RULES AND REGULATIONS

Title 7—AGRICULTURE

STATE HORSE RACING COMMISSION

[ 7 PA. CODE CHS. 171, 173, 175, 177,
179, 181, 183, 185, 187, 189, 191, 193,
195, 197, 199, 201, 203, 205, 301, 303,
305, 307, 401, 403, 405 AND 407 ]

State Horse Racing Commission; Temporary Regulations

[49 Pa.B. 6221]
[Saturday, October 19, 2019]

 The State Horse Racing Commission (Commission), as established and reconfigured under authority set forth in 3 Pa.C.S. §§ 9311(a), (e) and (h)(3) and 9312 (relating to State Horse Racing Commission; and additional powers of commission) hereby adopts the following temporary regulations to facilitate the implementation of the act of October 28, 2016 (P.L. 913, No. 114) (act) (3 Pa.C.S. §§ 9301—9374 (relating to Race Horse Industry Reform Act)). These temporary regulations shall expressly supersede and replace existing regulations of the former State Horse Racing Commission and the former State Harness Racing Commission set forth in 58 Pa. Code, Parts IV and V (relating to Horse Racing Commission; and Harness Racing Commission). However, to the extent these temporary regulations do not cover or address a particular aspect of racing, the regulations in 58 Pa. Code, Parts IV and V shall control. The Commission will thereafter replace these temporary regulations with permanent regulations promulgated in accordance with the act of July 31, 1968 (P.L. 769, No. 240), known as the Commonwealth Documents Law (CDL) (45 P.S. §§ 1101—1208), the act of October 15, 1980 (P.L. 950, No. 164), known as the Commonwealth Attorneys Act (71 P.S. §§ 732-101—732-506) and the act of June 25, 1982 (P.L. 633, No. 181), known as the Regulatory Review Act (71 P.S. §§ 745.1—745.15).

 These temporary regulations are necessary for the Commission to continue its statutory jurisdiction and oversight over all pari-mutuel racing and wagering activities conducted within this Commonwealth thereby carrying out its legislative mandate to enhance the integrity of the industry, protect the health, safety and welfare of the horse and participants and to protect the interests of the general betting public.

 Furthermore, these temporary regulations are necessary to update and modernize the existing ''rules of racing'' and bring them into uniformity and consistency with surrounding racing jurisdictions in the Mid-Atlantic region. To that end, the Commission utilized, as a general regulatory template, the Model Rules of Racing adopted by the Association of Racing Commissioners International, the Rules and Regulations of the United States Trotting Association and, where appropriate, provisions of the Commission's existing regulations at 58 Pa. Code, Parts IV and V.

Explanation of Temporary Rulemaking

 The Commission's temporary regulations will be codified in 7 Pa. Code (relating to Agriculture) as Part VIII (relating to State Horse Racing Commission). Specifically, Subpart A (relating to general provisions) contains Chapters 171—179. This subpart provides defined terms, general guidance as to the form, function and operations of the Commission, the standardbred and thoroughbred racing offices and contains the rules of practice and procedure for administrative hearings.

 Subpart B (relating to licensing) focuses primarily on the standards for licensing and the application process for those racetrack facilities conducting racing operations and for individuals engaged in their occupational racing activities within this Commonwealth. Specifically, Subpart B contains Chapters 181—189.

 Subpart C (relating to pari-mutuel wagering) focuses on the general conduct, methodology and various types of pari-mutuel wagering activities offered by racetrack operators, secondary pari-mutuel organizations and racing vendors to the general public both inside and outside of this Commonwealth. Specifically, Subpart C contains Chapters 191—199.

 Subpart D (relating to Standardbred Rules of Racing (Harness)) includes Chapters 201 contains general provisions; Chapter 203 contains specific licensing provisions, duties and responsibilities of Standardbred owner, trainers, drivers and other licensees; and Chapter 205 contains the rules associated with and governing the actual conduct of live harness racing.

 Subpart E (relating to Thoroughbred Rules of Racing (Horse)) includes Chapter 301 contains general provisions; Chapter 303 contains specific licensing provisions, duties and responsibilities of Thoroughbred owners, trainers, jockeys and other licensees; Chapter 305 contains the rules associated with and governing the actual conduct of live Thoroughbred racing; and Chapter 307 governs the provisions relating to the Thoroughbred breeding program with the Commonwealth.

 Subpart F (relating to foreign substances, medications, drugs and equine veterinary practices) pertains to the detection, confirmation and prevention of the use of illegal drugs. It also includes chapters implementing prac- tices and procedures governing the lawful and proper use of equine medications by veterinarians and other licensed individuals to ensure the health and welfare of racehorses. Subpart F contains Chapters 401—407.

Regulatory Review

 Section 9311(h) of 3 Pa.C.S. provides the Commission authority to adopt and publish temporary regulations to implement the provisions and purposes of the act.

 In accordance with 3 Pa.C.S. § 9311(h)(3) (relating to temporary regulations), the Commission may adopt temporary regulations that are exempt from and not subject to sections 201—205 of the CDL (45 P.S. §§ 1201—1205), sections 204(b) and 301(10) of the Commonwealth Attorneys Act (71 P.S. §§ 732-204(b) and 732-301(10)) or the Regulatory Review Act. To facilitate the prompt implementation of the act, regulations promulgated by the Commission shall be deemed temporary regulations which shall not expire for a period of 3 years following publication.

 Under 3 Pa.C.S § 9311(h)(4) of the act, the Commission's authority to promulgate these and other temporary regulations will expire 3 years after the effective date of the act.

 While this rulemaking will be effective upon publication, the Commission invites interested persons to submit written comments regarding the temporary regulations to Jorge M. Augusto, Assistant Counsel, Department of Agriculture, Room 201, 2301 North Cameron Street, Harrisburg, PA 17110, (717) 787-8744.

Findings

 The Commission finds that:

 (1) Under 3 Pa.C.S. § 9311(h) of the act, the temporary regulations are exempt from the requirements of the Regulatory Review Act and sections 201—205 of the CDL.

 (2) The adoption of the temporary regulations provided by this order is necessary and appropriate for the administration of the authorizing statute.

Order

 The Commission, acting under the authorizing statute, orders that:

 (a) The Commission by order issued at its September 24, 2019, Commission meeting, acting under the authority of the act, approves and adopts these temporary regulations as set forth in Annex A. These temporary regulations govern the general administrative practice and procedure before the Commission and specific provisions relating to Commission operations, licensing, medication/drug enforcement, pari-mutuel wagering and applicable rules of racing for the Standardbred and Thoroughbred breeds.

 (b) The following temporary regulations of the Commission are adopted at 7 Pa. Code, Part VIII: Chapters 171, 173, 175, 177, 179, 181, 183, 185, 187, 189, 191, 193, 195, 197, 199, 201, 203, 205, 301, 303, 305, 307, 401, 403, 405 and 407 by adding §§ 171.1—171.5, 173.1—173.12, 175.1—175.8, 177.1—177.8, 179.1—179.18, 179.21—179.43, 179.51—179.73, 179.91—179.98, 179.101—179.106, 181.1—181.19, 181.21, 181.31—181.41, 181.51—181.62, 181.71—181.78, 183.1—183.9, 185.1—185.20, 187.1—187.9, 189.1—189.3, 189.11—189.17, 189.21—189.24, 189.31—189.36, 191.1, 191.2, 193.1—193.15, 195.1—195.4, 197.1—197.4, 199.1—199.10, 201.1—201.4, 203.1—203.5, 203.11—203.17, 203.21—203.32, 203.51, 203.52, 203.71—203.75, 203.91, 203.101, 203.102, 203.111—203.113, 205.1—205.9, 205.21—205.26, 205.31—205.37, 205.51—205.63, 205.71, 205.91, 205.101, 205.111—205.113, 205.121—205.124, 205.131, 205.151, 205.171—205.173, 205.191, 205.201—205.205, 205.211—205.218, 205.221—205.231, 205.251, 205.252, 205.271—205.287, 205.301—205.305, 205.311—205.332, 205.351, 205.371—205.389, 205.401—205.422, 205.431—205.436, 205.451—205.464, 205.471, 205.501—205.510, 301.1, 301.2, 303.1—303.22, 303.31—303.38, 303.51—303.53, 303.71—303.73, 305.1—305.4, 305.11—305.18, 305.31—305.36, 305.51—305.63, 305.71—305.74, 305.91, 305.101, 305.111, 305.121, 305.131—305.135, 305.151, 305.152, 305.171, 305.191—305.193, 305.201—305.203, 305.221, 305.222, 305.231—305.243, 305.251—305.257, 305.271—305.299, 305.301—305.303, 305.401—305.412, 307.1—307.6, 401.1—401.6, 401.11—401.17, 401.21—401.29, 401.41—401.47, 401.51—401.53, 401.61, 401.62, 403.1—403.18, 405.1—405.9 and 407.1—407.8 as set forth in Annex A.

 (c) These temporary regulations are effective upon publication in the Pennsylvania Bulletin.

 (d) These temporary regulations shall be posted in their entirety on the Department of Agriculture, State Horse Racing Commission web site.

 (e) These temporary regulations shall be subject to amendment as deemed necessary by the Commission in accordance with the purpose of the act and to further the intent and administration of the act.

 (f) The Chairperson of the Commission shall certify the preceding order and deposit these temporary regulations with the Legislative Reference Bureau as required by law.

RUSSELL C. REDDING, 
Chairperson
Pennsylvania State Horse Racing Commission

 Fiscal Note: 127-1. No fiscal impact; (8) recommends adoption.

Annex A

TITLE 7. AGRICULTURE

PART VIII. STATE HORSE RACING COMMISSION

Subpart

A.	GENERAL PROVISIONS
B.	LICENSING
C.	PARI-MUTUEL WAGERING
D.	STANDARDBRED RULES OF RACING (HARNESS)
E.	THOROUGHBRED RULES OF RACING (HORSE)
F.	FOREIGN SUBSTANCES, MEDICATIONS, DRUGS AND EQUINE VETERINARY PRACTICES

Subpart A. GENERAL PROVISIONS

Chap.

171.	PRELIMINARY PROVISIONS—TEMPORARY REGULATIONS
173.	COMMISSION OPERATIONS AND ORGANIZATION—TEMPORARY REGULATIONS
175.	BUREAU OF STANDARDBRED HORSE RACING—TEMPORARY REGULATIONS
177.	BUREAU OF THOROUGHBRED HORSE RACING—TEMPORARY REGULATIONS
179.	RULES OF ADMINISTRATIVE PRACTICE AND PROCEDURE—TEMPORARY REGULATIONS

CHAPTER 171. PRELIMINARY PROVISIONS—
TEMPORARY REGULATIONS

Sec.

171.1.	Purpose.
171.2.	Construction of the regulations.
171.3.	Jurisdiction.
171.4.	General powers of the Commission.
171.5.	General definitions.

§ 171.1. Purpose.

 The purpose of this part is to facilitate the implementation of the Race Horse Industry Reform Act (act of October 28, 2016) (P.L. 913, No. 114), 3 Pa.C.S. §§ 9301—9374 (relating to race horse industry reform).

§ 171.2. Construction of the regulations.

 (a) The Commission's regulations shall be liberally construed to secure the just, speedy and efficient determination of every action, proceeding or issue presented to which it is applicable. The Commission or its presiding officer at any stage of an action or proceeding may disregard an error or defect of procedure which does not affect the substantive rights of a party.

 (b) The Commission or its presiding officer at any stage of an action or proceeding may waive or temporarily suspend a requirement of this part when necessary or appropriate, if the waiver or temporary suspension does not adversely affect a substantive right of a party.

 (c) These liberal construction provisions apply with particularity in proceedings involving pro se litigants.

 (d) Section (a) supersedes 1 Pa. Code § 31.2 (relating to liberal construction).

§ 171.3. Jurisdiction.

 (a) The General Assembly has declared that the Commission has exclusive jurisdiction and regulatory authority over all racing related matters within the scope of its powers under the Race Horse Industry Reform Act (act) (act of October 28, 2016) (P.L. 913, No. 114), 3 Pa.C.S. §§ 9301—9374 (relating to race horse industry reform).

 (b) The sport of horse racing, including pari-mutuel wagering and racing activities is heavily regulated and nothing contained in this part shall be construed to limit the powers, authority and duties of the Commission as provided in the act.

§ 171.4. General powers of the Commission.

 (a) Under the Race Horse Industry Reform Act (act) (act of October 28, 2016) (P.L. 913, No. 114), 3 Pa.C.S. §§ 9301—9374 (relating to race horse industry reform), the Commission will have the power to supervise all horse race meetings in this Commonwealth at which pari-mutuel wagering and racing activities are conducted. The Commission shall have the power to enact appropriate rules and regulations necessary to effectuate the purposes and provisions of the act and to prevent circumvention or evasion thereof.

 (b) The rules of racing, as set forth in this part apply to all persons, whether licensed or not, who conduct horse race meetings, operate pari-mutuel wagering systems within this Commonwealth, conduct business operations associated with horse racing and breeding or who otherwise engage directly or indirectly in pari-mutuel wagering and racing activities within this Commonwealth. All persons shall be charged with knowledge of and be conclusively bound by the provisions hereof.

 (c) The rules of racing shall also apply to every participant in or patron of a licensed horse meeting and each shall be charged with notice of and be conclusively bound by the provisions of these regulations.

 (d) Each license issued by the Commission is specifically granted upon the condition that the licensee shall accept, observe and obey the rules and regulations of the Commission. All licensees are charged with the responsibility of reporting apparent violations of these rules to the Commission and cooperating in an investigation into the same.

 (e) The Commission or its designee may rescind or modify a penalty or decision regarding an infraction of the rules imposed or issued by the Board of Judges or the Board of Stewards and may institute investigative or adjudicative proceedings on the Commission's own motion to properly exercise and discharge its statutory responsibilities.

§ 171.5. General definitions.

 (a) The following words and phrases, when used in this part, shall have the following meanings given to them, unless the context clearly indicates otherwise:

 Account—An account for account wagering with a specific identifiable record of deposits, wagers and withdrawals established by an account holder and managed by the licensed racing entity or secondary pari-mutuel organization.

 Account holder—An individual who successfully completed an application and for whom the licensed racing entity or the secondary pari-mutuel organization has opened an account.

 Act—The Race Horse Industry Reform Act (act of October 28, 2016) (P.L. 913, No. 114), 3 Pa.C.S. §§ 9301—9374 (relating to race horse industry reform).

 Advance deposit account wagering system—A system by which wagers are debited and payouts are credited to an advance deposit account held by a licensed racing entity or secondary pari-mutuel organization on behalf of a person.

 Advance deposit wagering—ADW—A form of gambling on the outcome of horse races in which bettors must fund their account before being allowed to place bets. ADW may be conducted outline or by phone.

 Appeal—A request for the Commission or its designee to investigate, consider and review any decisions or rulings of the Board of Stewards or Board of Judges, Bureau Directors or other Commission staff.

 Applicant—A person who, on his own behalf or on behalf of another, applies for permission to engage in an act or activity which is regulated under the provisions of this part. If the applicant is a person other than an individual, the Commission shall determine the associated persons whose qualifications are necessary as a precondition to the licensing of the applicant.

 Arrest—Detaining, holding or taking into custody by police or other law enforcement authorities for the alleged commission of an offense.

 Authorized agent—A person licensed by the Commission and appointed by a written instrument, signed and acknowledged before a notary public by the owner in whose behalf the agent will act.

 Backside area—An area of the racetrack enclosure that is not generally accessible to the public and which includes, but is not limited to, a facility commonly referred to as a barn, paddock enclosure, track kitchen, recreation hall, backside employee quarters and training track and roadways providing access to the area. The term does not include an area of the racetrack enclosure which is generally accessible to the public, including the various buildings commonly referred to as the grandstand or the racing surface and walking ring.

 Breakage—The odd cents of redistributions to be made on contributions to pari-mutuel pools exceeding a sum equal to the next lowest multiple of ten.

 Bureau Director—The Director of the Bureau of Standardbred Horse Racing and the Director of the Bureau of Thoroughbred Horse Racing.

 Carryover—The non-distributed pool moneys which are retained and added to a corresponding pool in accordance with these rules.

 Clean letter of credit—A letter of credit which is available to the beneficiary against presentation of a draft or receipt.

 Commission—The State Horse Racing Commission.

 Commission staff—Employees of the Commission, under the direct supervision of Bureau Directors, who perform various administrative, licensing, enforcement and investigative duties and functions. This term may include licensing staff, investigative staff or enforcement staff.

 Commissioner—An individual appointed to and sworn in as a member of the Commission in accordance with section 9311(b) of the act, 3 Pa.C.S. § 9311(b) (relating to State Horse Racing Commission).

 Confidential information—Materials that are not available to the public.

 Contest—A competitive racing event on which pari-mutuel wagering is conducted.

 Controlled substance—Any substance included in the five classification schedules under section 811 of the Controlled Substance Act of 1970 (21 U.S.C.A. § 811).

 Conviction—A finding of guilt or a plea of guilty or nolo contendere, whether or not a judgment of sentence has been imposed as determined by the law of the jurisdiction in which the prosecution was held. The term does not include a conviction that has been expunged or overturned or for which an individual has been pardoned or an order of accelerated rehabilitative disposition.

 Department—The Department of Agriculture.

 Ejection or refusal of admission—The ejection or refusal of admission by a licensed racing entity or the Commission from the racetrack enclosure or any other area under the jurisdiction of the Commission.

 Electronic wagering—A method of placing or transmitting a legal wager by an individual in this Commonwealth through telephone, electromechanical, computerized system or any other form of electronic media approved by the Commission and accepted by a secondary pari-mutuel organization or a licensed racing entity or the licensed racing entity's approved off-track betting system located in this Commonwealth.

 Evergreen clause—A term in a letter of credit providing for automatic renewal of the letter of credit.

 Ex parte communication—An off-the-record communication engaged in or received by a Commissioner of the Commission regarding the merits of, or any fact in issue relating to, a pending matter before the Commission or which may reasonably be expected to come before the Commission in a contested on-the-record proceeding. The term shall not include:

 (1) An off-the-record communication by a Commissioner, the Department of Revenue, Pennsylvania State Police, Attorney General or other law enforcement official, prior to the beginning of the proceeding solely for the purpose of seeking clarification or correction to evidentiary materials intended for use in the proceedings.

 (2) A communication between the Commission or a Commissioner and legal counsel.

 Exhibition race—A race on which no wagering is permitted or conducted.

 Felony—An offense under the laws of the Commonwealth or the laws of another jurisdiction, punishable by imprisonment for more than 5 years.

 Final order—One of the following:

 (1) An action by the Commission which approves, issues, renews, revokes, suspends, conditions, or denies issuance or renewal of a license.

 (2) An action by the Commission which affects personal or property rights, privileges, immunities, duties, liabilities or obligations and disposes of all proper claims by or against parties before the Commission.

 (3) An action by the Commission which is designated by the Commission as final.

 Financial interest—An ownership, property, leasehold or other beneficial interest in an entity. The term shall not include an interest which is held or deemed to be held in any of the following:

 (1) Securities that are held in a pension plan, profit-sharing plan, individual retirement account, tax-sheltered annuity, a plan established under section 457 of the Internal Revenue Code of 1986 (Pub.L. No. 99-514) (26 U.S.C.A. § 457), or any successor provision, deferred compensation plan whether qualified or not qualified under the Internal Revenue Code of 1986, or any successor provision or other retirement plan that:

 (i) Is not self-directed by the individual.

 (ii) Is advised by an independent investment adviser who has sole authority to make investment decisions with respect to contributions made by the individual to these plans.

 (2) A tuition account plan organized and operated under section 529 of the Internal Revenue Code of 1986 (Pub.L. No. 99-514) (26 U.S.C.A. § 529) that is not self-directed by the individual.

 (3) A mutual fund where the interest owned by the mutual fund in a licensed racing entity does not constitute a controlling interest as defined in 4 Pa.C.S. § 1103 (relating to definitions).

 Forfeit—A specified amount of money due from a licensee because of error, fault, neglect of duty, breach of contract or a penalty imposed by the Board of Judges or the Board of Stewards or the Commission.

 Horse race meeting—A specified period and dates each year during which a licensed racing entity is authorized to conduct live racing or pari-mutuel wagering as approved by the Commission.

 Horse racing—Standardbred horse racing and thoroughbred horse racing.

 Horsemen's organization—A trade association which represents the majority of owners and trainers who own and race horses at a racetrack.

 Immediate family—A spouse, parent, brother, sister or child.

 Irrevocable clean letter of credit—A clean letter of credit which cannot be canceled or amended unless there is an agreement to cancel or amend among all parties to the letter of credit.

 Judges or Stewards—Shall refer to the Board of Judges for the Standardbred racing industry or Board of Stewards for the Thoroughbred racing industry respectively.

 Land mile—A unit of distance equal to 1,609.3 meters or 5,280 feet, as measured in a straight line.

 Licensed racetrack or racetrack—

 (1) The physical facility and grounds for which a person has obtained a license from the Commission to conduct live thoroughbred or standardbred race meetings with pari-mutuel wagering or

 (2) The physical land-based location at which live horse racing is conducted, even if not owned by the person.

 Licensed racing entity—Any person that has obtained a license to conduct live thoroughbred or harness horse race meetings with pari-mutuel wagering from the Commission.

 Licensee—The holder of a license issued under this part.

 Nominal change in ownership—The sale, pledge, encumbrance, execution of an option agreement or other transfer of less than 5% of the equity securities or other ownership interest of a person whose percentage ownership does not affect the decisions of the licensed racing entity.

 Nonprimary location—Any facility in which pari-mutuel wagering is conducted by a licensed racing entity under this part other than the racetrack where live racing is conducted. Also known as an off-track wagering location.

 On-the-record proceedings—A matter that comes before the Commission or its presiding officer by way of application, complaint, petition, appeal, decision or other proceeding for which a formal record is created and upon which the Commission bases its order and adjudication.

 Ownership interest—Owning or holding, or being deemed to hold, debt or equity securities or other ownership interest or profit interest.

 Pari-mutuel wagering—A form of wagering, including manual, electronic, computerized and other forms as approved by the Commission, on the outcome of a horse racing event in which all wagers are pooled and held by a licensed racing entity or secondary pari-mutuel organization for distribution of the total amount, less the deductions authorized by law, to holders of winning tickets.

 Person—Any natural person, corporation, foundation, organization, business trust, estate, limited liability company, license corporation, trust, partnership, limited liability partnership, association or any other form of legal business entity.

 Primary market area of a racetrack—The land area included in a circle drawn with the racetrack as the center and a radius of 35 land miles.

 Principal—Any of the following individuals associated with a partnership, trust association, limited liability company or corporation:

 (1) The chairman and each member of the board of directors of a corporation.

 (2) Each partner of a partnership and each participating member of a limited liability company.

 (3) Each trustee and trust beneficiary of an association.

 (4) The president or chief executive officer and each other officer, manager and employee who has policy-making or fiduciary responsibility within the organization.

 (5) Each stockholder or other individual who owns, holds or controls, either directly or indirectly, 5% or more of stock or financial interest in the collective organization.

 (6) Any employee, agent, guardian, personal representative, lender or holder of indebtedness who has the power to exercise a significant influence over the applicant's or licensee's operation.

 Racetrack enclosure—With respect to each licensed racing entity, shall be deemed to include at least one primary racetrack location at which horse race meetings authorized to be conducted, including the grandstand, frontside and backside facilities and all primary, nonprimary, contiguous and noncontiguous locations of the licensed racing entity which are specifically approved by the Commission for conducting the pari-mutuel system of wagering on the results of horse racing held at the meetings or race meetings conducted by another licensed racing entity or transmitted to these locations by simulcasting.

 Racing vendor—A person who provides goods or services to a licensed racing entity or other licensed racing entity directly related to racing or the racing product, as determined by the Commission.

 Secondary market area of a racetrack—The land area included in a circle drawn with the racetrack as the center and a radius of 50 land miles, not including the primary market area of the racetrack.

 Secondary pari-mutuel organization—SPMO—A licensed entity, other than a licensed racing entity, that offers and accepts pari-mutuel wagers. A person or entity that provides to a licensed racing entity hardware, software, equipment, content or services used to manage, conduct, operate or record pari-mutuel wagering activity by or from residents of this Commonwealth shall not be deemed to be a secondary pari-mutuel organization solely by virtue of the provision of the assets or services.

 Simulcast—Live video and audio transmission of a race and pari-mutuel information for the purpose of pari-mutuel wagering at locations other than the racetrack where the race is run.

 Standardbred horse racing or harness racing—A form of horse racing in which the horses participating are attached ''in harness'' to a sulky or other similar vehicle and race at a specific gait, either a trot or pace.

 Substantial change in ownership—The sale, pledge, encumbrance, execution of an option agreement or another transfer of 5% or more of the equity securities or other ownership interest of a person whose percentage ownership affects the decisions of the licensed racing entity.

 Thoroughbred horse racing—The form of horse racing in which each participating horse is mounted by a jockey, is duly registered with The Jockey Club of New York and engages in horse racing on the flat, which may include a steeplechase or hurdle race.

 Totalisator—A computer system used to pool wagers, record sales, calculate payoffs and display wagering data on a display device that is located at a pari-mutuel facility or nonprimary location.

CHAPTER 173. COMMISSION OPERATIONS AND ORGANIZATION—TEMPORARY REGULATIONS

Sec.

173.1.	Establishment of the Commission.
173.2.	Meetings.
173.3.	Participation at meetings and voting.
173.4.	Delegation of powers.
173.5.	Commission docket.
173.6.	Commission office hours.
173.7.	Contact information and public information.
173.8.	Confidential information.
173.9.	Annual report.
173.10.	Mechanical and electronic records.
173.11.	Adoption of National standards.
173.12.	Reporting violations to the Commission.

§ 173.1. Establishment of the Commission.

 (a) Under section 9311 of the act (relating to State Horse Racing Commission), the Commission is established as a Commission within the Department to independently regulate the operations of horse racing, the conduct of pari-mutuel wagering and the promotion and marketing of horse racing in this Commonwealth. The Commission shall consist of nine Commissioners appointed under in accordance with section 9311(b) of the act.

 (b) Term of office. A Commissioner's term of office shall be governed by the provisions of the act.

 (c) Chairperson. The Governor shall appoint the Chairperson of the Commission.

§ 173.2. Meetings.

 (a) Public sessions. The Commission's public meetings shall take place at a location designated by the Chairperson and approved by the Commission and shall be conducted in accordance with 65 Pa.C.S. Chapter 7 (relating to Sunshine Act).

 (b) Regularly scheduled meetings. The Commission shall meet at least once a month and at other times as the Chairperson deems necessary. Meetings may be cancelled with appropriate public notice.

 (c) Participation by means of telephone or video teleconference. A Commissioner may participate in a meeting by means of telephone or video teleconference when it is impractical for the Commissioner to attend the meeting in person.

 (d) Record of proceedings. The Commission shall cause to be made and shall keep the minutes of the public meetings of the Commission. The Commission shall also make a verbatim transcript of those proceedings which will be the property of the Commission and will be retained for a period to be determined by the Commission in its records retention policy. Copies of verbatim transcript may be obtained directly from the court reporting service.

§ 173.3. Participation at meetings and voting.

 (a) Majority vote. Except as provided in subsection (b), an action by the Commission to suspend, revoke, or to refuse to renew any license previously issued by the Commission or its staff, to impose a fine or penalty for violation of the rules of racing or to take any other administrative action as deemed necessary and appropriate by the Commission will require a majority vote of all the Commissioners.

 (b)  Qualified majority vote.

 (1) Thoroughbred matters. A qualified majority vote consisting of the two Commissioners appointed under section 9311(b)(1)(i) and (ii) of the act (relating to State Horse Racing Commission) and as many votes of the remaining voting Commissioners as necessary to constitute a majority of those Commissioners voting shall be required to:

 (i) Approve, issue, deny or condition a license to conduct thoroughbred horse race meetings under section 9318 of the act (relating to licenses for horse race meetings).

 (ii) Adopt regulations governing thoroughbred horse race meetings under this section.

 (iii) Employ a director of the Bureau of Thoroughbred Horse Racing under section 9311(d)(2) of the act.

 (2) Standardbred matters. A qualified majority vote consisting of the two Commissioners appointed under section 9311(b)(1)(iii) and (iv) of the act and as many votes of the remaining voting Commissioners as necessary to constitute a majority of those Commissioners voting shall be required to:

 (i) Approve, issue, deny or condition a license to conduct standardbred horse race meetings under section 9318 of the act.

 (ii) Adopt rules and regulations governing standardbred horse race meetings under this section.

 (iii) Employ a director of the Bureau of Standardbred Horse Racing under section 9311(d)(2) of the act.

 (3) Commissioners appointed under section 9311(b)(1)(i) and (ii) of the act shall be disqualified and must abstain from voting on any Standardbred matter under paragraph (2).

 (4) Commissioners appointed under section 9311(b)(1)(iii) and (iv) of the act shall be disqualified and must abstain from voting on any Thoroughbred matter under paragraph (1).

 (c) Participation. A Commissioner may not participate in a hearing, proceeding or other matter in which the Commissioner or the immediate family thereof, has a financial interest in the subject matter of the hearing or proceeding or other interest that could be substantially affected by the outcome of the hearing or proceeding, without first fully disclosing the nature of the interest to the Commission and other persons participating in the hearing or proceeding.

 (d) Disqualifying interest. If a Commissioner has a disqualifying interest in a voting matter, the Commissioner shall disclose the nature of the disqualifying interest, disqualify himself or herself and abstain from voting in a proceeding in which the Commissioner's objectivity, impartiality, integrity or independence of judgment may be reasonably questioned, including instances where the Commissioner knows that the Commissioner possesses a substantial financial interest in the subject matter of the proceeding or an interest that could be substantially affected by the outcome of the proceeding.

 (e) Commissioner abstention. When disqualified, the Commissioner's abstention from voting will apply only to the singular voting matter that led to the disqualification and not apply to other matters under consideration by the Commission for which the Commissioner is otherwise qualified.

§ 173.4. Delegation of powers.

 (a) The Commission may, by simple majority vote and consistent with the act and this part, delegate its authority to perform any of its administrative or adjudicatory functions to a Commissioner, a bureau director, a presiding officer or any other member of the Commission's staff.

 (b) A delegation of Commission authority may be effectuated by promulgation of a regulation or the adoption of an order or a resolution at a public meeting of the Commission. The regulation, order or resolution will specify:

 (1) The specific authority delegated.

 (2) The Commissioner, bureau director or Commission staff member to whom the authority is delegated.

 (3) Limitations or conditions imposed on the authority delegated.

 (c) Delegations of authority made under this section will remain in effect indefinitely unless otherwise specified in the implementing regulation, order or resolution.

 (d) A delegation of authority adopted by the Commission may be modified or rescinded by the Commission through promulgation of a regulation or the adoption of a subsequent order or resolution at a public meeting of the Commission by a simple majority vote.

§ 173.5. Commission docket.

 (a) Administrative Docket. The Commission shall designate an Administrative Clerk who shall:

 (1) Maintain a complete docket of administrative orders, resolutions or directives issued by the Commission.

 (2) Maintain all formal records, documents, annual reports and record of meetings proceedings, including verbatim transcripts of the Commission's public meetings as specifically set forth in section 9311 of the act and § 173.2 (relating to meetings).

 (b) Public Records. By October 1 of each year, the Commission shall post on its internet web site a final report of all the itemized expenses, for the preceding fiscal year, of employees and Commissioners that were or are to be reimbursed from the State Racing Fund. The list shall identify the nature of the expense, the employee, member or the agency and employee of the agency to which an expense is attributable. Information posted on the internet web site under this subsection shall be considered financial records for the purposes of and subject to redaction under the Right-to-Know Law (65 P.S. §§ 67.101—67.3104).

 (1) A request for access to public information will be addressed in accordance with the Right-to-Know Law and in coordination with the Department's Right to Know Officer.

 (2) Nonconfidential information in formal records will be available for inspection during normal Commission business hours at the Commission's executive offices.

 (c) Records Retention Policy. The Commission may adopt a records retention policy consistent with the record retention policies of the Commonwealth, the Department or the Commission may establish and publish its own retention policy in the Pennsylvania Bulletin.

§ 173.6. Commission office hours.

 The Commission office will be open from 8 a.m. to 4 p.m. on business days except Saturdays, Sundays, legal holidays and Commonwealth office closures declared by the Governor, unless otherwise directed by the Commission.

§ 173.7. Contact information and public information.

 Requests for Commission information, documents and administrative matters may be directed to:

Administrative Clerk
State Horse Racing Commission
Department of Agriculture Building
Executive Offices—Room 301
2301 North Cameron Street
Harrisburg, PA 17110
(717) 787-5196
horseracing@pa.gov

§ 173.8. Confidential information.

 Under section 9311(g)(1) of act (relating to State Horse Racing Commission), the following documents and records are designated as confidential.

 (1) Information submitted by an applicant or licensee relating to applications, renewals or both, to conduct horse race meetings under sections 9318, 9323 and 9353 of the act (relating to licenses for horse race meetings; occupational licenses for individuals; and license application procedures), including but not limited to electronic wagering applications/petitions, SPMO, Racing Vendor, totalisator applications or any other application or petition designated by the Commission and other information obtained by the Commission as part of a background or other investigation from any source shall be confidential and withheld from public disclosure:

 (i) All information relating to character, honesty and integrity, including family, habits, reputation, history of criminal activity, business activities, financial affairs and business, professional and personal associations submitted under sections 9318, 9323 or 9353 of the act or otherwise obtained by the Commission.

 (ii) Nonpublic personal information, including home addresses, telephone numbers and other personal contact information, Social Security numbers, educational records, memberships, medical records, tax returns and declarations, actual or proposed compensation, financial account records, creditworthiness or financial condition relating to an applicant, licensee or permittee or the immediate family thereof.

 (iii) Information relating to proprietary information, trade secrets, patents or exclusive licenses, architectural and engineering plans and information relating to competitive marketing materials and strategies, which may include customer-identifying information or customer prospects for services subject to competition.

 (iv) Security information, including risk prevention plans, detection and countermeasures, location of count rooms, emergency management plans, security and surveillance plans, equipment and usage protocols and theft and fraud prevention plans and countermeasures.

 (v) Information with respect to which there is a reasonable possibility that public release or inspection of the information would constitute an unwarranted invasion into personal privacy of any individual as determined by the Commission.

 (vi) Records of an applicant or licensee not required to be filed with the Securities and Exchange Commission by issuers that either have securities registered under section 12 of the Securities Exchange Act of 1934 (48 Stat. 881, 15 U.S.C. § 78l) or are required to file reports under section 15(d) of the Securities Exchange Act of 1934 (48 Stat. 881, 15 U.S.C. § 780).

 (vii) Records considered nonpublic matters or information by the Securities and Exchange Commission as provided by 17 CFR 200.80 (relating to Securities and Exchange Commission records and information).

 (viii) Financial information or records submitted by the applicant or licensee.

 (2) No claim of confidentiality shall be made regarding any criminal history record information that is available to the public under 18 Pa.C.S. § 9121(b) (relating to general regulations).

 (3) No claim of confidentiality shall be made regarding any record in possession of the Commission that is otherwise publicly available from a Commonwealth agency, local agency or another jurisdiction.

 (4) The information made confidential under this section shall be withheld from public disclosure in whole or in part, except that any confidential information may be released upon the order of a court of competent jurisdiction or, with the approval of the Attorney General, to a duly authorized law enforcement agency or shall be released to the public, in whole or in part, to the extent that the release is requested by an applicant or licensee and does not otherwise contain confidential information about another person.

 (5) The Commission may seek a voluntary waiver of confidentiality from an applicant or licensee but may not require any applicant or licensee to waive any confidentiality provided for in this subsection as a condition for the approval of an application, renewal of a license or any other action of the Commission.

 (6) No current or former member and no current or former employee, agent or independent contractor of the Commission, who has obtained confidential information in the performance of duties under the act shall intentionally and publicly disclose the information to any person, knowing that the information being disclosed is confidential under this policy, unless the person is authorized by law to receive it.

§ 173.9. Annual report.

 The Commission, through the Department, shall issue its annual report in accordance with the provisions of the act. Copies of the annual report shall be posted on the Commission's web site or available for public inspection during normal office hours at the Commission's executive offices.

§ 173.10. Mechanical and electronic records.

 The Commission may prohibit the use of mechanical and electronic recording or video recording devices at its public meetings if the use of the devices will disrupt or otherwise interfere with the orderly conduct of the proceedings.

§ 173.11. Adoption of National standards.

 Under section 9312(6) of the act (relating to additional powers of commission), the Commission may adopt by order and publication in the Pennsylvania Bulletin, National, State or regional standards from other racing jurisdictions or the Association of Racing Commissioners International, the USTA or similar Commission-approved trade organizations to establish:

 (1) Uniform drug threshold levels.

 (2) Consistent sanctions for drug testing violations.

 (3) A system to monitor advanced deposit wagering and online pari-mutuel wagering company activities.

§ 173.12. Reporting violations to the Commission.

 A person licensed by the Commission and properly brought before it, in the course of an investigative, adjudicative or rulemaking proceeding, who may be in possession of information regarding a solicitation, an attempt or a completed act violating the rules of racing, shall promptly report the information to the applicable Board of Stewards, Board of Judges or the Commission. Failure to report the information may result in the imposition of disciplinary action by the Commission.

CHAPTER 175. BUREAU OF STANDARDBRED HORSE RACING—TEMPORARY REGULATIONS

Sec.

175.1.	Director of the Bureau of Standardbred Horse Racing.
175.2.	Authority of the Bureau Director.
175.3.	Powers and duties of the Bureau Director.
175.4.	Subpoena powers.
175.5.	Date of filing appeals.
175.6.	Contents of petition for stay.
175.7.	Circumstances affecting grant or denial.
175.8.	Waiver of hearings.

§ 175.1. Director of the Bureau of Standardbred Horse Racing.

 The Commission shall assign the Bureau Director duties and responsibilities as required to fulfill the Commission's statutory obligations under the act specifically related to the Standardbred industry. The Commission may, by order, delegate certain duties and responsibilities to the Bureau Director as the Commission determines necessary to discharge the day-to-day licensing, enforcement and administrative operations of the Commission.

§ 175.2. Authority of the Bureau Director.

 (a) The Bureau Director shall have authority to enter and issue the orders of the Commission and to certify copies of papers and documents which are part of the files or records of the Commission.

 (b) The Bureau Director, in addition to the powers set forth in this part, shall be responsible for the efficient and orderly discharge of administrative matters including the keeping of Commission records, annual reports, minutes of Commission meetings and the keeping of the dockets, files and other records of the Commission.

§ 175.3. Powers and duties of the Bureau Director.

 (a) The Bureau Director shall have the following powers and duties:

 (1) Evaluate, review and issue all applicants and applications for a Standardbred horse racing license in accordance with the standards set forth in the act. The Bureau Director shall be prohibited from disclosing any portion of an investigation or evaluation of an applicant to a Commissioner prior to the decision relating to the applicant's suitability for licensure if that determination is to be rendered by the Commission.

 (2) Inspect and monitor licensees and other persons regulated under this part for noncriminal violations, including potential violations of racing referred to the Bureau Director and the bureau by the Commission or any other person.

 (3) Monitor horse racing operations and racing activities by all licensees to ensure compliance with the act and these regulations.

 (4) Inspect, review, examine and investigate licensees, including the physical spaces and facilities in which li- censees engage in racing activities, including stalls, barns, administrative offices, front-side, and back-side areas of the licensed racing facility and racetrack enclosure.

 (i) The Bureau Director's powers and duties may include the review and reproduction of any document or record.

 (ii) Examinations may include the review of accounting, administrative and financial records, management control systems, procedures and other records.

 (5) Refer possible criminal violations to law enforcement entities.

 (6) Cooperate in the investigation and prosecution of any criminal violation by criminal law enforcement entities.

 (7) Begin any racing related investigation as deemed necessary and appropriate under the general jurisdiction of the Commission.

 (8) Implement, with the approval of the Commission and publication in the Pennsylvania Bulletin, a complete racing penalty matrix to be utilized by the Bureau Director, the Board of Judges or the Commission for violations of the rules of racing and administrative regulations.

 (b) Upon the Bureau Director's own motion or upon written request of a licensee, the Bureau Director may review, for consistency and appropriateness, any administrative penalty issued by the Board of Judges. Based upon the Bureau Director's review and analysis of the underlying matter, the Bureau Director may enforce the consistency of penalties imposed by the Board of Judges, up to and including, the dismissal of the underlying ruling, or increasing or decreasing the imposed penalty.

§ 175.4. Subpoena powers.

 Under section 9311(d)(3) of the act (relating to State Horse Racing Commission), the Bureau Director or designee, shall have the authority to issue administrative or documentary subpoenas to compel the attendance of witnesses and production of all relevant and material reports, books, papers, documents, correspondence and other evidence related to regulation and enforcement of horse racing matters under the act and these regulations. The procedures for the issuance and enforcement of subpoena powers are governed by Chapter 179 (relating to Rules of Administrative Practice and Procedure—temporary regulations).

§ 175.5. Date of filing appeals.

 Appeals from the actions or rulings of the Board of Judges shall be prepared and filed with the Bureau Director in accordance the provisions set forth in §§ 179.3 and 179.7 (relating to filings and appeals; and request for hearing by applicant or licensee). The date of filing of an appeal requesting a hearing shall be the date the written petition or request was physically received and date-stamped in the Executive Offices of the Commission.

§ 175.6. Contents of petition for stay.

 (a) In addition to the provisions of § 179.7 (relating to request for hearing by applicant or licensee), a party seeking a stay of an underlying ruling or determination by the Board of Judges or other Commission staff shall comply with the following:

 (1) A petition for a stay must be in writing, contain numbered paragraphs and must plead facts with particularity and be supported by affidavits and specific evidence of those facts.

 (2) A petition for stay must state with particularity the citations of legal authority the petitioner believes form the basis for the grant of a stay.

 (b) A petition for stay may be summarily denied by the Bureau Director for failure to comply with the following reasons:

 (1) Lack of particularity of the facts pleaded.

 (2) Lack of particularity or inapplicability of the legal authority cited as the basis for the grant of the supersedeas.

 (3) Failure to provide an affidavit supporting the facts alleged in the petition.

 (4) Failure to state grounds sufficient for the granting of a supersedeas.

§ 175.7. Circumstances affecting grant or denial.

 (a) The Bureau Director, in granting or denying a stay, will be guided by prevailing case law and precedent. The factors to be weighed include the following:

 (1) The applicant is likely to prevail at the ultimate hearing on the merits;

 (2) The applicant will sustain irreparable harm without the stay;

 (3) The issuance of the stay will not substantially harm other interested parties in the proceedings.

 (4) The issuance of a stay will not adversely affect the public interest.

 (b) A stay will not be issued if injury to the health, safety and welfare of a horse, licensee or other racing participant exists or is threatened during the period when the stay would be in effect.

 (c) In granting a stay, the Bureau Director may impose specific conditions in the stay that are reasonably warranted by the circumstances.

§ 175.8. Waiver of hearings.

 A hearing need not be held if any of the following occurs:

 (1) The appellant waives the right to a hearing and elects to proceed under the alternative procedures governing documentary hearings as set forth in Subchapter E (relating to documentary hearings).

 (2) The appellant enters into a negotiated resolution of the underlying ruling of the Board of Judges with the Bureau Director.

 (3) The Bureau Director determines, after reviewing the appeal and/or stay documents, that there are no material facts in dispute.

 (4) Subsections (a)—(c) supersede 1 Pa. Code § 35.101 (relating to waiver of hearing).

CHAPTER 177. BUREAU OF THOROUGHBRED HORSE RACING—TEMPORARY REGULATIONS

Sec.

177.1.	Director of the Bureau of Thoroughbred Horse Racing.
177.2.	Authority of the Bureau Director.
177.3.	Powers and duties of the Bureau Director.
177.4.	Subpoena powers.
177.5.	Date of filing appeals.
177.6.	Contents of petition for stay.
177.7.	Circumstances affecting grant or denial.
177.8.	Waiver of hearings.

§ 177.1. Director of the Bureau of Thoroughbred Horse Racing.

 The Commission shall assign the Bureau Director duties and responsibilities as required to fulfill the Commission's statutory obligations under the act specifically related to the Thoroughbred industry. The Commission may, by order, delegate certain duties and responsibilities to the Bureau Director as the Commission determines necessary to discharge the day-to-day licensing, enforcement and administrative operations of the Commission.

§ 177.2. Authority of the Bureau Director.

 (a) The Bureau Director shall have authority to enter and issue the orders of the Commission and to certify copies of papers and documents which are part of the files or records of the Commission.

 (b) The Bureau Director, in addition to the powers set forth in this part, shall be responsible for the efficient and orderly discharge of administrative matters including the keeping of Commission records, annual reports, minutes of Commission meetings and the keeping of the dockets, files and other records of the Commission.

§ 177.3. Powers and duties of the Bureau Director.

 (a) The Bureau Director shall have the following powers and duties:

 (1) Evaluate, review and issue all applicants and applications for a thoroughbred horse racing license in accordance with the standards set forth in the act. The Bureau Director shall be prohibited from disclosing any portion of an investigation or evaluation of an applicant to a Commissioner prior to the decision relating to the applicant's suitability for licensure if that determination is to be rendered the Commission.

 (2) Inspect and monitor licensees and other persons regulated under this part for noncriminal violations, including potential violations of racing referred to the bureau by the Commission or any other person.

 (3) Monitor horse racing operations and racing activities by all licensees to ensure compliance with the act and these regulations.

 (4) Inspect, review, examine and investigate licensees, including the physical spaces and facilities in which licensees engages in racing activities, including stalls, barns, administrative offices, front-side and back-side areas of the licensed racing facility and racetrack enclosure.

 (i) The Bureau Director's powers and duties may include the review and reproduction of any document or record.

 (ii) Examinations may include the review of accounting, administrative and financial records, management control systems, procedures and other records.

 (5) Refer possible criminal violations to law enforcement entities.

 (6) Cooperate in the investigation and prosecution of any criminal violation by criminal law enforcement entities.

 (7) Begin any racing related investigation as deemed necessary and appropriate under the general jurisdiction of the Commission.

 (8) Implement, with the approval of the Commission and publication in the Pennsylvania Bulletin, a complete racing penalty matrix to be utilized by the Director, the Board of Judges or the Commission for violations of the rules of racing and administrative regulations.

 (b) Upon the Bureau Director's own motion or upon written request of a licensee, the Bureau Director may review, for consistency and appropriateness, any administrative penalty issued by the Board of Stewards. Based upon the Bureau Director's review and analysis of the underlying matter, the Bureau Director may enforce the consistency of penalties imposed by the Board of Stewards, up to and including, the dismissal of the underlying ruling, or increasing or decreasing the imposed penalty.

§ 177.4. Subpoena powers.

 Under section 9311(d)(3) of the act (relating to State Horse Racing Commission), the Bureau Director or designee, shall have the authority to issue administrative or documentary subpoenas to compel the attendance of witnesses and production of all relevant and material reports, books, papers, documents, correspondence and other evidence related to regulation and enforcement of horse racing matters under the act and these regulations. The procedures for the issuance and enforcement of subpoena powers are governed by Chapter 179 (relating to Rules of Administrative Practice and Procedure—temporary regulations).

§ 177.5. Date of filing appeals.

 Appeals from the actions or rulings of the Board of Stewards shall be prepared and filed with the Bureau Director in accordance the provisions set forth in §§ 179.3 and 179.7 (relating to filings and appeals; and request for hearing by applicant or licensee). The date of filing of an appeal or request for hearing shall be the date the written petition or request was physically received and date-stamped in the Executive Offices of the Commission.

§ 177.6. Contents of petition for stay.

 (a) In addition to the provisions of § 179.7 (relating to request for hearing by applicant or licensee), a party seeking a stay of an underlying ruling or determination by the Board of Stewards or other Commission staff shall comply with the following:

 (1) A petition for a stay must be in writing, contain numbered paragraphs and must plead facts with particularity and be supported by affidavits and specific evidence of those facts.

 (2) A petition for stay must state with particularity the citations of legal authority the petitioner believes form the basis for the grant of a stay.

 (b) A petition for stay may be summarily denied by the Bureau Director for failure to comply with the following reasons:

 (1) Lack of particularity of the facts pleaded.

 (2) Lack of particularity or inapplicability of the legal authority cited as the basis for the grant of the supersedeas.

 (3) Failure to provide an affidavit supporting the facts alleged in the petition.

 (4) Failure to state grounds sufficient for the granting of a supersedeas.

§ 177.7. Circumstances affecting grant or denial.

 (a) The Bureau Director, in granting or denying a stay, will be guided by prevailing case law and precedent. The factors to be weighed include the following:

 (1) The applicant is likely to prevail at the ultimate hearing on the merits;

 (2) The applicant will sustain irreparable harm without the stay;

 (3) The issuance of the stay will not substantially harm other interested parties in the proceedings;

 (4) The issuance of a stay will not adversely affect the public interest.

 (b) A stay will not be issued if injury to the health, safety and welfare of a horse, licensee or other racing participant exists or is threatened during the period when the stay would be in effect.

 (c) In granting a stay, the Bureau Director may impose specific conditions in the stay that are reasonably warranted by the circumstances.

§ 177.8. Waiver of hearings.

 A hearing need not be held if any of the following occurs:

 (1) The appellant waives the right to a hearing and elects to proceed under the alternative procedures governing documentary hearings set forth in Subchapter E (relating to documentary hearings).

 (2) The appellant enters in a negotiated resolution of the underlying ruling of the Board of Stewards with the Bureau Director.

 (3) The Bureau Director determines, after reviewing the appeal and/or stay documents, that there are no material facts in dispute.

 (4) Subsections (a)—(c) supersede 1 Pa. Code § 35.101 (relating to waiver of hearing).

CHAPTER 179. RULES OF ADMINISTRATIVE PRACTICE AND PROCEDURE—TEMPORARY REGULATIONS

Subchap.

A.	GENERAL PROVISIONS
B.	JUDGES AND STEWARDS HEARINGS
C.	COMMISSION HEARINGS
D.	EJECTION MATTERS EXPEDITED HEARING PROCEDURES
E.	DOCUMENTARY HEARINGS

Subchapter A. GENERAL PROVISIONS

Sec.

179.1.	Generally.
179.2.	Definitions.
179.3.	Filings and appeals.
179.4.	Computation of time.
179.5.	Investigation and special procedures.
179.6.	Commission action without prior hearing.
179.7.	Request for hearing by applicant or licensee.
179.8.	Commission original action with prior hearing.
179.9.	Service by the Commission.
179.10.	Subpoena powers and procedures.
179.11.	Computation of time.
179.12.	Extensions of time and continuances.
179.13.	Complaints and other pleadings.
179.14.	Answers to complaints, petitions, motions and other filings requiring a response.
179.15.	Motions to protect confidential information.
179.16.	Limited discovery.
179.17.	Intervention.
179.18.	Offers of settlement.

§ 179.1. Generally.

 This chapter governs the practice and procedure before the Commission, its Bureau Directors or other Commission staff authorized to take necessary and appropriate licensing action and is intended to supersede specific provisions of 1 Pa. Code Part II (relating to General Rules of Administrative Practice and Procedure).

§ 179.2. Definitions.

 (a) The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise:

 Adjudication—An order, decree, decision, determination or ruling by the Commission affecting the personal or property rights, privileges, immunities, duties, liabilities or obligations of the parties to the proceeding in which the adjudication is made.

 Complaint—A written statement of verified allegations submitted by a Bureau Director, Commission staff or other licensed person setting forth the violation of law or of rules and regulations promulgated thereunder.

 Documentary evidence—Any document or paper which is presented and accepted as evidence in a proceeding.

 Documentary hearing—A proceeding limited to a review of documentary evidence submitted by the parties, including pleadings, documents, affidavits and transcripts.

 Electronic mail—A means of dispatching or receiving a submittal in relation to a Commission matter through electronic means.

 Formal investigation—A matter initiated by the Commission, the Bureau Directors or Commission staff which results in a formal review of possible violations of the act or the rules and regulations promulgated by the Commission. An investigation may be initiated through or arising from written complaints, oral allegations, anonymous tips, video tape surveillance or other information collected or presented to the Commission.

 Hearing—A proceeding, documentary or oral, initiated by the filing of a complaint, petition, motion, ruling of the Board of Judges or Board of Stewards or by order of the Commission.

 Hearing Notice—A notice of the time and place of a hearing.

 Intervener—A person who petitioned to intervene in a proceeding and has properly demonstrated an effected interest sufficient to create standing in the matter and who has been admitted by the Commission as a participant to the proceeding.

 Oral hearing—A proceeding wherein the parties may present sworn testimony, documents or other evidence and of which a verbatim record is made.

 Party—A person who is named in or admitted to a proceeding before the Commission and who has a direct interest in the subject matter of the proceeding.

 Prehearing conference—A proceeding to establish a schedule, discuss offers of settlement and identify other issues the Commission, the Bureau Directors or presiding officer may direct.

 Presiding officer—

 (i) A member of the Commission or other person designated by the Commission to conduct a proceeding.

 (ii) This definition supersedes 1 Pa. Code § 31.3 (relating to the definitions).

 Proceeding—A matter intended to produce a formal record.

 Respondent—A person subject to the jurisdiction of the Commission to whom an order or notice is issued by the Commission or Bureau Directors instituting a proceeding or investigation.

 Subpoena—

 (i) Administrative subpoena. An order of the Commission or designee directing a licensee or other person or witness to attend and present testimony and documents at a particular time, place and proceeding;

 (ii) Investigatory subpoena (Duces Tecum) An order of the Commission or designee compelling a licensee to produce certain records, documents or other things related to an investigation which may be in the possession, custody or control of that person. (This definition supersedes 1 Pa. Code § 35.142 (relating to subpoenas).)

 (b) Subsection (a) supersedes 1 Pa. Code § 31.3 (relating to definitions).

§ 179.3. Filings and appeals.

 (a) Initial Appeals. Appeals from an action of the Judges or Stewards, Bureau Directors or other Commission staff, must comply with the provisions set forth in § 179.7 (relating to request for hearing by applicant or licensee), within the prescribed 10-day time period for appeals and must be physically received and date-stamped by the Commission's Executive Office by first-class mail or in person at:

 State Horse Racing Commission
Docket Clerk
Department of Agriculture Building
Room 301
2301 North Cameron Street
Harrisburg, PA 17110

 (1) Whether an appeal is considered timely shall be determined by the date of receipt by the Commission at the previous address and not the date of deposit in the mail system.

 (2) No initial appeals shall be accepted by email of facsimile.

 (3) The Commission or the Bureau Directors may order redundant, immaterial, impertinent or scandalous matters stricken from documents filed with it.

 (b) Acceptance of Appeal or Stay, or both. The Bureau Directors or the Commission's staff shall review the initial appeal request for compliance with § 179.7. A formal ruling granting or denying the appeal or the stay, or both, if properly requested shall be issued under signature of the Bureau Directors as soon as practicable.

 (c) Subsequent Filings. Once an appeal has been granted and a matter is pending before the Commission, hearing notices shall be generated by and issued from the Hearings and Appeals Clerk, Office of Chief Counsel. All subsequent correspondence, filings, pleadings or briefs relating to the proceeding filed by the parties shall be filed with the Hearings and Appeals Docket Clerk at the following address in one of the following methods:

 (1) First class mail. Service may be made by mailing a copy to each party, properly addressed with postage prepaid.

 (2) Personal. Service may be made personally.

 (3) Electronic. With the specific authorization of the Commission or the presiding officer and if expedited relief is required, service may be made by either electronic mail or telefacsimile. In either manner, the parties shall specifically identify the type of document, the docket number and a brief description of the document.

 Hearings and Appeals Docket Clerk
Office of Chief Counsel
Department of Agriculture Building
Room 201
2301 North Cameron Street
Harrisburg, PA 17110

 (d) If a hearing officer has been assigned, all subsequent motions, pleadings, correspondence or requests for continuances shall be filed with the hearing officer and served upon the parties to the proceedings as determined by the hearing officer.

 (e) Subsections (a)—(d) supersede 1 Pa. Code § 31.5 (relating to communications and filings generally) and 1 Pa. Code § 31.11 (relating to timely filing required).

§ 179.4. Computation of time.

 (a) In computing a period of time prescribed or allowed by the act or this part, the day of the event or default after which the designated period of time begins to run is not included. The last day of the period is included, unless it is Saturday, Sunday or a legal holiday in this Commonwealth, in which case the period shall run until the end of the next day which is neither a Saturday, Sunday or holiday. Intermediate Saturdays, Sundays and legal holidays shall be included in the computation.

 (b) Subsection (a) supersedes 1 Pa. Code § 31.12 (relating to computation of time).

§ 179.5. Investigation and special procedures.

 (a) The Commission, its Bureau Directors or Commission staff shall have the right at any time to initiate, conduct and convene investigatory meetings, interviews or hearings as deemed necessary and appropriate to oversee and regulate the proper administration of the act and the horse racing industry. Notice of the general scope of the inquiry or investigation may be given to the person(s) in the investigatory meetings, interviews or hearings, if disclosure will not compromise the investigative process.

 (b) Except for racing disqualifications and non-disqualifications matters, the Commission shall have the right to supersede the decisions or rulings of the Bureau Directors, its Judges or Stewards or other Commission staff at any time either, upon its own motion or upon written request. The action may be upon an interim or final basis and the Commission may make a partial adjudication and remand the remaining issues to the Bureau Directors, Judges, Stewards and Commission staff or the Commission may assume full and complete jurisdiction for all further purposes as it alone may deem appropriate and necessary.

 (c) Where administrative action is to be taken on a license application, or a previously issued license, the Commission, the Bureau Directors, or Commission staff, may take the necessary action either without a prior hearing being conducted under § 179.6 (relating to Commission action without prior hearing) or with a prior hearing being conducted under § 179.7 (relating to request for hearing by applicant or licensee).

§ 179.6. Commission action without prior hearing.

 (a) New License. When an application for an occupational license is to be refused by the Bureau Director(s) or Commission staff, the same may be done without prior hearing. Notice of the denial and the specific grounds for the denial, as set forth in section 9323(g) and (g.1) of the act (relating to occupational licenses for individuals), shall be given to the applicant or applicant's attorney, if applicable, at the address set forth in the license application.

 (b) Temporary License. When a temporary license is to be suspended or revoked by the Bureau Director(s) or Commission staff, after issuance, the same may be done without a prior hearing, provided that the temporary license holder is given notice of the decision immediately and the licensee may demand, within 10 days of the notice, either an oral hearing to be conducted before the Judges/Stewards or a documentary hearing before the specific Bureau Director in accordance with provisions of Subchapter E (relating to documentary hearings).

 (c) Conditional License. When a licensee, who has entered into a conditional license agreement with the Commission, has engaged in behavior or conduct which is expressly prohibited by the agreement and is of a nature that would warrant an immediate suspension or revocation, the Commission or its Bureau Director shall issue a Rule to Show Cause to the licensee.

 (1) Within 10 days from the date of service of the Rule to Show Cause, the person against whom it is directed shall file a verified answer responding to the allegations, showing good cause why the occupational license should not be immediately suspended or revoked based solely upon the provisions of the fully executed conditional license agreement and setting forth whether a hearing is desired.

 (2) Averments set forth in the Rule to Show Cause, which are not specifically denied by way of verified answer shall be deemed to have been admitted. Failure to file a proper and timely answer shall constitute a sufficient basis for the entry of a default order.

 (3) If the matter proceeds to a hearing on the Rule to Show Cause, the Commission or duly appointed presiding officer will issue a written adjudication and order solely based upon the record.

 (d) Emergency action. In emergency circumstances or in matters involving the clear and present danger to the integrity of racing, the health, safety and welfare of a racing participant or the health and welfare of a horse, the privilege of a permanent occupational license may be temporarily suspended or revoked by the Bureau Director or Commission staff without a prior hearing. Except that, the licensee shall be immediately notified, in writing, of the reasons supporting the emergency license suspension or revocation. In the event of a revocation, the licensee shall, if timely and appropriately requested, receive a hearing within 10 days of the temporary revocation in accordance with section 9323(i) and (j) of the act.

 (e) Content of Notices. A written notice or Commission ruling relating to action taken without a prior hearing, including a license denial, refusal, conditional license suspension or and emergency suspension or revocation shall include sufficient detail of the underlying facts as to reasonably inform the applicant or licensee of the basis for the action taken. The notice or ruling shall specifically advise the applicant or licensee of the right to appeal the matter to the Commission. The written notice or ruling shall be served upon the applicant or licensee in accordance with § 179.9 (relating to service by the Commission), except that if service is made by certified mail, the date of mailing will be deemed to be the date of service.

 (f) Failure to use license. If a person holding a duly issued occupational license shall cease to actively pursue that occupation for a period in excess of 90 days, the license may be temporarily suspended by the Bureau Directors or licensing staff until the holder of the license submits satisfactory evidence of the anticipated resumption of active participation in racing. Instead of providing the information, a licensee may, at any time, surrender any or all occupational licenses previously issued by the Commission.

 (g) Finality. In the event an applicant or licensee shall not timely or appropriately request a hearing, the matter shall be deemed final and unappealable to the Commission.

 (h) Subsections (a)—(g) supersede 1 Pa. Code § 31.13 (relating to issuance of agency orders).

§ 179.7. Request for hearing by applicant or licensee.

 (a) Request for hearing. A person aggrieved by actions taken by the Bureau Directors, Commission staff without a prior hearing or the actions of the Board of Judges or Board of Stewards, may appeal the action to the Commission. The appeal and request for a hearing must be made in writing to the respective Bureau Director and must be filed in accordance with the provisions of § 179.3(a) (relating to filings and appeals). A request for a hearing not properly filed shall be denied.

 (1) The written request shall be sworn to before a notary public and shall set forth in numbered paragraphs a concise statement of all the factual and legal grounds upon which the hearing is requested.

 (2) The hearing, if granted, shall be limited to matters or issues expressly set forth in the written appeal. All matters not expressly set forth in the initial appeal request shall be deemed waived.

 (b) Timeliness. A request for a hearing, to be considered timely, must actually be received in the Commission's Administrative Office in Harrisburg and date-stamped within 10 days from the written or oral notice of the decision or ruling, license denial, suspension or revocation in accordance with § 179.3. Any appeal not filed in accordance with these provisions may be deemed incomplete, untimely or improperly filed and shall be denied.

 (c) Appeal bond.

 (1) Purpose. The posting of an appeal bond is designed to ensure that appellants engage in a thoughtful and accurate assessment of the underlying merits of their matter prior to requesting an administrative hearing before the Commission. The Commission finds that many appellants file appeals simply to delay the imposition of the ultimate penalty and, in many instances, withdraw their respective appeals at the very last minute or fail to appear at a duly scheduled hearing after the Commission has undertaken expenses associated with scheduling and conducting the hearing.

 (2) Amount. In addition to all other requirements to timely and properly appeal decisions, determinations and rulings by the Board of Judges or Board of Stewards, Bureau Directors or Commission staff, all appellants must submit an appeal bond in the amount of $750, in the form of a check or money order, along with their written request for a hearing or stay, or both. The amount of the appeal bond may be modified by the Commission and published in the Pennsylvania Bulletin.

 (i) No appeal or request for a hearing shall be considered without the submission of the applicable appeal bond.

 (ii) The appeal or request for a hearing shall be rescinded if the check upon which the appeal bond is written is dishonored.

 (iii) No cash may be used as the appeal bond.

 (3) Forfeiture of bond. The Bureau Directors or the Commission may withhold the appeal bond, either in whole or in part, if:

 (i) The Commission expressly makes a finding and determination in its written adjudication that the underlying appeal was frivolous or without any factual or legal foundation.

 (ii) Appellant fails (without due cause shown) to appear at the duly scheduled hearing, notwithstanding receipt of proper notice of the hearing.

 (iii) Appellant withdraws or settles the appeal 3 days prior to the scheduled hearing date.

 (d) Payment of fines. An appeal or request for a hearing from an underlying action or ruling shall not relieve the person of the requirement to pay the issued fine. If the appeal is disposed of in favor of the appellant, the Commission shall refund the amount of the fine.

 (e) Request for stay. The underlying action or ruling to deny a license, suspend or revoke a license shall remain in full force and effect pending the final determination on the hearing demanded unless a party has requested and received a stay. Applications for a stay shall conform to the standards set forth in §§ 175.6 and 177.6 (relating to contents of petition for stay) of the Commission's regulations.

 (1) If the underlying actions or determinations were taken by the Bureau Director, the request for a stay shall be ruled upon by the Commission or designee under the applicable standards for granting the relief.

 (2) If the underlying actions were taken by Commission staff, the request for a stay shall be ruled upon by the respective Bureau Director, who for good cause shown, may grant a stay of the action or ruling until the final determination by the Commission in accordance with the applicable standards for granting the relief requested.

 (3) The decision to grant or refuse a request for a stay shall be based upon a balancing of the pertinent facts sworn to by applicant and upon the sound discretion of the specific Bureau Director to whom the application is addressed.

§ 179.8. Commission original action with prior hearing.

 (a) Upon receipt of a complaint filed under § 179.13 (relating to complaints and other pleadings) or upon its independent investigation or any other information the Commission may deem sufficient, the Commission may begin original action against a licensee. Prior to the original action taking effect, the Commission shall provide the licensee a written Notice of Violation and Proposed Administrative Penalties setting forth the applicable violations of the rules of racing, the applicable findings of fact and underlying administrative authority. The Notice of Violation shall also inform the licensee of the opportunity to request a hearing in the matter. A request for a hearing shall comply with § 179.7 (relating to request for hearing by applicant or licensee).

 (b) Where a hearing is to be scheduled under any section of this chapter, the notice of hearing shall be served upon the parties at least 10 days prior to the date of the hearing unless the Commission, for cause stated, shall specify a lesser period, or the respondents shall agree to a lesser period or another section of this chapter shall explicitly provide for a hearing upon shorter notice. The notice of hearing shall provide:

 (1) The time, place and nature of the hearing.

 (2) The legal authority and jurisdiction under which the hearing is to be held with specific designation of the statutory or regulatory provisions alleged to have been violated.

 (3) A clear and concise factual statement sufficient to inform each party with reasonable definitiveness of the type of acts or practices alleged to be in violation of the act or regulations promulgated thereunder.

§ 179.9. Service by the Commission.

 (a) Applicability. This section applies to service of an order, notice, complaint or other similar document originating from the Commission, except when the Commission specifically requires a different form of service.

 (b) Forms of Service.

 (1) Registered or certified mail. Service may be made by registered or certified mail, return receipt requested, to the person to be served, addressed to the person designated in the initial pleading, submittal or notice of appearance at the person's residence, principal office or place of business.

 (2) First Class Mail. If time is of the essence, instead of registered or certified mail, service may be made by regular first-class mail, postage prepaid, to the last known address previously provided by the party to the Commission.

 (3) Personal. Service may be made personally by anyone authorized by the Commission. Service will be made by personally delivering a copy:

 (i) Directly to the person named in the notice, pleading or order or to an attorney representing said person.

 (ii) At the residence of the person named in the notice, pleading or order, or to an adult member of the family with whom the person named resides. If no adult member of the family is found, then to an adult person in charge of the residence.

 (iii) At the licensed facility at which the person named is stabled, employed, licensed in connection therewith or routinely participates in racing at the facility.

 (4) Trainer of Record. Service may be made upon the trainer of record as agent for and on behalf of the owner of a horse, who shall be solely responsible to notify the owner(s) of any notice, pleading or order. Service upon the trainer of record shall be deemed adequate and reasonable notice to the listed owner.

 (5) Service upon attorneys. When an attorney enters an appearance under § 179.63 (relating to representation before the Commission) service must be directed to the attorney in the same manner as prescribed for the client. Service upon the attorney shall be deemed service upon the party.

 (c) Proof of service. Proof of service shall be evidenced by a return of service filed with the Hearing and Appeals Docket Clerk as set forth in § 179.3 (relating to filings and appeals).

 (d) Subsequent service. Service of any subsequent document or correspondence in a proceeding may be made by electronic mail or first-class mail, or both, to the last known address previously provided by the party to the Commission.

 (e) Change of address. It is the duty of a party to apprise the Commission of changes to the party's current address. Failure of a party to maintain an updated address with the Commission shall not be form a basis for an allegation of lack of service.

 (f) Subsections (a)—(c) supersede 1 Pa. Code § 33.31 (relating to service by the agency).

§ 179.10. Subpoena powers and procedures.

 (a) Authority. In accordance with the provisions of the act, the Commission is vested with exclusive jurisdiction and authority to regulate the horse-racing industry, including the operations of horse racing, the conduct of pari-mutuel wagering activities and all licensed persons engaged in pari-mutuel horse racing activities within this Commonwealth. A properly issued investigatory or administrative subpoena issued under the authority of the act is considered an order of the Commission and shall have the same effect of any properly issued order, which may be enforced by the Commission by and through the licensing and enforcement provisions set forth in section 9323 of the act (relating to occupational licenses for individuals).

 (b) Investigatory Subpoena (Duces Tecum). To effectuate its statutory authority and in furtherance of racing related investigations, the Commission, its Bureau Directors or Commission staff, under section 9312(4) of the act (relating to additional powers of commission), shall have the power to issue investigatory subpoenas necessary for the inspection, investigation and proper review of suspected or actual racing violations and other racing related matters.

 (1) The production of documents, records, books, financial records and other documentary information sought by the investigatory subpoena shall be sufficiently limited in scope and purpose to not to be unreasonably burdensome and shall be related to the initiation of an investigation or the furtherance of an ongoing investigation regarding suspected or actual violations of the rules of racing and pari-mutuel racing activities within this Commonwealth.

 (2) Probable cause is not necessary for the issuance of the investigatory subpoena.

 (3) Investigatory subpoenas shall be served in accordance with the provisions set forth in § 179.9 (relating to service by the Commission).

 (4) The Commission, Bureau Directors or Commission staff, in the course of an investigation or racing matter, may conduct personal interviews of licensees and take written witness statements under oath from the licensees. They may administer oaths, take testimony and record the proceeding as necessary for the proper conduct of the investigation.

 (c) Form of investigatory subpoena. The subpoena shall include all of the following:

 (1) A brief written statement of the general relevance relating to the initial or ongoing racing-related investigation, the scope of the documentary evidence sought and specify, as nearly as possible, the documents desired and time period associated with the particular investigation.

 (2) A notice that a response or objection to the subpoena must be filed with the Commission or the Bureau Director within 20 days of service of the subpoena.

 (3) A notice advising of the licensee of potential licensing consequences for failure to timely respond, object or produce the requested documents.

 (4) A certificate of service.

 (d) Refusal to comply with investigatory subpoena. All licensees shall fully comply with a properly issued and served subpoena in accordance with the previous provisions. The Commission, Bureau Director or other designee shall make every reasonable effort to coordinate with the licensee the production and receipt of the required documents. The Commission and the subpoenaed parties may agree to provide documents on an ongoing basis which may be deemed substantial compliance. Any party failing to timely object, respond or produce the requested documents may be subject to a fine, license suspension or any other penalty provided for in the act.

 (1) Show Cause. If a licensee fails or refuses to comply with the investigatory subpoena, the Commission or Bureau Directors shall issue a Rule to Show Cause directed to the licensee to show good cause for failing or refusing to comply with the properly issued subpoena. The Show Cause hearing shall be conducted in accordance with the hearing provisions set forth in Subchapter C (relating to Commission hearings).

 (2) Penalty. The Commission shall issue an adjudication and order. Any subsequent licensing action taken by the Commission for failure or refusal to comply with the subpoena, after the show cause hearing, shall be based upon its authority to enforce racing related orders as set forth in section 9323(g.1) of the act.

 (3) Subsection (d) supersedes 1 Pa. Code §§ 35.14 (relating to orders to show cause).

 (e) Administrative Subpoena (Ad Testificandum). Under section 9311(d)(3)(vii) of the act (relating to State Horse Racing Commission), the Bureau Director or presiding officer shall have the power to issue an administrative subpoena to compel the attendance of witnesses and production of relevant, material reports, books, papers, documents, correspondence and other similar evidence at a hearing.

 (1) Administrative subpoenas, authorized under the act and this section shall be signed and issued over the seal of the Commission to any party, upon proper written application to the Commission or presiding officer at least 10 days prior to the hearing or proceeding. The written application, shall be set forth in numbered paragraphs, the general relevance, materiality and scope of the testimony of the witness and the documentary evidence sought. Failure to provide adequate grounds for the necessity of the subpoena shall be sufficient reason for the denial of the subpoena. Each party shall be responsible for the service of the requested subpoena.

 (2) Witness and mileage fees shall be paid to the witness subpoenaed to appear at a proceeding before the Commission or the presiding officer and shall be paid by the party at whose instance the witness is called at the rate specified by the courts of common pleas.

 (3) A proposed subpoena must be attached to the written application for said subpoena addressed to the presiding officer.

 (f) Duty of licensee. The issuance of a subpoena under this part will not be required to secure the cooperation of a person who is an applicant for or the holder of a license issued by the Commission or to secure the voluntary cooperation of any person.

 (g) Subsections (a)—(f) supersede 1 Pa. Code §§ 35.139 and 35.142 (relating to fees of witnesses; and subpoenas).

§ 179.11. Computation of time.

 (a) In computing a period of time involving the date of the issuance of a ruling or order by the Commission, the Bureau Directors or other Commission staff authorized to issue orders, the day of issuance of an order will be the date the ruling or order is entered. An order will not be made public prior to its entry, except when, in the Commission's judgment, the public interest so requires. The date of entry of an order may or may not be the day of its adoption by the Commission.

 (b) The date of issuance of an order shall be deemed to be the date of entry for the purposes of computing the time for appeal under an applicable statute relating to judicial review of Commission action.

 (c) Subsections (a) and (b) supersede 1 Pa. Code § 31.13 (relating to issuance of agency orders).

§ 179.12. Extensions of time and continuances.

 (a) Extensions of time will be governed by the following:

 (1) When an act is otherwise required to be done at a specified time or within a specified time, the date or period of time prescribed may be extended by the Commission, for good cause, upon a motion made before expiration of the period originally prescribed. An extension for time to comply with the specified time period after the expiration date shall be at the sole discretion of the Commission.

 (2) Written requests for an extension of time in which to file motions, briefs or other pleadings within a proceeding shall be filed at least 5 days before the time fixed for filing the documents unless the Commission or presiding officer, for good cause shown allows a shorter time. Concurrence or denial of extension of time shall be reported to the presiding officer in the request.

 (3) Requests for a continuance of a hearing shall be made in writing at least 96 hours prior to the time fixed for hearing to the presiding officer, specifically setting forth the facts upon which the request for continuance rests. An application received by the presiding office within the 96-hour period will not be granted, except upon extreme cause. A verification of the facts shall accompany the written request for continuance. No more than two continuances may be approved to any party.

 (b) Subsection (a) supersedes 1 Pa. Code § 31.15 (relating to extensions of time).

§ 179.13. Complaints and other pleadings.

 (a) Pleadings. Only the following pleadings shall be permitted:

 (1) Complaints.

 (2) Petitions.

 (3) Motions.

 (4) Applications for licensure.

 (5) Answers to pleadings.

 (b) Fees. Fees for copies and other administrative requests, if any, will be in accordance with a fee schedule adopted by the Commission published in the Pennsylvania Bulletin and posted on the Commission's web site.

 (c) Complaints. A person complaining of an act done or failed to be done by a person subject to the jurisdiction of the Commission, in violation, or claimed violation of the statute which the Commission has jurisdiction to administer, or of a regulation or order of the Commission, may file a formal complaint with the Commission.

 (1) Complaints may be filed by the Bureau and other persons authorized by the Commission.

 (2) With respect to complaints filed against the Commission, no answer need be filed. The issues in the proceeding may be determined by prehearing conference memoranda or as specified by the presiding officer.

 (3) Complaints will be served in accordance with § 179.9 (relating to service by the Commission).

 (d) Content of formal complaint. A formal complaint must set forth the following:

 (1) The name, mailing address, telephone number, telefacsimile number and electronic mailing address, if applicable, of the complainant.

 (2) If the complainant is represented by an attorney, the name, mailing address, telephone number, telefacsimile number and Pennsylvania Supreme Court identification number of the attorney and, if available, the electronic mailing address.

 (3) The name, mailing address and certificate or license number of the respondent complained against, if known, and the nature and character of its business.

 (4) The interest of the complainant in the subject matter—for example, trainer, owner, licensed racing entity, and the like.

 (5) A clear and concise statement of the act or omission being complained of including the result of any informal complaint or informal investigation.

 (6) A clear and concise statement of the relief sought.

 (7) Except for the documents referenced within § 179.13 (relating to complaints and other pleadings), a document or the material part thereof, must be attached when a claim is based upon that particular document, the material part thereof. A copy of the document or the material part thereof shall be attached to the pleading.

 (e) This section supplements 1 Pa. Code §§ 35.9—35.11 (relating to formal complaints).

§ 179.14. Answers to complaints, petitions, motions and other filings requiring a response.

 (a) Answers to complaints, petitions, motions and other filings requiring a response and are subject to a proceeding, shall be filed with the Commission or its presiding officer, if applicable, and a copy shall be filed with the Hearings and Appeals Docket Clerk and served upon all other parties within 30 days after the date of service of the complaint, petition, motion or other pleading, unless a different time is prescribed elsewhere in the Commission's regulations.

 (b) Failure to file a timely answer to a complaint or petition will constitute an admission of all matters and facts contained in the filing and may result in the waiver of the right to a hearing. This subsection shall not apply to petitions or motions made to the Commission.

 (c) Answers may contain the following:

 (1) Admissions of the matter complained of and the alleged facts, in whole or in part.

 (2) New matter or explanation by way of defense.

 (3) Legal objections.

 (4) Affirmative defenses.

 (5) A request for a hearing.

 (d) Answers shall be in writing and shall specifically and in detail admit or deny each allegation in the pleading.

 (e) Sections (a)—(d) supersede 1 Pa. Code §§ 35.35—35.40 (relating to answers).

§ 179.15. Motions to protect confidential information.

 (a) A party or individual may designate information as confidential under § 173.8 (relating to confidential information) in any papers filed with the Commission by filing a Motion to Protect Confidential Information.

 (b) A Motion to Protect Confidential Information must:

 (1) Set forth the specific reasons why the information should be deemed to be confidential information and, therefore, protected.

 (2) Label as confidential all documents or portions of documents in the filing containing the confidential information that the party or individual is seeking to protect.

 (c) Upon the filing of the Motion to Protect Confidential Information, the Bureau Director or presiding officer, if one has been assigned, will review the motion and accompanying filings and, upon determining that a substantial basis exists, shall issue an interim order to protect the information, whether in the motion or the accompanying filings, from disclosure until the Commission considers the final matter in accordance with 65 Pa.C.S. §§ 701—716 (relating to open meetings). At all times during the pendency of the motion, the information in the motion and the accompanying filings shall be treated as confidential.

§ 179.16. Limited discovery.

 (a) The ability to obtain discovery in an administrative proceeding before the Commission or presiding officer is committed to the discretion of the Commission or presiding officer and unless otherwise privileged or unavailable, discovery may be granted but limited to the following:

 (1) Production of documents previously introduced at a Judges/Stewards hearing, if applicable.

 (2) Production of documents or things to be introduced at the proceeding or hearing, including a list of witnesses.

 (b) Requests for the limited discovery above, shall be in writing and shall set forth, with particularity, the information, documents and names of witnesses sought. The written request shall be filed with the presiding officer, if appointed and served upon the Commission's attorney or the opposing party in sufficient time to allow completion of discovery prior to the hearing.

 (c) The Commission or presiding officer may grant the limited request for discovery if the request will serve to facilitate the efficient and expeditious hearing process, and will not unduly prejudice or burden the responding party.

 (d) Discovery is not permitted which is sought in bad faith, would cause unreasonable delay, annoyance, embarrassment, burden or expense to the Commission or opposing party.

 (e) Each party shall attempt to determine the witnesses they intend to call at the hearing and the names shall be exchanged between parties no later than 3 work days in advance of the hearing. Calling a witness whose name does not appear on the list may be permitted at the discretion of the Commission or presiding officer.

 (f) Confidential information, as determined by the Commission, which is furnished to or obtained by the Commission from any source will not be discoverable under this subsection.

 (g) Notwithstanding subsections (a)—(f), the parties to the proceeding are encouraged and may, by agreement, and informal basis provide or exchange, or both, the applicable documentation before the proceeding.

 (h) Subsections (a)—(g) supersede 1 Pa. Code §§ 35.145—35.152 (relating to depositions).

§ 179.17. Intervention.

 (a) Generally. The decision to grant a petition to intervene in a proceeding before the Commission or a presiding officer is within the sole discretion of the Commission or presiding officer.

 (b) Petition. Petitions to intervene must be in writing and set forth, in numbered paragraphs, the specific facts demonstrating the nature of the alleged right or interest of the petitioner, the grounds for the proposed intervention and the position of the petitioner in the proceeding. The petitioner shall fully advise the parties and the Commission of the specific issues of fact or law to be raised or controverted, by admitting, denying or otherwise answering, specifically and in detail, each material allegation of fact or law asserted in the petition, complaint or application initiating the proceeding and citing by appropriate reference provisions or other authority relied upon. The petition to intervene shall be filed with the Commission and served upon the named parties to the underlying proceeding in accordance with § 179.3 (relating to filings and appeals).

 (c) Determination. The Commission or the presiding officer, if appointed, will issue a decision on the petition to intervene as soon as practicable, after the expiration of the time for filing answers to the petition, if it is determined that:

 (1) The person has an interest in the proceeding which is substantial, direct and immediate.

 (2) The interest is not adequately represented by a party to the proceeding.

 (3) The person may be bound by the action of the Commission in the proceeding.

 (d) Notice of matters subject to intervention. The Commission shall publish in the Pennsylvania Bulletin, on its web site or announce at a regularly scheduled public meeting receipt of a timely, complete and properly filed application, petition or complaint submitted to the Commission for authorization or permission to engage in certain licensed racing activities under the act. Applications or petitions for authorization or permission to do any of the following shall be noticed as set forth above:

 (1) Application for a license to conduct horse race meetings.

 (2) Petition to transfer a license of a licensed racing entity.

 (3) Petition to change ownership of a licensed racing entity.

 (4) Petition to engage in or operate an electronic wagering system or otherwise offer electronic wagering to individuals within this Commonwealth regarding to a SPMO.

 (5) Application for a license to operate as a totalisator system or racing vendor.

 (e) Timing. Petitions to intervene may be filed no later than 30 days after due notice by the Commission as set forth above, unless in extraordinary circumstances and for good cause shown, the Commission authorizes a later filing. No petitions to intervene may be filed or will be acted upon during a hearing unless permitted by the Commission or presiding officer after opportunity for all parties to object thereto.

 (f) Answer to petition. A party, including the Commission's representatives, may file an answer to a petition to intervene, and in default thereof, will be deemed to have waived any objection to the granting of the petition to intervene. Answers shall be filed within 10 days after the date of filing of the petition to intervene, unless for cause the Commission prescribes a different time.

 (g) Participation of intervenor. Except when the Commission determines that it is necessary to develop a comprehensive evidentiary record, the participation of a person granted the right to intervene in a proceeding will be limited to the presentation of evidence through the submission of verified written statements attested to under oath. At the discretion of the Commission, the written statements may become part of the evidentiary record.

 (1) Where there are two or more intervenors having substantially like interests and positions, the Commission or presiding officer may, to expedite the hearing, set appropriate limitations on the number of attorneys who will be permitted to cross-examine and make and argue motions and objections on behalf of the intervenors.

 (h) Sections (a)—(g) supersede 1 Pa. Code §§ 35.27—35.32 and 35.36 (relating to intervention; and answers to petitions to intervene).

§ 179.18. Offers of settlement.

 (a) It is the policy of the Commission to encourage settlements or resolutions of underlying matters pending before the Bureau Directors, the Commission or a presiding officer.

 (b) Nothing contained in this chapter shall preclude a party in a proceeding from submitting, at any time, offers of settlement or proposals for resolution to the Bureau Directors.

 (c) If the parties settle or resolve a matter prior to the issuance of a Commission adjudication and order, the appellant shall submit a written withdrawal of the appeal to the Hearings and Appeals Docket Clerk as set forth in § 179.3 (relating to filings and appeals) and Commission staff shall issue a modified ruling or order, as applicable.

 (d) Appeals withdrawn and matters settled between the appellants and the Bureau Directors are final and not appealable to the Commission.

 (e) Offers of settlement, of adjustment or resolution not agreed to by the parties, will not be admissible in evidence against the party claiming the privilege.

 (f) Subsections (a)—(e) supersede 1 Pa. Code § 35.115 (relating to offers of settlement).

Subchapter B. JUDGES AND STEWARDS HEARINGS

Sec.

179.21.	Scope.
179.22.	General power of the Judges and Stewards.
179.23.	Jurisdiction of Judges and Stewards.
179.24.	Rights of the licensee.
179.25.	Notice required.
179.26.	Contents of notice.
179.27.	Continuances.
179.28.	Power to subpoena witnesses.
179.29.	Presence of Judges and Stewards at hearing.
179.30.	Testimony.
179.31.	Hearing.
179.32.	Evidence.
179.33.	Duty to testify.
179.34.	Votes of Judges or Stewards.
179.35.	Records.
179.36.	Matters referred to the Commission.
179.37.	Original record.
179.38.	Ruling.
179.39.	Effective date of decisions.
179.40.	Summary suspension available.
179.41.	Review and appeal.
179.42.	Request for stay.
179.43.	Non-disqualifications not appealable.

§ 179.21. Scope.

 (a) This subchapter governs the practice and procedures before the respective Board of Judges and the Board of Stewards of the Commission.

 (b) This subchapter shall be liberally construed to secure the just, speedy and inexpensive determination of every action or proceeding to which it is applicable. Judges and Stewards may disregard an error or defect of procedure which does not affect the substantive rights of the parties, especially when the proceeding is related to a pro se licensee.

 (c) This subchapter is intended to supersede the applicability of 1 Pa. Code Part II (relating to General Rules of Administrative Practice and Procedure) to practice and procedures before the Judges/Stewards.

 (d) Subsection (b) supersedes 1 Pa. Code § 31.2 (relating to liberal construction).

§ 179.22. General power of the Judges and Stewards.

 The Board of Judges and the Board of Stewards shall have the power to enforce the breed-specific rules and procedures of Standardbred racing or Thoroughbred racing, and otherwise resolve conflicts, disputes and impose penalties for violations of the rules and regulations of the Commission. The Judges and Stewards, in the best interests of racing, shall also have the power and jurisdiction over racing matters which are not expressly covered by this chapter. In all cases, the Judges and Stewards shall render their respective determinations in accordance with the generally accepted customs and usages of racing in conformity with equitable standards of justice.

§ 179.23. Jurisdiction of Judges and Stewards.

 (a) Jurisdiction and powers of the Judges and Stewards shall begin at the time when entries are taken for the first day of a racing meeting and shall terminate with the completion of their official business pertaining to the meeting. If a dispute or matter is unresolved at the time of completion of the meet, it may be heard later or disposed of by other Judges or Stewards or referred to the Commission. This section does not limit the power of the Judges or Stewards to impose sanctions continuing beyond the end of the race meeting. If there are succeeding meets at a racetrack facility, the power of the Judges and Stewards is deemed to be continuing and sustaining.

 (b) On their own motion or on receipt of a complaint from an official or other person regarding the actions of a licensee, the Judges/Stewards may conduct a preliminary inquiry into a suspected violation of the rules of racing, but thereafter, shall refer the matter to Commission investigators for final investigation and disciplinary proceedings.

 (c) A matter coming before the Judges or Stewards shall be decided within 15 days of the first formal action taken thereon, unless continued by agreement of the Judges or Stewards. No matter may be continued for more than an additional 15 days.

§ 179.24. Rights of the licensee.

 A person who is the subject of an evidentiary hearing conducted by the Judges or Stewards is entitled to proper notice of all charges, entitled to confront the evidence presented at the hearing and shall be afforded the following:

 (1) the right to counsel at the person's expense;

 (2) the right to examine all evidence to be presented against him/her;

 (3) the right to present a defense;

 (4) the right to call witnesses;

 (5) the right to cross examine witnesses; and

 (6) the right to waive any of the previous rights.

§ 179.25. Notice required.

 (a) Before any penalty may be imposed by the Judges or Stewards under the provisions of the act and this part, written notice must be given to the party to be charged with a violation. Unless the matter is an emergency, before holding the disciplinary hearing, the Judges or Stewards shall provide written notice to the party to be charged with a violation at least 5 days before the hearing.

 (b) If possible, the Judges or Stewards or Commission investigators shall hand deliver the written notice previously mentioned in subsection (a) to the person who is the subject of the disciplinary hearing. If hand delivery is not possible, the Judges or Stewards shall mail the notice to the person's last known address, as found in the Commission's licensing files, by regular mail and by certified mail, return receipt requested.

 (c) If the disciplinary hearing involves an alleged medication violation that could result in the disqualification of the horse, notice of the hearing provided to the trainer of record, as set forth above, shall also be deemed adequate and reasonable notice to owner of the horse. It shall be the trainer's sole responsibility, as agent of the owner, to notify the owner of the medication hearing. The owner of the horse may attend and participate in the hearing to the extent the underlying matter may affect the interest of the horse.

 (d) The failure of the summoned person to appear, after proper notice, shall be construed as a waiver of the right to a hearing before the Judges or Stewards and the Judges or Stewards shall issue a ruling as a default. The Judges or Stewards may impose an additional fine or suspension to the person who fails to appear at a disciplinary hearing after written notice of the hearing has been sent.

§ 179.26. Contents of notice.

 The written notice required by § 179.25 (relating to notice required) shall:

 (a) Informally and generally describe the nature of the infraction or violation charged.

 (b) A reference to the particular provisions of the statutes or rules potentially involved.

 (c) State the time and place of hearing.

 (d) Notify the party of his right to have counsel or an observer of his choice and that he bears the sole responsibility for securing and insuring the presence of the same.

 (e) Provide for the right to waive transcription of testimony at the hearing.

§ 179.27. Continuances.

 Upon receipt of a hearing notice, a person may request a continuance of the hearing from the Judges or Stewards, who may, in their sole discretion, grant a continuance for good cause shown. The Judges or Stewards may at any time order a continuance on their own motion.

§ 179.28. Power to subpoena witnesses.

 The Judges and Stewards may require, by subpoena, the personal attendance of witnesses and the reproduction of books, records, papers, correspondence and other documents relevant to the proceeding before them.

§ 179.29. Presence of Judges and Stewards at hearing.

 At least the Presiding Judge or Presiding Steward and one Associate Judge or Associate Steward shall be present at all times throughout the hearing.

§ 179.30. Testimony.

 Testimony at a hearing shall be given under affirmation or oath and a record shall be made of the hearing, either by use of a tape recorder or by the transcript of the court reporter. Except that: Judges or Stewards shall not be required to receive testimony under oath in cases where their ruling is based solely upon a review of the video tapes of a race. The party may request a viewing of the film in the presence of the Judges or Stewards at the hearing and be given an opportunity to state his own interpretation of the same.

§ 179.31. Hearing.

 (a) Hearing. No final determination may be made by the Judges or Stewards until the hearing is completed and the evidence has been received and the party charged has been given the opportunity to hear the evidence presented and the opportunity to defend. If a subpoenaed or noticed party fails to appear, an order or ruling may be entered by default.

 (b) Order of Hearing. Judges and Stewards shall have the discretion to conduct the hearing in accordance with the following:

 (1) The Judges or Stewards shall open the hearing by indicating the date and time, make a concise statement of its scope and purposes and announce that a record of the hearing is being made. All witnesses shall be sworn by the Judges or Stewards.

 (2) When a hearing has begun, a party or a party's representative may make an opening statement only if necessary or permitted by the Judges/Steward.

 (3) A party, a party's representative or any other person or witness who may testify at the hearing shall be identified on the record.

 (4) The Judges or Stewards may receive and review any preliminary relevant motions and afford each party of record the opportunity to submit a subsequent written motion. They may render a decision on the motion immediately or take that matter under consideration.

 (5) The Commission investigators shall have the burden of proceeding in the matter first. At the discretion of the Judges or Stewards, they may change the order of testimony of the party or witness. A party who asserts a particular fact or issue shall have the burden of proof of that matter.

 (6) The Judges or Stewards shall afford each party the opportunity to present the party's direct case and witnesses. Each party, as well as the Judges or Stewards may cross examine each witness.

 (7) In the course of the hearing, the Judges or Stewards may receive all relevant documentary evidence, including investigative reports, video tapes, lab reports or other similar records.

 (8) At the conclusion of all evidence and cross examination, at the discretion of the Judges or Stewards, closing statements may be allowed and the evidentiary record shall be closed.

 (c) Behavior. Each party, witness, attorney or other representative shall, at all times, behave in the Judge or Steward's proceedings with dignity, courtesy and respect for the Judges or Stewards and all other parties and participants. An individual who violates this section may be excluded from a hearing by the Judges or Stewards.

§ 179.32. Evidence.

 The Judges or Stewards shall allow a full presentation of evidence and are not bound by the technical rules of evidence. However, the Judges or Stewards may disallow evidence that is irrelevant or unduly repetitive of other evidence. They shall have the authority to determine, in their sole discretion, the weight and credibility of any evidence or testimony, or both. The Judges or Stewards may admit hearsay evidence if in the opinion of the Judges or Stewards it is the type of evidence that is commonly relied on by reasonably prudent people.

§ 179.33. Duty to testify.

 It shall be the duty of all persons to make full and complete disclosure to the Judges or Stewards of a fact or knowledge the person may possess regarding violations or possible violations of a rule of racing or of the law. No person may refuse to testify before the Judges or Stewards on a relevant matter except upon proper exercise of a legal privilege, nor may a person testify falsely or incompletely to the Judges or Stewards. If a person refuses to testify or falsely testifies as set forth, that matter may be referred to the Commission for a licensing action.

§ 179.34. Votes of Judges or Stewards.

 The Judges or Stewards shall decide all matters coming before them by majority vote. Should a Judge or Steward vote in the minority, that Judge or Stewards shall immediately make full report thereof to the Commission. Judges or Stewards so voting shall have the right to file a separate opinion thereof to the Commission. The ruling of the Judges or Stewards shall be generally in the form approved by the Commission. All rulings must be signed by the majority of the Judges or Stewards.

§ 179.35. Records.

 A written report concerning formal orders, rulings and other matters coming before the Judges or Stewards shall be kept by them and copies of the same shall be transmitted to the Commission.

§ 179.36. Matters referred to the Commission.

 Judges or Stewards shall have the power to refer a matter within their jurisdiction or powers directly to the Commission either before or after holding a hearing thereon. The Judges or Stewards may refer a matter for initial hearing to the Commission whenever it is deemed by them to be impossible or impracticable to hold the initial hearings, or because of the ending of a meet or for other good and substantial reason.

§ 179.37. Original record.

 Upon request by the Commission or the Bureau Directors, the original record of the hearing of the Judges or Stewards shall be delivered by them to the Commission. The record shall properly reflect whether the notice of the penalty, order, ruling or determination has been issued orally or in writing. If oral notice was given, the record shall reflect the date, time and place when it was given. If written notice was given, the record shall reflect the date and manner that written notice thereof was given.

§ 179.38. Ruling.

 (a) In cases involving a penalty, fine, suspension or sanction of any nature, the ruling of the same shall be given in writing to the adversely affected party, in the format adopted and approved by the Commission and must include the following:

 (1) the full name, Social Security number, date of birth, last record address, license type and license number of the person who is the subject of the hearing;

 (2) a statement of the charges against the person, including a reference to the specific section of the act or rules of the Commission that the licensee is found to have violated;

 (3) the date of the hearing and the date the ruling was issued;

 (4) the penalty imposed;

 (5) any changes in the order of finish or purse distribution; and

 (6) other information required by the Commission.

 (b) At the time the Judges or Stewards inform a person who is the subject of the proceeding of the ruling, the Judges or Stewards shall inform the person of the person's right to appeal the ruling to the Commission.

 (c) All fines imposed by the Judges or Stewards shall be paid to the Commission within 10 days after the issuance of the ruling, unless otherwise ordered by the Judges or Stewards.

§ 179.39. Effective date of decisions.

 A decision rendered by the Judges or Stewards shall only become effective 10 days after the ruling is served personally on the affected party or 10 days after the ruling has been sent by certified mail to the address given by the affected party in his license application, unless the Judges or Stewards find the delay to be contrary to the public interest. An affected party shall have the right to waive the delay in the effective date of the ruling and may, by writing, consent to immediate imposition of the sanction or order.

§ 179.40. Summary suspension available.

 (a) If the Judges or Stewards determine that a licensee's actions constitute an immediate danger to the public health, safety or welfare or the health and safety of a horse, the Judges or Stewards may summarily suspend the license pending an emergency hearing.

 (b) A licensee whose license has been summarily suspended is entitled to an emergency hearing on the summary suspension within 3 days after the license was summarily suspended. The licensee may waive the right to an emergency hearing on the summary suspension.

 (c) The Judges or Stewards shall conduct the emergency hearing on the summary suspension in the same manner as other disciplinary hearings. At an emergency hearing on a summary suspension, the sole issue is whether the person's license should remain suspended pending a final disciplinary hearing and ruling.

§ 179.41. Review and appeal.

 A person aggrieved by a ruling of the Judges or Stewards may appeal the matter to the Commission, except as provided in § 179.43 (relating to non-disqualifications not appealable) of this part. The appeal from the decision of Judges or Stewards must be made in writing and must conform to all the requirements set forth in § 179.3 (relating to filings and appeals). All appeals shall also be accompanied by an appeal bond made payable to the Commission in the amount as determined by the Commission as set forth in § 179.7 (relating to request for hearing by applicant or licensee).

§ 179.42. Request for stay.

 (a) The final determination or ruling by Judges or Stewards shall remain in full force and effect pending the final determination on the hearing, if granted. An aggrieved party, in addition to the written requirements set forth above for an appeal, may separately request a stay of the Judges' or Stewards' ruling or decision pending a final determination by the Commission. In accordance with § 175.6 or § 177.6 (relating to contents of petition for stay), the Bureau Director may, for good cause shown, grant a stay of the Judges'/Stewards' ruling until the final determination by the Commission provided that sufficient facts are presented by affidavit to warrant the stay.

 (b) Applications for a stay shall conform to the standards set forth in § 175.6 and § 177.6 of the Commission's regulations. The decision to grant or refuse a request for a stay shall be based upon a balancing of the pertinent facts sworn to by applicant but shall be based upon the sound discretion of the Bureau Director to whom the application is addressed.

§ 179.43. Non-disqualifications not appealable.

 The decision by the Judges or Stewards not to disqualify a horse after the running of a race has been declared official is final and may not be appealed to the Commission. This subsection is not applicable to disqualifications of horses resulting from medication or drug violations.

Subchapter C. COMMISSION HEARINGS

Sec.

179.51.	Generally.
179.52.	Nature of Commission hearings.
179.53.	Commission hearings.
179.54.	Scheduling of hearing.
179.55.	Hearing notices.
179.56.	Failure to attend hearing.
179.57.	Waiver of hearing.
179.58.	Consolidation.
179.59.	Presiding officers.
179.60.	Prehearing and other conferences.
179.61.	Hearing procedure.
179.62.	Commission official notice.
179.63.	Representation before the Commission.
179.64.	Contemptuous conduct.
179.65.	Suspension and disbarment.
179.66.	Briefs and oral argument.
179.67.	Transcript.
179.68.	Contents and close of the record.
179.69.	Proposed adjudication of the presiding officer.
179.70.	Commission decisions.
179.71.	Reopening of record.
179.72.	Rehearing or reconsideration.
179.73.	Appeals.

§ 179.51. Generally.

 (a) A hearing calendar of all matters set for hearing will be maintained by the Hearings and Appeals Docket Clerk as set forth in § 179.3(b) (relating to filings and appeals) and will be in order of assignment as far as practicable. All matters will be heard before the Commission in Harrisburg, Pennsylvania.

 (b) The Commission may designate a Commissioner or other qualified person to serve as presiding officer in a particular matter or proceeding. The Commissioner, presiding officer or other duly appointed person shall conduct the proceeding in an impartial manner. All appearances will be entered upon the record, with a notation on whose behalf each appearance is made. A notation will be made in the record of the names of the members of the staff of the Commission participating, if any, including accountants and other experts who are assisting in the investigation of the matter.

 (c) In oral hearings, neither the Commission, nor the presiding officer will be bound by technical rules of evidence and all relevant evidence of reasonably probative value may be received. Reasonable examination and cross-examination will be permitted at all oral hearings. If a party does not testify on his own behalf, the party may be called and examined as if under cross-examination.

 (d) Subsections (a) and (b) supersede 1 Pa. Code §§ 35.102, 35.123 and 35.124 (relating to hearing calendar; conduct of hearings; and appearances).

§ 179.52. Nature of Commission hearings.

 (a) Appeals from Judges or Stewards. An appeal to the Commission from a decision or ruling of the Board of Judges or the Board of Stewards, as set forth in Subchapter B (relating to Judges and Stewards hearings), shall be limited to the underlying evidentiary record created by the parties and Commission investigators at the hearing before the Judges or Stewards and shall not be considered a hearing de novo.

 (1) The Commission's review of the Judges' or Stewards' rulings shall be limited to a review for errors of law and whether the findings or conclusions set forth by the Judges or Stewards are supported by appropriate evidence contained in the hearing record.

 (2) Issues not raised by appellant in the notice of appeal will be deemed waived.

 (b) Original action. An appeal from a determination, decision or ruling by the Bureau Directors, the Commission's licensing or investigative staff, or a matter specifically referred to the Commission by the Board of Judges or Board of Stewards shall be a de novo hearing.

 (c) Subsection (b) supersedes 1 Pa. Code § 35.20 (relating to appeals from actions of the staff).

§ 179.53. Commission hearings.

 (a) Unless the Commission hears the matter directly, all matters shall be assigned to a presiding officer or other duly qualified person to serve as a presiding officer in the particular proceeding.

 (b) Hearings will be public unless a party invokes protection afforded to the party under § 173.8 (relating to confidential information).

 (c) Matters proceeding under the provisions of § 179.52(b) (relating to nature of Commission hearings) may provide for:

 (1) Receipt of sworn testimony, including testimony from the original matter before the Bureau Director or Commission staff.

 (2) Receipt of all relevant oral or documentary evidence used in the original determination or decision.

 (3) Opportunity to be heard.

 (4) A complete evidentiary record, including other pleadings, motions or briefs submitted.

 (d) Unless required by this part or authorized by law, a party may not engage in an ex parte communication with the Commission or the presiding officer.

 (e) Subsections (a)—(d) supersede 1 Pa. Code §§ 35.121—35.126 (relating to hearing).

§ 179.54. Scheduling of hearing.

 (a) On behalf of the Commission, the Hearings and Appeals Docket Clerk, will schedule the appropriate hearing in chronological order of receipt and will maintain a hearing calendar of all proceedings, with assigned docket numbers set for hearing.

 (b) Proceedings pending on the hearing calendar will be heard so far as practicable, in their order of assignment to the calendar at the times and places fixed in the hearing notices, giving due regard to the convenience and necessity of the parties and their attorneys, where possible.

 (c) The Commission or the presiding officer in the exercise of discretion, for cause, may advance or postpone proceedings on the hearing calendar with notice to the parties.

 (d) Subsections (a)—(c) supersede 1 Pa. Code § 35.102 (relating to hearing calendar).

§ 179.55. Hearing notices.

 (a) Notices. Notice of a hearing will be provided to the appellant or counsel in writing and issued by the Hearings and Appeals Docket Clerk, by any of the following methods: certified mail (return receipt requested), first class mail, personal service or by email, if agreed upon by the parties and their counsel as set forth in § 179.9 (relating to service by the Commission).

 (b) The written hearing notice to appellant shall include, the time, date and location of the hearing and indicate the method of service used. The notice shall also contain a general factual statement of the underlying matter and grounds for appeal.

 (c) Notices may also provide information relating to:

 (1) Applicable regulations and conduct of the hearing;

 (2) The grant or denial of Supersedeas;

 (3) Representation and continuances; and

 (4) The procedure for interpreters (if requested).

 (d) Notice to persons other than appellant. Service of the written hearing notice upon the horse owner, corporation, partnership, limited liability company or other entity who has an interest in the horse, shall be deemed proper and complete when service of the written hearing notice is made upon the licensed trainer of record. In accordance with all other duties and obligations of a licensed trainer, it shall be the sole duty, responsibility and obligation of the licensed trainer to inform or otherwise notify the horse's owner or ownership entity, as applicable, regarding an upcoming proceeding in which the owner or ownership entity interests in the horse in question may be impacted.

§ 179.56. Failure to attend hearing.

 (a) If, at the time and place scheduled for hearing, parties who have received due notice are not in attendance, whether in person or by counsel, the appeal shall be dismissed and the underlying decision shall be entered by and upon default.

 (b) In accordance with § 179.7(c) (relating to request for hearing by applicant or licensee), to offset administrative costs associated with the proceeding, the Commission may retain a portion or all of the appeal bond posted by the appellant for failure to appear.

§ 179.57. Waiver of hearing.

 A party to a proceeding may waive the right to a hearing before the Commission by filing with the Bureau Directors and the Hearings and Appeals Docket Clerk a written Notice of Waiver of Hearing, with copies to the presiding officer and other parties. A waiver shall constitute an admission of all the underlying charges or matters contained in the ruling or determination appealed from and shall be deemed an acceptance of the underlying action. The Hearing and Appeals Docket Clerk shall cancel the proceeding and close out the matter on the hearing calendar. This section supersedes 1 Pa. Code § 35.101 (relating to waiver of hearing).

§ 179.58. Consolidation.

 (a) The Commission, the Hearings and Appeals Docket Clerk or the presiding officer, with or without motion, may consolidate proceedings involving a common question of law or fact.

 (b) The section supersedes 1 Pa. Code § 35.45 (relating to consolidation).

§ 179.59. Presiding officers.

 (a) When evidence is to be taken in a hearing, the Commission's duly appointed presiding officer may conduct the hearing in the absence of the Commission itself. A person presiding at a hearing may not consult a party on any fact in issue unless upon notice and opportunity for all parties to participate.

 (b) A presiding officer shall have the power and authority to:

 (1) Regulate the course and conduct of hearings, including the scheduling of continuances thereof, and the recessing, reconvening and the adjournment thereof, unless otherwise provided by the Commission.

 (2) Administer oaths and affirmations and compel the attendance of witnesses.

 (3) Issue subpoenas authorized by law.

 (4) Rule upon the admissibility of evidence, offers of proof and receive evidence.

 (5) Schedule and conduct pre-hearing conferences as set forth in § 179.60 (relating to prehearing and other conferences).

 (6) Dispose of preliminary procedural matters.

 (7) Examine witnesses.

 (8) Submit proposed findings of facts and conclusions of law to the Commission in accordance with this subpart.

 (9) Take other action appropriate to the discharge of their duties as may be designated by the Commission and authorized by the act.

 (c) Presiding officers will conduct fair and impartial hearings and maintain order.

 (d) If parties or counsel engage in disrespectful, disorderly or contumacious language or conduct in connection with any hearing, the presiding officer may take action as set forth in § 179.64 (relating to contemptuous conduct).

 (e) This section supersedes 1 Pa. Code §§ 35.185—35.190 (relating to presiding officers).

§ 179.60. Prehearing and other conferences.

 (a) A prehearing conference may be scheduled at the sole discretion of the Commission or the presiding officer, if in the opinion of the Commission or the presiding officer, the matter warrants a conference. The Commission or a presiding officer may, upon petition, also schedule a prehearing conference at the request of one party and by agreement of the parties.

 (b) When the Commission or the presiding officer directs that a prehearing conference be held, all parties shall appear at the time and place designated. Notice of the time and place of the conference will be given to all parties. If time is of the essence, a prehearing conference may be conducted by means of telephone conference call.

 (c) Any of the following matters may be considered at a prehearing conference:

 (1) Discuss the possibilities for settlement of the underlying matter or proceeding, or both.

 (2) The amount of hearing time which will be required to dispose of the proceeding.

 (3) Designating parties.

 (4) Setting the order of procedure at a hearing.

 (5) Resolve procedural matters that may aid in expediting the orderly conduct and disposition of the proceeding and the furtherance of the public interest.

 (d) Failure of a party to attend the conference, after being served with notice of the time and place thereof, without good cause shown, shall constitute a waiver of all objections to the order, ruling or underlying matter appealed.

 (e) The presiding officer shall record the action taken at the prehearing conference and commit to writing the agreed upon disposition of the previous matters.

 (f) Subsections (a)—(e) supersede 1 Pa. Code §§ 35.111—35.116 (relating to prehearing conferences).

§ 179.61. Hearing procedure.

 (a) Order of hearing. In a proceeding, the party having the burden of proof shall generally go forward, open and close, unless otherwise directed by the presiding officer. The order of testimony may be modified at the discretion of the hearing officer. In determining this order, the presiding officer shall take into consideration the right of the respective party to present the case or defense by oral or documentary evidence, to submit rebuttal evidence and to conduct a cross-examination as may be required for a full and true disclosure of the facts.

 (1) In proceedings when the evidence is peculiarly within the knowledge or control of another party, the order of presentation set forth in subsection (a) may be varied by the presiding officer.

 (2) Intervenors shall follow the party on whose behalf the intervention is made. If the intervention is not in support of an original party, the presiding officer will designate at what stage the intervenor will be heard.

 (3) The presiding officer may direct the order of parties for purposes of cross-examination. Subsection (a) supersedes 1 Pa. Code § 35.125 (relating to order of procedure).

 (b) Burden of proof. Preponderance of the evidence shall be the standard and shall mean that the evidence demonstrates a fact is more likely to be true than not. Proponents of any issue shall have the burden of proof thereof.

 (c) Evidence. Neither the Commission, nor the presiding officer will be bound by the technical rules of evidence and all relevant, material and competent evidence may be received in either oral or documentary form, provided, that the Commission or the presiding officer acting hereunder may exclude evidence if:

 (1) It is repetitious or cumulative.

 (2) Its probative value is outweighed by:

 (i) The danger of unfair prejudice;

 (ii) Confusion of the issues; or

 (iii) Considerations of undue delay or waste of time.

 (3) It is hearsay evidence.

 (d) Hearsay evidence. Hearsay evidence properly objected to is not competent evidence to support a finding of the Commission. However, hearsay evidence admitted without objection will be given its natural probative effect and may support a finding by the Commission, if it is corroborated by other competent evidence in the record.

 (e) Commission public documents or business records. Tape recordings of Judges' or Stewards' hearings, as well as of recordings of investigative interviews or similar proceedings may be received in evidence, if the recordings were made a part of the underlying Judges' or Stewards' evidentiary record and are relevant and material to the appeal. Investigative reports of Commission investigative or licensing staff, racetrack security personnel or of authorized agents of the Thoroughbred Racing Protective Bureau shall be received by the presiding officer and deemed to be a part of the official records of the Commission in a relevant proceeding, but the affected party shall have the right to examine the same insofar as they may pertain to matters directly and immediately in issue.

 (f) Control of evidence. The Commission or the presiding officer shall have all necessary authority to control the receipt of evidence, including ruling on the admissibility of evidence, confining the evidence to the issues in the proceedings and impose, where appropriate, limitations to the number of witnesses to be heard, the time and scope of direct and cross-examinations and the production of further evidence.

 (g) Motion and objections. Motions and objections made during a hearing shall be stated orally and shall be included in the stenographic record of the hearing.

 (h) Cross-examination. Parties shall be entitled to cross-examine and to present rebuttal evidence as may be necessary for a full and fair hearing, but shall be limited to matters on direct and at the discretion of the Commission or presiding officer.

 (i) Subsection (c) supersedes 1 Pa. Code § 35.161 (relating to form and admissibility of evidence); Subsection (e) supersedes 1 Pa. Code §§ 35.165 and 35.166 (relating to public documents; and prepared expert testimony); Subsection (f) supersedes 1 Pa. Code § 35.162 (relating to reception and ruling on evidence).

§ 179.62. Commission official notice.

 (a) Official notice or judicial notice of facts may be taken by the Commission or the presiding officer on its own or upon request by a party, but only if the party supplies the necessary information.

 (b) The Commission or the presiding officer may notice a fact that is not subject to reasonable dispute because it:

 (1) Is generally known by the Commission or is within its jurisdiction; or

 (2) Can be accurately and readily determined from sources whose accuracy cannot reasonably be questioned.

 (c) The Commission or the presiding officer may take official or judicial notice at any stage of the proceeding.

 (d) On timely request, a party is entitled to be heard on the propriety of taking judicial notice and the nature of the fact to be noticed.

 (e) Subsections (a)—(d) supersede 1 Pa. Code § 35.173 (relating to official notice of facts).

§ 179.63. Representation before the Commission.

 (a) Appearance in person. An individual who is a party in a proceeding before the Commission or presiding officer may represent himself. Attendance at the proceeding without an attorney will be deemed a waiver of this privilege.

 (1) A party, other than an individual appearing on his own behalf, in an adversarial proceeding before the Commission shall be represented by an attorney authorized to appear before the Commission in accordance with subsection (b).

 (2) Subsection (a) supersedes 1 Pa. Code § 31.21 (relating to appearance in person).

 (b) Appearance by attorney. A party in a proceeding before the Commission or presiding officer who elects to be represented by an attorney or is otherwise required to be represented by an attorney in the proceeding, shall be represented by:

 (1) An attorney at law admitted to practice before the Pennsylvania Supreme Court.

 (2) An attorney admitted to practice before the highest court of a jurisdiction other than this Commonwealth which permits attorneys licensed in this Commonwealth to practice before its courts and agencies.

 (3) An attorney authorized in accordance with subsection (c) to appear in connection with the proceeding.

 (c) Admission Pro Hac Vice. An attorney admitted to practice before the highest court of a jurisdiction other than this Commonwealth which does not permit attorneys licensed in this Commonwealth to appear before its courts and agencies may, at the discretion of the Commission or the presiding officer, be authorized to appear in connection with a particular proceeding. The Commission or the presiding officer will determine whether to grant the authorization upon the filing of a motion by an attorney admitted to practice law before the Pennsylvania Supreme Court and in good standing with the Court, which contains the information required to satisfy the written notice provision of Pa.B.A.R. 301 (relating to admission pro hac vice) and provided that the attorney filing the motion shall be and remain the attorney of record in the proceeding and further provided that both the attorney of record and the attorney admitted under this subsection shall both sign all documents submitted or filed in connection with the proceeding.

 (d) Subsections (b) and (c) supersede 1 Pa. Code § 31.22 (relating to appearance by attorney).

 (e) Other representation prohibited at hearings. Participants, individuals, partnerships, associations, corporations or governmental entities may not be represented at a hearing before the Commission or presiding officer except, as provided in subsections (b) and (c) or as otherwise permitted by the Commission in a specific case.

 (f) Subsection (e) supersedes 1 Pa. Code § 31.23 (relating to other representation prohibited at hearings).

§ 179.64. Contemptuous conduct.

 (a) Contemptuous conduct by any person at a hearing before the Commission or a presiding officer will be grounds for exclusion from the hearing and for summary suspension without a hearing for the duration of the hearing. Further action may be taken by the Commission imposing a temporary or permanent denial of the privilege of appearing or practicing before the Commission.

 (b) Subsection (a) supplements 1 Pa. Code § 31.27 (relating to contemptuous conduct).

§ 179.65. Suspension and disbarment.

 (a) The Commission may deny, temporarily or permanently, the privilege of appearing or practicing before the Commission to a person who is found by the Commission, after notice and opportunity for hearing on the matter, to have done one or more of the following:

 (1) Lacked the requisite qualifications to represent others.

 (2) Engaged in unethical, contemptuous, disruptive or improper conduct before the Commission or presiding officer.

 (3) Repeatedly failed to follow Commission directives or orders.

 (4) Repeatedly failed to follow Commission rules and regulations in the representation of the client before the Commission or presiding officer.

 (b) For the purposes of subsection (a), practicing before the Commission includes the following:

 (1) Transacting business on behalf of licensees with the Commission.

 (2) The preparation of a statement, opinion or other paper by an attorney, accountant, engineer or other expert, filed with the Commission in a pleading or other document with the consent of the attorney, accountant, engineer or other expert.

 (3) Appearances at a hearing or other proceeding or public meeting before the Commission.

 (c) Subsections (a) and (b) supersede 1 Pa. Code § 31.28 (relating to suspension and disbarment).

§ 179.66. Briefs and oral argument.

 (a) Briefs. Unless waived by the parties, at the close of the taking of testimony in the hearing, the presiding officer shall provide the parties with the opportunity to submit briefs. The presiding officer shall fix the time for the filing and service of briefs, giving due consideration to the nature of the proceeding, the parties involved, the magnitude of the record and the complexity of the issues involved. Copies of the brief shall be served with the presiding officer, the Appeals and Hearings Clerk and upon the respective parties.

 (b) Content and form of briefs. Briefs shall contain the following:

 (1) A concise statement of the case.

 (2) Reference to the exact pages of the record or exhibits where the evidence relied upon by the filing party appear.

 (3) An argument preceded by a summary. The argument shall, to the extent possible, address all issues raised by the relief sought and the evidence adduced at the hearing.

 (4) As directed by the presiding officer, the brief shall also contain:

 (i) A statement of the questions involved.

 (ii) Proposed findings of fact with references to the transcript pages or exhibits where evidence appears, together with proposed conclusions of law.

 (iii) Proposed paragraphs identifying the relief sought.

 (c) Untimely briefs. Briefs not filed and served on or before the date fixed by the presiding officer will not be accepted for review or consideration by the presiding officer or the Commission.

 (d) Oral Argument. No oral argument shall be heard by the Commission or presiding officer at any time.

 (e) No exceptions to be filed. No party shall be entitled to file exceptions to a proposed adjudication and order of the Commission or of the presiding officer. This subsection supersedes 1 Pa. Code §§ 35.211—35.214 (relating to exceptions to proposed reports).

 (f) Subsections (a)—(d) supersede 1 Pa. Code §§ 35.191 and 35.192 (relating to proceedings in which briefs are to be filed; and content and form of briefs).

§ 179.67. Transcript.

 Hearings shall be stenographically recorded and a verbatim transcript of the record will be prepared as soon as practicable after the hearing. The parties may obtain a copy of the transcript directly from the court reporting service. This section supersedes 1 Pa. Code §§ 35.131 and 35.133 (relating to recording of proceedings; and copies of transcripts).

§ 179.68. Contents and close of the record.

 (a) The record shall be considered closed upon receipt of the transcript of the record and briefs, if any, and the hearing shall be deemed concluded at that time. After the record is closed, additional matters may not be relied upon or accepted into the record unless allowed for good cause shown by the presiding officer or the Commission upon motion.

 (b) The Commission's record shall consist of a transcript of the testimony and exhibits of record, the party's briefs, if submitted, together with any other the papers, written motions and requests filed in the proceedings and relevant official records.

 (c) Subsections (a) and (b) supersede 1 Pa. Code §§ 35.231 and 35.232 (relating to reopening on application of party; and reopening by presiding officer).

§ 179.69. Proposed adjudication of the presiding officer.

 (a) The presiding officer or other Commission designated person shall prepare a proposed adjudication and order as a decision of the Commission. The proposed written adjudication shall include:

 (1) Findings and conclusions, as well as the reasons or basis therefore, for all the material issues of fact, law or discretion presented on the record.

 (2) The appropriate statutory provision, regulation, order, sanction, relief or denial thereof.

 (3) Facts officially noticed under § 179.62 (relating to Commission official notice) relied upon in the decision.

 (4) Previous adjudications or matters which the Commission relies upon as precedent.

 (b) The presiding officer or designated person shall transmit the proposed adjudication to the Hearings and Appeals Docket Clerk as soon as practicable, unless directed to expedite the matter by the Commission.

 (c) The proposed written adjudication and order shall not be made available to the parties, including Commission counsel or intervenors until the Commission has reviewed, considered and properly voted upon the adjudication under § 179.70 (relating to Commission decisions).

§ 179.70. Commission decisions.

 (a) Decisions. The Commission shall consider and vote upon a proposed adjudication and order at its public meeting in accordance with the voting provisions of the act and Chapter 173 (relating to Commission operations and organization—temporary regulations) of the regulations. The final order and adjudication shall be based solely upon a review and consideration of the entire record and shall be supported by reliable, probative evidence contained in the record. The Commission may adopt, modify or reject some or all of the proposed adjudication, remand all or part of the matter to the presiding officer for the taking of additional evidence or clarification of issues.

 (b) Single signature. A final adjudication and order may be signed by the Chairman of the Commission or by any other delegated Commissioner on behalf of the entire Commission. Minority opinions regarding the final adjudication may be submitted and these shall become part of the record.

 (c) The final adjudication and order shall be served upon the all parties and intervenors or their counsel personally, by regular United States mail or by certified mail by the Hearings and Appeals Docket Clerk. If service is made by mail, the date of mailing will be the date of service for purposes of a subsequent appeal.

 (d) Subsections (a)—(c) supersede 1 Pa. Code § 35.226 (relating to final orders).

§ 179.71. Reopening of record.

 (a) Petition to reopen. At any time after the record is closed, but before a final decision is issued, a party may file a petition with the Commission or the presiding officer for the purpose of taking additional evidence. A petition to reopen must set forth clearly the fact claimed to constitute grounds requiring reopening of the proceeding, including material changes of fact or of law alleged to have occurred since the conclusion of the hearing.

 (b) Responses. Within 10 days following the service of the petition, another party may file an answer thereto.

 (c) Action of petition. As soon as practicable after the filing or responses to the petition, the presiding officer or the Commission shall grant or deny the petition based upon a review of the averments set forth in the petition.

 (d) The Commission may, at any time, in its discretion and upon its own motion reopen a hearing upon due notice to the parties.

 (e) Subsections (a)—(d) supersede 1 Pa. Code §§ 35.231—35.233 (relating to reopening of record).

§ 179.72. Rehearing or reconsideration.

 (a) A party to a proceeding may file an application for rehearing or reconsideration by filing a petition within 15 days after the final order of the Commission.

 (b) Filing a petition for rehearing or reconsideration does not toll or stay the 30-day appeal period.

 (c) The petition must state concisely the alleged errors in the adjudication or other order of the Commission. If a final order or other order of the Commission is sought to be vacated, reversed or modified by reason of matters that have arisen since the hearing and decision or order, or by reason of a consequence that would result from compliance therewith, the matters relied upon by the petitioner must be set forth in the petition.

 (d) Answers to petitions for rehearing or reconsideration will not be entertained by the Commission. If the Commission grants the rehearing or reconsideration, an answer may be filed by a participant within 15 days after the issuance of the order granting rehearing or reconsideration. The response will be confined to the issues upon which rehearing or reconsideration has been granted.

 (e) If the Commission does not act upon the petition for rehearing or reconsideration within 30 days after it is filed, the petition will be deemed to have been denied.

 (f) Subsections (a)—(e) supersede 1 Pa. Code § 35.241 (relating to application for rehearing or reconsideration).

§ 179.73. Appeals.

 (a) Within 30 days after the receipt of a written adjudication or the entry of a final order or decision of the Commission, a party shall have the right to appeal therefrom to the Commonwealth Court under 42 Pa.C.S. § 763 (relating to direct appeals from government agencies).

 (b) The filing of an appeal with the Commonwealth Court will not stay enforcement of the decision or final order of the Commission unless a separate stay is obtained from the court upon application in accordance with the Rules of Appellate Procedure or the Commission grants a stay prior to the filing of the appeal upon request.

Subchapter D. EJECTION MATTERS EXPEDITED HEARING PROCEDURES

Sec.

179.91.	General purpose.
179.92.	Definitions.
179.93.	Written ejection notices.
179.94.	Request for a hearing.
179.95.	Notice and location of hearing.
179.96.	Conduct of hearing.
179.97.	Appeals to Commonwealth Court.
179.98.	Disinterested party status on appeal to Commonwealth Court.

§ 179.91.  General purpose.

 The sections set forth below are intended to govern the expedited practice and procedures before the Commission solely regarding the ejection from or the refusal of admission to a licensed racetrack facility or a racetrack enclosure. An ejection or refusal of admission are governed by section 9326(a) of the act (relating to admission to racetrack). The following sections are intended to supersede the applicability of 1 Pa. Code Part II (relating to General Rules of Administrative Practice and Procedure) to practice and procedure before the Commission.

§ 179.92. Definitions.

 The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:

 Adjudication—The written order, decree, decision, determination or ruling by the Commission affecting the personal or property rights, privileges, immunities, duties, liabilities or obligations of the parties to the proceeding in which the adjudication is made.

 Commissioner or Presiding Officer—A member of the Commission or other person designated by the Commission to conduct the proceeding.

 Decision—The determination from the bench by the Commission affirming, reversing or modifying the ejection or refusal, or both, of admission action immediately upon the closing of the evidentiary record of the proceeding.

 Ejectee—An individual ejected from or refused admission to, or both, the racetrack enclosure under section 9326 of the act.

 Ejection or Refusal of Admission—The action taken by a licensed racing entity to refuse admission to the grounds of the racetrack enclosure or the physical removal of a licensee from the grounds of the racetrack enclosure as provided by section 9326 of the act (relating to admission to racetrack).

 Ejection Notice—Written notification issued by a licensed racing entity to an individual licensed by the Commission of the ejection or refusal, or both, of admission of that individual from the racetrack enclosure, the enumerated reasons for this action and the term of ejection.

 Licensed Racing Entity—A person that has obtained a license to conduct live thoroughbred or harness horse race meetings respectively with pari-mutuel wagering from the Commission.

 Party—A person who is named in or admitted to the proceeding and who has a direct interest in the subject matter of the proceeding.

 Term of ejection—The specific period of time set forth by the licensed racing entity in the written notice of ejection/denial of admission for which the ejectee is prohibited from entering the licensed racetrack facility.

§ 179.93. Written ejection notices.

 (a) A licensed racing entity may refuse admission to or eject, or both, from the racetrack enclosure operated by the licensed racing entity, any person licensed by the Commission and employed at an occupation at the racetrack, if the person's presence is deemed detrimental to the best interests of horse racing and after citing the reasons for the determination in writing.

 (b) The written notice shall also advise the ejectee of that person's right to request a hearing before the Commission no later than 48 hours following receipt of the written ejection notice. The written ejection notice shall include the address of the Commission and the address of the licensed racing entity.

 (c) Failure by the licensed racing entity to provide written notice of the refusal of admission or ejection of the licensed individual shall be grounds for the Commission to issue a show cause order requiring a response and justification by the licensed racing entity.

§ 179.94. Request for a hearing.

 (a) The person ejected or refused admission to the racetrack enclosure may request a hearing before the Commission, if the request:

 (1) Is in writing;

 (2) Is received by the Bureau Director in the Executive Office of the Commission (Office of the Clerk) within 48 hours of receipt of the written notice of ejection or refusal of admission, or both; and

 (3) Sets forth a concise statement of all grounds upon which a hearing is requested.

 (b) Each Bureau Director shall review the timeliness and appropriateness of the request for a hearing. Any appeal deemed untimely shall be dismissed.

 (c) A request for a stay, if any, shall be granted by the respective Bureau Director, unless the Bureau Director finds that the stay is not in the best interest of racing or presents a threat to public safety. Any stay granted shall continue until the time that the Commission renders a final written decision in the matter.

 (1) An ejectee who requests a stay must provide notice of the request to the licensed racing entity that issued the notice of ejection/refusal of admission and provide proof of service of the notice to the respective Bureau Director. No stay request may be granted until 24 hours after the Bureau Director's receipt of proof of service under this paragraph.

 (2) The licensed racing entity may submit a written answer and supporting documentation in opposition to the request for a stay to the Bureau Director.

 (3) All written notices, proof of service or answers to stay referenced in this subsection may be electronically filed with the Bureau Director after the initial appeal request.

 (d) No appeal shall be granted or heard regarding the purported denial of horse entries by a licensed racing entity.

§ 179.95. Notice and location of hearing.

 (a) All ejection or refusal of admission hearings shall be scheduled for and conducted at the next duly scheduled public meeting of the Commission subject to the notice provision under subsection (b). The hearing shall take place at the location of the Commission's public meeting. If scheduling the hearing for the next duly scheduled public meeting of the Commission does not afford the appropriate notice, the hearing shall be scheduled for the following duly scheduled public meeting.

 (b) The parties to the proceedings shall be provided at least 5 days written notice of the specific location, date and time of the Commission public meeting at which the ejection hearing will take place.

 (c) Hearings will not be continued except for compelling reasons, as determined by the Commission, in its sole discretion. Any request for a continuance must be submitted in writing setting forth the compelling reasons to the Commission.

§ 179.96. Conduct of hearing.

 (a) The Commission shall preside over the course and conduct of the matter directly. The Commission may, however, in its discretion, designate or appoint a Commissioner or other qualified person to serve as the presiding office in the particular matter.

 (b) Hearings may provide for:

 (1) Receipt of sworn testimony.

 (2) Receipt of all relevant oral or documentary evidence.

 (3) Opportunity for parties to be heard.

 (4) A complete evidentiary record.

 (c) The Commissioners or the presiding officer, or both, shall have the power and authority to do the following:

 (1) Regulate the course of the hearing, including recessing, reconvening or adjournment thereof.

 (2) Administer oaths and affirmations.

 (3) Issue subpoenas.

 (4) Rule upon offers of proof and receive evidence.

 (5) Dispose of motions made during the hearing to dismiss the proceedings or other motions which involve the final determination of the proceedings.

 (6) Take any other action necessary and appropriate to discharge their duties as may be designated by the Commission.

 (7) Affirm, reverse or modify the term of ejection based upon the underlying factors for the ejection and the evidence of record.

 (d) All ejection/refusal of admission hearings shall be stenographically recorded.

 (e) Given the expedited nature of the proceeding and limited duration of a stay, if applicable, the parties shall not be afforded the opportunity to submit written briefs, except upon extraordinary circumstances presented and in the Commissioners' sole discretion.

 (f) An oral decision and order shall be made and entered immediately by the Commission upon the closing of the evidentiary record as introduced at the hearing.

 (g) Within 15 days from the issuance of the Commission's oral decision and receipt of the hearing transcript, a written adjudication supporting its decision and order shall be issued to the parties. The Commission's evidentiary record will be closed upon the receipt of the hearing transcript.

 (h) Any stay of enforcement previously granted by the Commission under § 179.34(c) (relating to votes of Judges or Stewards) shall terminate upon the issuance of the Commission's written adjudication.

 (i) This section supersedes 1 Pa. Code §§ 35.185—35.190 (relating to presiding officers) and 1 Pa. Code Chapter 35, Subchapter B (relating to hearings and conferences).

§ 179.97. Appeals to Commonwealth Court.

 (a) A party may appeal the final order and written adjudication of the Commission to the Commonwealth Court within 30 days of the receipt of the written determination in accordance with the provisions of Rules of Appellate Procedure.

 (b) The filing of a Petition for Review with the Commonwealth Court will not automatically stay enforcement of the decision or final order of the Commission unless a separate stay is obtained from the court upon application in accordance with the Rules of Appellate Procedure.

§ 179.98. Disinterested party status on appeal to Commonwealth Court.

 The Commission is not an aggrieved party as contemplated by 2 Pa.C.S. § 702 (relating to Administrative Agency Law) and shall be deemed a disinterested party in ejection or refusal of admission matters subsequently appealed, by either party, to the Commonwealth Court under § 179.97(a) (relating to appeals to Commonwealth Court). In accordance with Pa.R.A.P. 1513(a), as a disinterested party, the Commission shall not be named in the caption or listed as the Respondent on Appellant's Petition for Review.

Subchapter E. DOCUMENTARY HEARINGS

Sec.

179.101.	Expedited documentary hearing.
179.102.	Election of documentary hearing.
179.103.	Waiver of oral hearing.
179.104.	Documentary hearing procedures.
179.105.	Evidentiary documents.
179.106.	Verification.

§ 179.101. Expedited documentary hearing.

 (a) Purpose. To control administrative costs for all parties, to expedite and streamline the formal hearing process and to promote judicial economy, an individual who appeals a decision of the Judges or Stewards regarding certain racing matters may waive the right to an oral hearing as provided in Subchapter C (relating to Commission hearings) and elect to have the matter proceed under the expedited process and resolved solely by the submission of documents.

 (b) Matters for documentary hearing. Among other racing related matters, the expedited documentary hearing may be utilized by an appellant or party when time is of the essence or where the health, safety and welfare of a horse is involved, including but not limited to claiming disputes, horse transfers and other similar matters.

§ 179.102. Election of documentary hearing.

 (a) An individual who elects to proceed under the expedited documentary hearing process, instead of a formal oral hearing, must provide written notice to the Bureau Directors of the individual's decision to proceed under the expedited hearing process within 2 days of the approval of the initial appeal request. A written waiver of oral hearing, in accordance with § 179.103 (relating to waiver of oral hearing), must be submitted along with the individual's notification of election to proceed under the expedited documentary hearing procedure.

 (b) If there is more than one party in the matter, all parties must agree to proceed under the expedited documentary hearing process and must provide the necessary waiver form. If there is no agreement by the parties, the matter will proceed under the Commission's oral hearing process set forth in Subchapter C (relating to Commission hearings).

§ 179.103. Waiver of oral hearing.

 (a) The appellant and other parties, if applicable, shall execute a written waiver specifically acknowledging that:

 (1) They are knowingly and voluntarily proceeding under the expedited documentary hearing process;

 (2) They will timely submit all necessary documents or records properly sworn to or affirmed and based upon personal knowledge; and

 (3) That as a condition of proceeding through the expedited documentary hearing process, they will abide by the decision of the Bureau Director and no appeal will be taken to the Commission or to a subsequent court.

 (b) The appellant and other parties must promptly submit the fully executed waiver form to the respective Bureau Director.

 (c) Subsections (a)—(b) supersede 1 Pa. Code § 35.101 (relating to waiver of hearing).

§ 179.104. Documentary hearing procedures.

 (a) The appellant and other parties, if applicable, shall submit to the Bureau Director a complete package of documents setting forth the factual or legal, or both, basis to support their position, including, but not limited to records, pleadings, witness affidavits, supporting briefs and legal argument.

 (b) The Bureau Director's review of the underlying issues shall be limited solely to a review of the documentary evidence submitted by the parties to the hearing and the underlying determination by the Judges/Stewards. No in-person testimony or depositions shall be taken in these proceedings.

 (c) Once the supporting documentation has been submitted to the Bureau Director, an appellant or a party may not communicate directly or indirectly, with the Bureau Director in connection with any issue of law or any matter of fact relating to the matter in dispute.

 (d) The Bureau Director shall issue a limited written decision in the form of a ruling within 5 days of the receipt of the documents from the appellant or parties. The ruling shall briefly set forth the facts, conclusion and the legal basis for the Bureau Director's decision.

 (e) The Bureau Director shall provide a copy of the applicable ruling to the appellant or parties in the matter.

§ 179.105. Evidentiary documents.

 (a) The records, pleadings, briefs, affidavits and other documents to be submitted to the Bureau Director shall be signed and verified by the appellant, the parties or their respective counsel as set forth below.

 (b) The signature of the person subscribing a document filed with the Commission constitutes a certificate by the individual that:

 (1) The person has read the document being subscribed and filed and knows the contents thereof.

 (2) The document has been subscribed and executed in the capacity specified upon the document with full power and authority to do so, if executed in a representative capacity.

 (3) The document is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification or reversal of existing law, to the best of the person's knowledge, information and belief formed after reasonable inquiry.

 (c) Subsections (a) and (b) supersede 1 Pa. Code § 33.11 (relating to execution).

§ 179.106. Verification.

 (a) Pleadings or other documents containing an averment of fact not appearing of record in the underlying action or containing a denial of fact shall be personally verified by the appellant or party thereto. Verification means a signed, written statement of fact supported by oath or affirmation or made subject to the penalties of 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities). If verification is required, notarization is not necessary.

 (b) The verification form should comply substantially with the following:

VERIFICATION

I, _____ , hereby state that the facts above set forth are true and correct (or are true and correct to the best of my knowledge, information and belief). I understand that the statements herein are made subject to the penalties of 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities).

Date: ______   _________________
(Signature)

 (c) When an affidavit is used, the form should comply substantially with the following:

AFFIDAVIT

I, ______ , being duly sworn do hereby affirm according to law, depose and say that the facts above set forth are true and correct to the best of my knowledge, information and belief.

_________________
(Signature of affiant)

Sworn and subscribed before me this ______
day of _____ , 20 __ .

______
(Notary Public)

 (d) An individual who executes a pleading or other document knowing that it contains a false statement and who causes it to be filed with the Bureau Director or Commission shall be subject to prosecution of a misdemeanor of the second degree in violation of 18 Pa.C.S. § 4904(a).

 (e) Subsections (a)—(d) supersede 1 Pa. Code § 33.12 (relating to verification).

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