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 e-mail or 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).
Cross References This section cited in 7 Pa. Code § 175.5 (relating to date of filing appeals); 7 Pa. Code § 177.5 (relating to date of filing appeals); 7 Pa. Code § 179.7 (relating to request for hearing by applicant or licensee); 7 Pa. Code § 179.9 (relating to service by the Commission); 7 Pa. Code § 179.17 (relating to intervention); 7 Pa. Code § 179.18 (relating to offers of settlement); 7 Pa. Code § 179.41 (relating to review and appeal); and 7 Pa. Code § 179.51 (relating to generally).
§ 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).
Cross References This section cited in 7 Pa. Code § 179.5 (relating to investigation and special procedures).
§ 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.
Cross References This section cited in 7 Pa. Code § 175.5 (relating to date of filing appeals); 7 Pa. Code § 175.6 (relating to contents of petition for stay); 7 Pa. Code § 177.5 (relating to date of filing appeals); 7 Pa. Code § 177.6 (relating to contents of petition for stay); 7 Pa. Code § 179.3 (relating to filings and appeals); 7 Pa. Code § 179.5 (relating to investigation and special procedures); 7 Pa. Code § 179.8 (relating to Commission original action with prior hearing); 7 Pa. Code § 179.41 (relating to review and appeal); and 7 Pa. Code § 179.56 (relating to failure to attend hearing).
§ 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 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).
Cross References This section cited in 7 Pa. Code § 179.6 (relating to Commission action without prior hearing); 7 Pa. Code § 179.10 (relating to subpoena powers and procedures); 7 Pa. Code § 179.13 (relating to complaints and other pleadings); and 7 Pa. Code § 179.55 (relating to hearing notices).
§ 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 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 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 this section, 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).
Cross References This section cited in 7 Pa. Code § 179.8 (relating to Commission original action with prior hearing).
§ 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).
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