Table of Contents
Introduction
The purpose of this document is to provide attorneys, licensees, and other involved parties rules and structure for participating in licensing litigation. Failure to adhere to the rules and requirements of this document could result in the rejection of a filing and delay in obtaining resolution. The rules should be construed to secure just and speedy determination of every action brought before the adjudication bodies of Professional Licensing Agency (“PLA”).
Authority
PLA is responsible for performing the administrative functions, duties, and responsibilities assigned by law or rule of boards described under Ind. Code 25-0.5-7 (“PLA Boards”). PLA Boards govern specific professions and act as the administrative law judge for purposes of disciplinary and litigation actions. A full list of all the professions governed by PLA boards can be found here.
PLA Board hearings are governed by the Administrative Orders and Procedures Act (“AOPA”) found in Ind. Code ch. 4-21.5 and also by Title 25 of the Indiana Code. Furthermore, all PLA Board hearings and meetings are open to the public pursuant to the Indiana Open Door Law (“ODL”) found in Ind. Code ch. 5-14-1.5.
Types of Litigation
Litigation for PLA Boards is managed by the Office of Litigation Management (“OLM”). Under the authority of AOPA and Title 25, OLM manages three types of litigation related to licensees: initial discipline, review of licensure decision, and post discipline. Each type of litigation serves a different purpose, but they all generally follow the same procedures and processes as outline in this guidance document. The below chart provides a description of the purpose of each litigation and the relevant filings to initiate such litigation.
| Type | Purpose | Related Initial Filings |
|---|---|---|
| Initial Disciplinary | Litigation related to Licensing Violations | Administrative Complaint |
| Review of Licensure Decision | Litigation appealing the denial of licensure by board staff or as recommended by Administrative Law Judge | Petition for Review |
| Post Discipline | Litigation requested removal of probation or suspension from license or addressing probationary violations | Petition for Reinstatement |
Pleading Filing Requirements
An action before PLA Boards is initiated by filing a pleading (as discussed above) and continued through subsequent pleadings such as motions. All initial and subsequent pleadings must adhere to the formatting requirements below and be submitted through the Litigation Webform.
Formatting Requirements
All filings must adhere to the following formatting requirement. Failing to do so could result in the filing being rejected by OLM.
- Page Size: All pages in pleadings, motions, appearances, and orders must be 8 ½ by 11 inches.
- Margins: All pages must have 1 inch margins.
- Font: Times New Roman, including all page numbers headers, block quotes, footnotes and endnotes. Bold may only be used for the caption. Italics may only be used for type in foreign language or for emphasis within text. Underlining may be used only for document titles and section headings.
- Alignment: Left or justified aligned unless otherwise noted. Document titles and section headings may be center aligned.
- Font Size: 12-point, including all page numbers, headers, block quotes, footnotes and endnotes.
- Line Spacing: Single spaced for document title, captions, block quotes, footnotes, endnotes, signature blocks, and distribution sections. Double space for all other type.
- Caption: Every pleading must contain a caption including the name of the PLA Board, the title of the action, the file number, the name of the Respondent as it appears on the Respondent’s license, and license number(s). Caption should be BOLD type and all caps. The name of the board and cause number should be Right aligned with the remaining text in Left alignment.
- Paragraphs: All paragraphs must be numbered.
Appearances
Licensees are not required to be represented by an attorney. In the case that a licensee chooses to represent him/herself, PLA Boards, PLA counsel, nor counsel for the State can provide any legal guidance during the course of the litigation. It is recommended for licensees to obtain an attorney if they feel they cannot adequately handle the litigation process.
Any attorney appearing on behalf of the State or the licensee must provide his or her contact and licensure information in the Litigation Webform on an initial filing with the board OR file an appearance form with the PLA Board.
The following information must be included:
- The name, mailing address, telephone number and email address of the parties filing the form;
- The name, attorney number, mailing address, telephone number and email address of any attorney representing the party; and
- The caption and cause number of all related cases.
If a change of attorney occurs during the course of litigation, the new attorney (whether Respondent counsel or OAG attorney) must file a new appearance with the PLA Boards and send a copy of the new appearance to other parties. Former attorney should file a notice of withdrawal.
Motions and Orders
A request for action by a PLA Board during the course of litigation must be made by written motion. The motion must state what action the party wishes for the PLA Board to take and a brief description along with the legal authority as to why the PLA Board should take such action. All motions must include a separate proposed order. The Board has the option of approving or denying the proposed order or drafting an order of its own. FAILURE TO PROVIDE A PROPOSED ORDER AT THE INITIAL FILING WILL RESULT IN A DELAY IN THE MOTION BEING DECIDED UPON.
If a party wishes to hold a hearing on a motion, the motion must include a request for a hearing. If no hearing is requested, PLA Board will grant or deny the motion without hearing.
In the absence of circumstances that would create a hardship on a party and deny due process, PLA Boards will grant only one motion to continue for each party.
The party must propose a time frame for which they would like the hearing to be rescheduled, or the hearing will be set for the upcoming board meeting.
Forms
The following forms are available for use below:
Procedural Information
Service of Process
The party filing a pleading, motion or other legal document is required to provide service of process to all other parties.
Service of process must be documented in a Certificate of Service provided with the filing as indicated at the end of the Forms listed above.
All hearing notices, orders, and file-stamped copies of pleadings and motions will be served to all parties at the email address and/or mailing address on file with the PLA Board.
Exhibits
All exhibits must be submitted at least FIVE (5) business days prior to the final hearing. Exhibits must be filed through the Litigation Webform.
All exhibits must adhere to the following requirements:
- The State shall label its exhibits numerically (e.g., Ex. 1).
- Respondent shall label his or her exhibits alphabetically (e.g., Ex. A).
- Any exhibits containing confidential material, including protected health information (“PHI”), shall be submitted with all confidential information or PHI redacted and shall be filed and marked “PUBLICLY ACCESSIBLE”. By way of example, see 45 C.F.R. § 164.514(b) for the identifiers that apply to covered entities under the HIPAA Privacy Rule).
Discovery
Parties may obtain discovery pursuant to Indiana Trial Rule 26 through 37. Discovery should be completed within 30 days prior to the final hearing date if possible. Discovery disputes filed before the Board will be heard in front of a single Administrative Law Judge.
Pre-Hearing Conferences and Settlement Conferences
Parties are entitled to a pre-hearing conference with a member of the Board and the Board Director. Pre-hearing conferences can be used to address the following issues:
- Discovery disputes
- Case Management Orders
- Settlement Negotiations
All parties are required to participate in any scheduled pre-hearing conference. Those parties requesting a pre-hearing conference should do so by submitting such request in the following manner:
- Submit request no later than FORTY-FIVE (45) DAYS to the above-referenced hearing date. Submissions received after the 45 day mark may result in administrative continuance of the hearing. If a continuance is required, the hearing will be rescheduled to the next meeting 30 days after the date of the pre-hearing settlement conference.
Submit motion and proposed order through the Litigation WebForm.
Judicial Review
The decision on litigation made by a PLA Board is a final decision as contemplated by AOPA. Should you be unsatisfied with a final order of the PLA Board, you can seek judicial review with a trial court. A person who wishes to seek judicial review must file a petition in an appropriate court within THIRTY (30) days of a final order and must otherwise comply with Ind. Code ch. 4-21.5-5.
Remote Witness Testimony
Pursuant to Ind. Code § 5-14-1.5-2.9, all hearings are streamed live through Zoom and are available following the meeting for 90 days at PLA’s YouTube Channel. Parties must personally appear for hearings. While participation of parties by Zoom is prohibited, certain circumstances will allow for remote, non-party witness testimony. To request remote witness testimony, the following circumstances must occur:
- Party requesting the remote testimony must do so no later than FIVE (5) business days prior to scheduled hearing date.
- The request should be a filed motion and indicate the specific reasons why it is necessary for the witness to appear remotely.
- Following approval of the remote testimony, the party must submit to OLM the specific name, phone number and email address that the witness will use to log into Zoom or the witness will not be able to participate remotely.
Protected Health Information
Due to the public nature of the PLA Board meetings, parties and counsel should be careful to protect the disclosure of PHI for which they have not received written authorization to disclose. If a party believes the hearing will require testimony and disclosure of PHI or other confidential, sensitive, or private information, the party is required to either take reasonable steps to obtain authorization or de-identify all such information during testimony.
If a party is unable to present its case in chief without disclosing PHI or properly de-identifying such information, the party can request a hearing before a single Administrative Law Judge prior to the final decision made by the entire PLA Board. Such a request must describe the reasons why PHI and other confidential information cannot be appropriately de-identified during the public hearing. Without an authorization, parties are required to de-identify information to the extent that is reasonably possible and to disclose only that which is minimally necessary to accomplish the intended purpose during hearing. Motions for change in Administrative Law Judge must be filed no later than THIRTY(30) days before the above scheduled hearing date and may cause the hearing to be continued.