also requires Governor's Office review through the Office of Management and Budget (OMB) for regulatory matters.

This template covers regulatory comments beyond formal notice-and-comment rulemaking, including comments on existing regulations, requests for regulatory interpretation, guidance document comments, enforcement policy comments, waiver and variance requests, and petitions for declaratory proceedings.

Key Indiana Regulatory Agencies Accepting Comments

• Indiana Department of Environmental Management (IDEM) — Environmental regulations (327 IAC, 329 IAC)
• Indiana Department of Insurance (IDOI) — Insurance regulations (760 IAC)
• Indiana Utility Regulatory Commission (IURC) — Utility regulation (170 IAC)
• Indiana Department of Revenue (DOR) — Tax regulations (45 IAC)
• Indiana Department of Health (ISDH) — Health regulations (410 IAC)
• Indiana Department of Labor (IDOL) — Occupational safety, wage regulations (610 IAC)
• Indiana Department of Workforce Development (DWD) — Employment regulations (646 IAC)
• Indiana Department of Natural Resources (DNR) — Natural resources regulations (312 IAC)
• Indiana Family and Social Services Administration (FSSA) — Medicaid, social services (405 IAC)
• Indiana Office of Management and Budget (OMB) — Regulatory oversight and approval

Types of Regulatory Comments Covered

☐ Comment on proposed rule (IC 4-22-2-23)
☐ Second comment period comment (IC 4-22-2-24)
☐ Comment on existing regulation interpretation
☐ Guidance document or nonrule policy document comment (IC 4-22-2-19.5)
☐ Enforcement policy comment
☐ Waiver or variance request
☐ Petition for declaratory proceeding
☐ No-action letter request
☐ Request for regulatory interpretation or advisory opinion
☐ Comment on emergency or interim rule (IC 4-22-2-37.1)

FORMAL REGULATORY COMMENT LETTER

Letterhead Block

[________________________________]
[LAW FIRM / ORGANIZATION NAME]
[________________________________]
[Street Address]
[________________________________]
[City, State ZIP Code]
[________________________________]
[Telephone]
[________________________________]
[Email Address]

Date: [__/__/____]

VIA: ☐ Electronic Submission ☐ U.S. Mail ☐ Hand Delivery ☐ Indiana Register Online Portal

[________________________________]
[Name of Agency Contact / Rules Coordinator]
[________________________________]
[Agency Name]
[________________________________]
[Division / Bureau, if applicable]
[________________________________]
[Agency Street Address]
[________________________________]
Indianapolis, Indiana [____]

RE: Line

Re: ☐ Comment on Proposed Rule / ☐ Request for Interpretation / ☐ Waiver Request / ☐ Petition for Declaratory Proceeding / ☐ Other

Indiana Administrative Code Citation: [____] IAC [____]-[____]-[____]
Indiana Register Citation: Vol. [____], No. [____], dated [__/__/____]
LSA Document No.: [________________________________]
Subject Matter: [________________________________]
Comment Period Deadline: [__/__/____]
Comment Period: ☐ First Comment Period ☐ Second Comment Period (IC 4-22-2-24)

I. INTRODUCTION AND IDENTIFICATION OF COMMENTER

Dear [________________________________]:

On behalf of [________________________________] ("Commenter"), this letter is submitted to [________________________________] ("Agency") regarding [________________________________].

Commenter Identification:

Interest and Standing:

The Commenter has a direct and substantial interest in this matter because:

☐ The Commenter is directly regulated by the Agency under [____] IAC [____]
☐ The Commenter is an Indiana business that will be affected by the regulation
☐ The Commenter represents [____] members/constituents subject to the regulation
☐ The Commenter has expertise relevant to the subject matter
☐ The Commenter is a unit of local government affected by the regulation
☐ Other: [________________________________]

[________________________________]
[Describe the specific nature of the Commenter's interest, including how the regulation, interpretation, or guidance at issue affects the Commenter's operations, rights, or obligations.]

II. BACKGROUND AND FACTUAL CONTEXT

A. Regulatory Provision at Issue

The regulatory provision(s) at issue are:

1. [____] IAC [____]-[____]-[____]: [________________________________]
2. [____] IAC [____]-[____]-[____]: [________________________________]
3. Enabling Statute: Indiana Code § [________________________________]

B. Indiana Rulemaking Context

☐ This comment relates to a proposed rule published in the Indiana Register (first comment period)
☐ This comment relates to a proposed rule in its second comment period under IC 4-22-2-24
☐ This comment relates to an emergency or interim rule under IC 4-22-2-37.1
☐ This comment relates to a nonrule policy document under IC 4-22-2-19.5
☐ This comment relates to an existing final rule
☐ This comment relates to a regulatory restriction under IC 4-22-2.6

Note on Indiana's Two-Stage Comment Process: Under IC 4-22-2-24, if an agency receives substantive comments during the first comment period, or if the proposed rule is more stringent than an applicable federal requirement, the agency must conduct a second public comment period and hearing. Both oral and written comments carry equal weight. All required documents must be published at least 30 days before the public hearing.

C. Factual Background

[________________________________]
[Provide a detailed factual narrative describing the circumstances giving rise to this comment. Include relevant dates, transactions, business operations, compliance history, and any prior agency communications.]

D. Compliance Context

☐ The Commenter is currently in compliance and seeks clarification
☐ The Commenter has identified an ambiguity requiring interpretation
☐ The Commenter cannot comply as currently written and seeks a waiver
☐ The Commenter believes the regulation exceeds statutory authority
☐ The Commenter believes the regulation is more stringent than applicable federal requirements (IC 4-22-2-24)
☐ The Commenter believes the regulation conflicts with Indiana or federal law
☐ Other: [________________________________]

E. Governor's Office / OMB Regulatory Review

Indiana's OMB oversees the administrative rulemaking process. Before a rule can be proposed, agencies must obtain OMB approval. The Commenter notes the following regarding OMB review:

☐ OMB has approved this rulemaking for publication
☐ The Commenter has separately communicated with OMB regarding this rulemaking
☐ The Commenter requests OMB review of this comment
☐ Not applicable

F. Prior Communications with Agency

☐ No prior communications regarding this matter
☐ Prior informal inquiry on [__/__/____] — Response received: ☐ Yes ☐ No
☐ Prior formal petition on [__/__/____] — Disposition: [________________________________]
☐ Prior enforcement action — Case No. [________________________________]
☐ Participation in preliminary rulemaking meetings — Date(s): [________________________________]
☐ Other: [________________________________]

III. LEGAL ANALYSIS

A. Statutory Authority

The Agency's authority to adopt and administer the regulation at issue derives from Indiana Code § [________________________________]. Under Indiana law, an agency rule must be within the scope of authority granted by the enabling statute.

[________________________________]
[Analyze whether the regulation is within the Agency's statutory authority. Cite relevant provisions of the enabling statute and assess whether the Agency's interpretation is consistent with legislative intent.]

B. Regulatory Text Analysis

[________________________________]
[Provide a close textual analysis of the Indiana Administrative Code provision at issue. Identify ambiguities, undefined terms, or provisions susceptible to more than one reasonable interpretation.]

C. Federal Stringency Analysis (IC 4-22-2-24)

Under IC 4-22-2-24, a second public comment period is required if a proposed rule "establishes a requirement or limitation that is more stringent than an applicable federal requirement or limitation." The Commenter's analysis of federal stringency:

☐ The proposed rule is more stringent than the federal requirement at [________________________________]
☐ The proposed rule is consistent with the federal requirement
☐ No applicable federal requirement exists
☐ Analysis: [________________________________]

D. Consistency with Indiana Rulemaking Requirements

Under IC 4-22-2, agencies must comply with procedural requirements, including:

☐ Approval by OMB before publication of notice of intent
☐ Publication of notice of intent at least 28 days before filing proposed rule (IC 4-22-2-23)
☐ Publication of proposed rule at least 30 days before public hearing
☐ Fiscal impact analysis
☐ Small business regulatory flexibility analysis
☐ Environmental impact consideration (if applicable under IC 4-22-2-32)
☐ Second comment period if substantive comments received (IC 4-22-2-24)
☐ Written response to comments summarizing comments and agency's rationale

[________________________________]
[Analyze compliance with Indiana rulemaking requirements as applicable.]

E. Economic and Practical Impact

[________________________________]
[Provide detailed analysis of the economic and practical impact. Indiana's rulemaking process requires agencies to consider the economic effect on regulated entities.]

F. Alternative Approaches

[________________________________]
[Propose alternative regulatory approaches that achieve the Agency's statutory objectives while reducing burden on regulated entities.]

IV. SPECIFIC REQUEST

Based on the foregoing analysis, the Commenter respectfully requests that the Agency:

☐ Adopt the Commenter's proposed interpretation of [____] IAC [____]-[____]-[____] as set forth herein

☐ Initiate a declaratory proceeding regarding the applicability of [________________________________] to the Commenter's circumstances

☐ Grant a waiver or variance from [____] IAC [____]-[____]-[____] based on the following grounds:

• ☐ Compliance would impose undue hardship
• ☐ The waiver would not jeopardize public health, safety, or welfare
• ☐ Alternative means of achieving the regulatory objective are available

☐ Amend the regulation as proposed in the attached redline draft

☐ Withdraw or modify the proposed rule to address the concerns identified herein

☐ Conduct a second comment period under IC 4-22-2-24 because the proposed rule is more stringent than the applicable federal requirement

☐ Issue a nonrule policy document clarifying the Agency's interpretation

☐ Modify enforcement policy regarding [________________________________]

☐ Other: [________________________________]

Proposed Language (if applicable):

Current text of [____] IAC [____]-[____]-[____]:

[________________________________]

Proposed revised text:

[________________________________]

V. SUPPORTING DOCUMENTATION

The following documents are submitted in support of this comment:

☐ Exhibit A: [________________________________]
☐ Exhibit B: [________________________________]
☐ Exhibit C: [________________________________]
☐ Exhibit D: [________________________________]
☐ Exhibit E: [________________________________]

VI. REQUEST FOR HEARING / ORAL PRESENTATION

☐ The Commenter requests an opportunity for oral comment at the public hearing

☐ The Commenter requests a public hearing if one has not yet been scheduled

☐ The Commenter requests a second public comment period and hearing under IC 4-22-2-24

☐ The Commenter does not request oral presentation at this time

Note: Under Indiana law, oral and written comments during public hearings carry equal weight.

VII. CERTIFICATION AND SIGNATURE

I hereby certify that the statements and representations contained in this letter are true and accurate to the best of my knowledge and belief, and that this comment is submitted in good faith.

Respectfully submitted,

___________________________________________
[________________________________]
[Name — Printed]

[________________________________]
[Title / Position]

[________________________________]
[Organization / Firm]

[________________________________]
[Indiana Attorney No., if applicable]

Date: [__/__/____]

COMMENT PREPARATION CHECKLIST

Before Drafting

☐ Identified the specific Indiana Administrative Code provision at issue
☐ Obtained complete text of the rule from Indiana Administrative Code
☐ Reviewed enabling statute in Indiana Code
☐ Reviewed Indiana Register publication (if proposed rule)
☐ Checked LSA Document Number and comment period deadline
☐ Determined whether this is first or second comment period
☐ Reviewed Agency's fiscal impact analysis
☐ Reviewed OMB approval documentation (if available)
☐ Identified whether the rule is more stringent than applicable federal requirement
☐ Verified submission requirements (format, address, electronic submission)

During Drafting

☐ Clearly identified the Commenter and stated the nature of the interest
☐ Cited specific Indiana Administrative Code provisions by title, article, rule, section
☐ Cited enabling statute provisions in Indiana Code
☐ Provided factual context with specificity
☐ Included economic impact data with supporting documentation
☐ Addressed federal stringency comparison under IC 4-22-2-24
☐ Proposed specific alternative language or approaches
☐ Addressed small business impact

Before Submission

☐ Reviewed for accuracy of all legal citations
☐ Confirmed comment is timely filed (before deadline)
☐ Attached all supporting exhibits referenced in letter
☐ Retained copy of comment and proof of submission
☐ Confirmed correct submission address and method
☐ Considered whether to request oral presentation at public hearing

TEMPLATE: REQUEST FOR REGULATORY INTERPRETATION / ADVISORY OPINION

To: [________________________________], General Counsel / Rules Coordinator
Agency: [________________________________]
Date: [__/__/____]

REQUEST FOR REGULATORY INTERPRETATION

The undersigned respectfully requests the Agency's interpretation of the following provision(s) of the Indiana Administrative Code:

Rule at Issue: [____] IAC [____]-[____]-[____]

Specific Question:
[________________________________]

Factual Context:
[________________________________]

Submitter's Proposed Interpretation:
[________________________________]

Basis for Request:
☐ The rule language is ambiguous
☐ Conflicting interpretations exist
☐ The submitter needs guidance for compliance planning
☐ The submitter is considering a transaction or business activity that may be affected
☐ Other: [________________________________]

TEMPLATE: COMMENT ON NONRULE POLICY DOCUMENT (IC 4-22-2-19.5)

To: [________________________________]
Agency: [________________________________]
Date: [__/__/____]

COMMENT ON NONRULE POLICY DOCUMENT

Pursuant to IC 4-22-2-19.5, the undersigned submits this comment on the following nonrule policy document:

Document Title: [________________________________]
Document Date: [__/__/____]
Subject Matter: [________________________________]

Comment:
[________________________________]

Note: Under Indiana law, a nonrule policy document does not have the force of law but describes the Agency's current approach to regulatory matters. These documents must be published on the Agency's website.

TEMPLATE: WAIVER / VARIANCE REQUEST

To: [________________________________]
Agency: [________________________________]
Date: [__/__/____]

REQUEST FOR WAIVER OF ADMINISTRATIVE RULE

The undersigned requests a waiver of the following provision of the Indiana Administrative Code:

Rule: [____] IAC [____]-[____]-[____]

Grounds for Waiver:
☐ Strict compliance would impose an undue financial burden
☐ The waiver would not compromise the health, safety, or welfare objectives of the rule
☐ The submitter proposes alternative compliance measures
☐ Unique circumstances justify the waiver

[________________________________]
[Detailed explanation of grounds for waiver]

Duration of Waiver Requested:
[________________________________]

Alternative Compliance Measures Proposed:
[________________________________]

AGENCY RESPONSE OBLIGATIONS AND TIMELINES

SOURCES AND REFERENCES

• Indiana Code Article 4-22-2 (Adoption of Administrative Rules): https://iga.in.gov/laws/current/ic/titles/4#4-22-2
• Indiana Administrative Orders and Procedures Act (IC 4-21.5): https://iga.in.gov/laws/current/ic/titles/4#4-21.5
• Indiana Office of Management and Budget — Rulemaking: https://www.in.gov/omb/rule-approval-process/
• Indiana Register: https://www.in.gov/legislative-services-agency/indiana-register/
• Indiana Administrative Code: https://www.in.gov/legislative-services-agency/indiana-administrative-code/

This template is provided for informational purposes only and does not constitute legal advice. You must have this template reviewed and customized by a qualified attorney licensed in Indiana before use. Legal requirements and agency procedures may change; verify all citations and procedures before submission.