reglab/statecodes huggingface dataset:
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 2 - Proceedings by Judges › Section 2-8 - Effect of rulings

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 8.
(a) Rulings
				against a licensee apply to another person if continued participation in an
				activity by the other person would circumvent the intent of a ruling by
				permitting the person to serve, in essence, as a substitute for the ineligible
				licensee.
(b) The fraudulent
				transfer of a horse to avoid application of a commission rule or ruling is
				prohibited.
(c) The judges shall
				honor the rulings issued by other pari-mutuel racing commissions.
(d) A ruling approving and accepting a
				settlement involving a licensee shall have no substantive precedent.
(e) Unless a ruling specifically states
				otherwise, any person suspended or determined to be ineligible for licensing
				shall be excluded and denied access to all facilities under the jurisdiction of
				the commission, including satellite facilities, during the period of suspension
				or ineligibility.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 2 - Proceedings by Judges › Section 2-8.1 - Effect of ruling - trainers

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 8.1.
(a) The
				horse(s) of a trainer suspended for more than fifteen (15) days in Indiana
				shall not be transferred to a spouse, member of the immediate family,
				assistant, employee, or household member of the trainer.
(b) The horse(s) of a trainer suspended in
				another jurisdiction, may, at the discretion of the executive director, judges,
				or stewards, be placed on the judge's/steward's list and be ineligible to
				compete in Indiana if such horse(s) is trained by a licensee that is a spouse,
				member of the immediate family, business associate, assistant, employee, or
				household member of the suspended trainer.
(c) The executive director, judges, or
				stewards may require a horse(s) previously trained by a suspended trainer, a
				horse owned by a person employing a suspended trainer, and/or a horse owned by
				a person who employed the trainer at the time of suspension to be stabled on
				the grounds of the association.
(d)
				The above provisions of this rule shall not apply to trainers who are suspended
				from driving privileges only.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 2 - Proceedings by Judges › Section 2-9 - Appeals

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 9.
(a) A person
				who has been aggrieved or adversely affected by a ruling of the judges may
				appeal to the commission. A person who fails to file an appeal by the deadline
				and in the form required by this section waives the right to appeal the
				ruling.
(b) An appeal under this
				section must be filed not later than fifteen (15) days after the ruling is
				served upon the person. The appeal must be filed with the commission.
(c) An appeal must be in writing on a form
				prescribed by the commission. The appeal must include:
(1) the name, address, telephone number, and
				signature of the person making the appeal; and
(2) a statement of the basis for the appeal,
				identified with reasonable particularity.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 2 - Proceedings by Judges › Section 2-10 - Stay

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 10.
(a) A
				person who has been disciplined by a ruling of the judges may apply to the
				commission for a stay of the ruling, pending action on an appeal by the
				commission.
(b) An application for
				a stay must be filed with the commission not later than the deadline for filing
				an appeal.
(c) An application for a
				stay must be in writing and include the following:
(1) The name, address, telephone number, and
				signature of the person requesting the stay.
(2) A statement of the justification for the
				stay.
(3) The period of time for
				which the stay is requested.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-1 - Initiation of proceedings

Current through July 10, 2024
Authority: IC
				  4-31-3-9; IC
				  4-31-3-13
Affected: IC
				  4-21.5-3-22; IC
				  4-21.5-3-29; IC 4-31
Sec. 1.
(a) A
				proceeding before the commission may be initiated by a person who timely files
				an appeal from a judge's ruling.
(b) The commission may in its discretion
				initiate a disciplinary action against any person under IC 4-31. Such an action
				may be brought upon the recommendation of the executive director, by the
				commission on its own motion, or by the commission for the purpose of modifying
				or assessing penalties or sanctions, or both, in addition to any penalties or
				sanctions assessed by the judges. An action under this section is to be
				initiated pursuant to the provisions of section 20 of this rule.
(c) The commission may institute a proceeding
				for the enforcement of a subpoena or summons which is issued in support of its
				power to investigate licensees of the commission or any suspected violation of
				the pari-mutuel statutes or a rule adopted by the commission.
(d) In the event that the commission
				initiates a proceeding under section 20 of this rule, the issues in that
				proceeding or on any subsequent appeal shall be limited to those raised by the
				commission or its designee. In no way shall the issuance of an administrative
				complaint act as a waiver or otherwise extend the time limits for the appeal of
				a ruling set forth in this article.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-2 - Party designations

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 2.
(a) The staff
				of the commission is always a party to a proceeding before the commission. A
				person who is the subject of a disciplinary hearing, who filed an appeal from a
				judges' ruling, or who otherwise seeks relief from the commission is a party to
				that proceeding.
(b) A party to a
				proceeding has the right to present a direct case, cross examine each witness,
				submit legal arguments, and otherwise participate fully in the
				proceeding.
(c) A party may
				represent himself or herself or appear and be represented by a person of the
				party's choosing.
(d) A member of
				the public who desires to support or oppose a matter in a contested case
				proceeding pending before the commission must file a motion for nonparty
				participant status which includes a written statement regarding the person's
				position on the matter. The motion must be filed not later than the date set by
				the administrative law judge for the proceeding. At the time of filing, the
				person shall serve a copy of the statement on each party of record and file a
				certificate of service with the commission. A nonparty participant's statement
				may be stricken from the record if the commission determines that it does not
				substantially comply with this subsection. A nonparty participant may present
				views and may otherwise participate in a proceeding at the discretion of the
				administrative law judge and subject to the rules of the commission.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-3 - Pleadings

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 3.
(a) Pleadings
				filed with the commission include the following:
(1) Appeals.
(2) Applications.
(3) Answers.
(4) Complaints.
(5) Exceptions.
(6) Replies.
(7) Motions.
Regardless of an error in designation, a pleading shall be
				  accorded its true status in the proceeding in which it is filed.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-4 - Filing pleadings

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 4.
(a) Except as
				otherwise provided by this section, an original and one (1) copy of each
				pleading must be filed with the commission. An original and one (1) copy of
				each pleading relating to discovery must be filed with the commission. A
				pleading is considered filed only when actually received by the commission.
				Each pleading must include a certification that a copy has been served on each
				party of record, stating the name of each party served and the date and manner
				of service.
(b) A pleading sent to
				the commission by first class United States mail in an envelope or wrapper
				properly addressed and stamped shall comply with Indiana Rule of Trial
				Procedure 5(B)(2). A legible postmark affixed by the United States postal
				service is prima facie evidence of the date of mailing. For purposes of
				responsive pleadings for which the deadline for filing is set by the filing of
				another pleading, the pleading to be filed first is considered filed when
				actually received by the commission.
(c) Unless otherwise provided by statute, the
				administrative law judge for a proceeding may extend the time for filing a
				pleading on a motion made by a party before the filing deadline if the
				administrative law judge determines that there is good cause for the extension
				and that the need for the extension is not caused by the neglect, indifference,
				or lack of diligence of the party making the motion. A copy of a motion made
				under this section must be served on all parties of record contemporaneously
				with the filing of the motion.
(d)
				A pleading may be filed by facsimile, provided an original and the required
				number of copies are received in the commission's office not later than 5 p.m.
				of the third day after the date the document was filed by facsimile. The
				inability to transmit a document due to equipment malfunction or any other
				cause does not relieve the person attempting to file the document of the filing
				deadline.
(e) If the deadline for
				filing a pleading falls on a Saturday, Sunday, or legal holiday, the period is
				extended to include the next day that is not a Saturday, Sunday, or legal
				holiday.
(f) The failure to file a
				pleading in accordance with this section may result in the pleading being
				struck.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-5 - Notice

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 5.
(a) Not less
				than five (5) days before the date set for a hearing, the commission shall
				serve written notice on each party of record to the proceeding.
(b) A notice of the hearing must include:
(1) the names and mailing addresses of all
				parties and other persons to whom notice is being given by the
				commission;
(2) the name, official
				title, and mailing address of any counsel or employee who has been designated
				to appear for the commission and a telephone number through which the counsel
				or employee can be reached;
(3) the
				official file or other reference number and the name of the
				proceeding;
(4) a statement of
				time, place, and nature of the hearing;
(5) a statement of the legal authority and
				jurisdiction under which the hearing is to be held;
(6) a reference to the particular sections of
				the Act and rules of the commission involved;
(7) the name, official title, and mailing
				address of the administrative law judge and a telephone number through which
				information concerning hearing schedules and procedures may be
				obtained;
(8) a short, plain
				statement of the matters asserted;
(9) a statement that a party who fails to
				attend or participate in a hearing or other later stage of the proceeding may
				be held in default or have a proceeding dismissed; and
(10) any other statement required by
				law.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-6 - Place, time, and nature of hearings

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 6.
(a) A hearing
				in a commission proceeding is open to the public, however, witnesses may be
				excluded or sequestered.
(b) A
				hearing shall be held in Indianapolis, Indiana unless:
(1) for good cause stated in open meeting,
				the commission designates another place for the hearing; or
(2) the Act requires otherwise.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-7 - Administrative law judges

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 7.
(a) One (1)
				or more members of the commission acting as the administrative law judge or an
				administrative law judge may serve as the administrative law judge for a
				commission proceeding.
(b) The
				administrative law judge may:
(1) authorize
				the taking of depositions;
(2)
				issue subpoenas to compel the attendance of witnesses and the production of
				papers and documents;
(3)
				administer oaths;
(4) receive
				evidence;
(5) rule on the
				admissibility of evidence and amendments to pleadings;
(6) examine witnesses;
(7) set reasonable times within which a party
				may present evidence and within which a witness may testify;
(8) permit and limit oral argument;
(9) issue interim orders;
(10) recess a hearing from day to day and
				place to place;
(11) request briefs
				before or after the administrative law judge files a report or proposal for
				decision;
(12) propose findings of
				fact and conclusions of law;
(13)
				propose orders and decisions; and
(14) perform other duties necessary to a fair
				and proper hearing.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-8 - Conferences

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 8.
(a) On
				written notice, the administrative law judge may, on his or her own motion or
				on the motion of a party, direct each party to appear at a specified time and
				place for a prehearing conference to formulate issues and consider any of the
				following:
(1) Simplifying issues.
(2) Amending the pleadings.
(3) Making admissions of fact or stipulations
				to avoid the unnecessary introduction of proof.
(4) Designating parties.
(5) Setting the order of procedure at a
				hearing.
(6) Identifying and
				limiting the number of witnesses.
(7) Resolving other matters that may expedite
				or simplify the disposition of the controversy, including settling issues in
				dispute.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-9 - Discovery

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 9.
(a) On
				written request by a party, the administrative law judge may issue a subpoena
				to require the attendance of witnesses and the production of books, records,
				papers, or other objects as may be necessary and proper for the purposes of a
				proceeding. A motion for a subpoena to compel the production of books, records,
				papers, or other objects shall:
(1) be
				addressed to the appropriate person;
(2) be verified; and
(3) specify the books, records, papers, or
				other objects desired and the relevant and material facts to be proved by
				them.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-10 - Order of hearing

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 10.
(a) The
				administrative law judge shall:
(1) open the
				hearing;
(2) make a concise
				statement of its scope and purposes; and
(3) announce that a record of the hearing is
				being made.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-11 - Behavior

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 11.
(a) Each
				party, witness, attorney, or other representative shall behave in all
				commission proceedings with dignity, courtesy, and respect for the commission,
				the administrative law judge and all other parties and participants.
(b) An individual who violates this section
				may be excluded from a hearing by the administrative law judge.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-13 - Reporters and transcripts

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-21.5-3-25; IC 4-31-13
Sec. 13.
(a) If
				necessary, the commission shall engage a court reporter to make a stenographic
				record of a hearing.
(b) If a
				person requests a transcript of the stenographic record, the commission may
				assess the cost of preparing the transcript to the person under IC
				4-21.5-3-25.
(c) A party may challenge an error made in
				transcribing a hearing by noting the error in writing and suggesting a
				correction not later than ten (10) days after the date the transcript is filed
				with the commission. The party claiming errors shall serve a copy of the
				suggested corrections on each party of record, the court reporter, and the
				administrative law judge. If proposed corrections are not objected to before
				the fifteenth day after the date the corrections were filed with the
				commission, the administrative law judge may direct that the suggested
				corrections be made and the manner of making them. If the parties disagree on
				the suggested corrections, the administrative law judge shall determine whether
				to change the record.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-14 - Findings of fact and conclusions of law

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 14.
(a) The
				administrative law judge may direct a party to draft and submit proposed
				findings of fact and conclusions of law or a proposal for decision that
				includes proposed findings of fact and conclusions of law. The administrative
				law judge may limit the request for proposed findings to a particular issue of
				fact.
(b) Proposed findings of fact
				submitted under this section must be supported by concise and explicit
				statements of underlying facts developed from the record with specific
				reference to where in the record the facts appear.
(c) Only if the administrative law judge
				requires the filing of proposed findings of fact or a proposal for decision is
				the commission required to rule on the proposed findings of fact in accordance
				with statute. If a party is permitted but not required to submit proposed
				findings or a proposal for decision, the commission is not required to rule on
				the party's proposed findings.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-15 - Final order and findings

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-21.5-3-27; IC 4-31-13
Sec. 15.
(a) The
				administrative law judge shall issue a final order, including findings of fact
				under IC 4-21.5-3-27. (b) If the commission
				exercises its discretion to concurrently act as the administrative law judge
				and ultimate authority for the agency, then this section does not apply.
				Otherwise, the issuance of an order shall be subject to the following:
(1) After an administrative law judge issues
				an order, the commission shall issue a final order:
(A) affirming;
(B) modifying; or
(C) dissolving; the administrative law
				judge's order. The commission may remand the matter, with or without
				instructions, to an administrative law judge for further proceedings.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-16 - Dismissal

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 16.
On its own motion or a motion by a party, the administrative
				  law judge may dismiss a proceeding, with or without prejudice, under conditions
				  and for reasons that are just and reasonable, including:
(1) failure to timely pay all required fees
				to the commission;
(2) unnecessary
				duplication of proceedings;
(3)
				withdrawal;
(4) moot questions or
				obsolete petitions; and
(5) lack of
				jurisdiction.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-17 - Orders

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-21.5-3-29; IC 4-31-13
Sec. 17.
(a) The
				commission shall issue its final order under IC
				4-21.5-3-29. A final order of the
				commission must be in writing and be signed by a majority of the members of the
				commission who voted in favor of the action taken by the commission. A final
				order must include findings of facts and conclusions of law, separately
				stated.
(b) The commission staff
				shall mail or deliver a copy of the order to each party or the party's
				representative.
(c) A final order
				of the commission takes effect on the date the order is issued, unless
				otherwise stated in the order.
(d)
				If the commission finds that an imminent peril to the public health, safety, or
				welfare requires an immediate final order in a proceeding, the commission shall
				recite that finding in the order in addition to reciting that the order is
				final from the date issued. An order issued under this subsection is final and
				appealable from the date issued and a motion for rehearing is not a
				prerequisite to appeal.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-18 - Rehearing

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-21.5-3-31; IC 4-31-13
Sec. 18.
(a) IC
				4-21.5-3-31, pertaining to
				rehearing after commission action, is hereby incorporated by
				reference.
(b) An order granting a
				motion for rehearing vacates the preceding final order. The order granting a
				motion for rehearing may direct that the hearing be reopened or may incorporate
				a new final decision. Except as otherwise provided by these rules, if the
				commission renders a new decision, a motion for rehearing directed to the new
				decision is a prerequisite to appeal.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-19 - Ex parte communications

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-21.5-3-11; IC 4-31-13
Sec. 19.
IC
				  4-21.5-3-11, pertaining to ex parte
				  communications, is hereby incorporated by reference.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 3 - Proceedings by the Commission › Section 3-21 - Settlement procedures

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC 4-31-13
Sec. 21.
(a) In lieu
				of the preliminary reports and administrative penalties provided for in section
				20 of this rule, the commission or the executive director may initiate a
				disciplinary action by issuing a written complaint containing the reasons and
				facts relied upon why the person regulated under the Act has violated the Act
				or a rule or order adopted under the Act.
(b) The person to whom the complaint is
				directed shall file a written answer within twenty (20) days after service of
				the complaint, and said answer shall contain an admission or denial of such
				factual allegation in the complaint and set forth any affirmative
				defenses.
(c) Within thirty (30)
				days after filing the answer:
(1) the person
				to whom the complaint is directed and the executive director shall meet
				informally to discuss the possibilities of settlement of the alleged violations
				in the complaint; and
(2) if either
				the person to whom the complaint is directed or the executive director
				determines that settlement is unlikely, the executive director may issue a
				preliminary report under section 20 of this rule.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 5 - Appearance by Attorneys or Representatives › Section 5-1 - Eligibility to appear and scope of practice

Current through July 10, 2024
Authority: IC 4-31-3-9; IC 4-31-6-9
Affected: IC 4-21.5-3-15; IC 4-31-5-1; IC 4-31-6-6; IC
				  4-31-13-1
Sec. 1.
(a) No person
				shall be eligible to practice before the commission unless the person has
				appeared in accordance with this title. An individual may appear on his or her
				own behalf, a partnership may be represented by a partner, and a party may be
				represented by a representative in accordance with IC 4-21.5-3-15.
(b) Practice before the commission shall
				include all matters before the commission, including, but not limited to,
				applications, licensing, and all other matters pertinent to the hearing or
				review, including, but not limited to, the preparation of pleadings and
				motions, settlement offers, subpoenas, depositions, oral arguments,
				presentation of the case, and other documents or material presented to the
				commission.
(c) Only individual
				attorneys may file appearances. Any attorney who has not filed an appearance
				may not address the hearing or review officer or sign pleadings or offers of
				settlement.
(d) All attorneys who
				appear in a representative capacity on behalf of a licensee, permit holder,
				subject of exclusion (under IC 4-31-13-1 and
				71
				IAC 2-10-1 ), or other person must file written notice
				of appearance setting forth the following:
(1) The name, address, and telephone number
				of the attorney.
(2) The name and
				address of the licensee, permit holder, subject of exclusion, or other person
				represented.
(3) An affirmative
				statement indicating that the attorney is licensed in Indiana and setting forth
				the attorney's number.
A representative of a licensee, permit holder, a subject of
				  exclusion, or other person who is not an attorney must set forth the
				  information requested in subdivisions (1) and (2).
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 5 - Appearance by Attorneys or Representatives › Section 5-2 - Suspension and revocation of ability to practice before commission

Current through July 10, 2024
Authority: IC 4-31-3-9; IC 4-31-6-9
Affected: IC 4-21.5-3-15; IC 4-31-5-1; IC 4-31-6-6; IC
				  4-31-13-1
Sec. 2.
(a) An
				attorney's ability to practice before the commission shall be automatically
				suspended without a hearing if the attorney's professional license is suspended
				or revoked.
(b) An attorney
				practicing before the commission may have his or her ability to appear
				suspended or revoked if, after a hearing, the commission finds the following:
(1) The attorney made a materially false or
				misleading statement in the attorney's written notice of appearance.
(2) The attorney willfully failed to exercise
				due diligence in the preparation or presentation of any motion, documents, or
				other matter related to the case filed with or presented to the review officer,
				hearing officer, or commission, or knowingly misrepresented a material fact to
				the review officer, hearing officer, or commission.
(3) The attorney willfully violated or aided
				and abetted another in the violation of any provision of the Act or this
				title.
(4) The attorney:
(A) does not possess the requisite
				qualifications or expertise to represent others before the
				commission;
(B) lacks character and
				integrity; or
(C) has engaged in
				unethical or improper conduct.
(5) For any other action or reason that the
				commission deems necessary to warrant suspension or revocation of an attorney's
				ability to practice before the commission.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 5 - Appearance by Attorneys or Representatives › Section 5-3 - Reinstatement

Current through July 10, 2024
Authority: IC 4-31-3-9; IC 4-31-6-9
Affected: IC 4-21.5-3-15; IC 4-31-5-1; IC 4-31-6-6; IC
				  4-31-13-1
Sec. 3.
(a) An
				attorney whose ability to appear is suspended or revoked under section 2(a) of
				this rule shall automatically be reinstated to practice before the review
				officer, hearing officer, or commission at the time the attorney's professional
				license is reinstated.
(b) An
				attorney whose ability to appear is suspended or revoked under section 2 of
				this rule may be reinstated by the commission upon a showing of good cause. An
				applicant for reinstatement shall be afforded a hearing before the commission
				upon application.
(c) If the
				commission referred an attorney to a disciplinary commission or agency under
				section 2 of this rule, the attorney shall not be reinstated to practice before
				the commission before any disciplinary action initiated as a result of the
				referral has been completed.
Agency cited as 71 IAC 10-4-3, which was renumbered by the
					 Publisher as 71 IAC 10-5-3.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 5 - Appearance by Attorneys or Representatives › Section 5-4 - Effect of representation; service

Current through July 10, 2024
Authority: IC 4-31-3-9; IC 4-31-6-9
Affected: IC 4-21.5-3-1; IC 4-21.5-3-15; IC 4-31-5-1; IC
				  4-31-6-6; IC 4-31-13-1
Sec. 4.
(a) A
				person represented before the commission by an attorney or representative under
				this rule shall be bound by the acts or omissions of the attorney or
				representative to the same extent as if the person had acted or failed to act
				personally.
(b) In any appearance
				by an attorney or representative at any hearing or meeting of the commission,
				the client is deemed to have waived all privileges with respect to any
				information in the possession of the attorney or representative, or any
				testimony by the attorney or representative except for privileges afforded by
				the constitution or laws of Indiana, the rules of the Indiana supreme court, or
				the constitution or laws of the United States, where applicable.
(c) Service shall be made in accordance with
				IC 4-21.5-3-1.
Agency cited as 71 IAC 10-4-4, which was renumbered by the
					 Publisher as 71 IAC 10-5-4.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 5 - Appearance by Attorneys or Representatives › Section 5-5 - Obligations of truthfulness and due diligence

Current through July 10, 2024
Authority: IC 4-31-3-9; IC 4-31-6-9
Affected: IC 4-21.5-3-15; IC 4-31-5-1; IC 4-31-6-6; IC
				  4-31-13-1
Sec. 5.
(a) Attorneys
				or representatives appearing before the review officer, hearing officer, or
				commission shall not be intentionally untruthful, nor withhold any information
				that the review officer, hearing officer, or commission is entitled to receive,
				nor interfere with any lawful effort by the commission to obtain such
				information.
(b) Attorneys or
				representatives shall exercise due diligence in preparing or assisting in the
				preparation of documents for submission to the review officer, hearing officer,
				or commission.
(c) An attorney or
				representative appearing under this rule has a continuing responsibility on
				behalf of the attorney's or representative's client to monitor the accuracy and
				completeness of information submitted to the commission in any matters
				pertaining to the attorney's or representative's appearance on behalf of the
				client. To the extent not in conflict with the attorney-client privilege,
				whenever, during the pendency of an action or matter, an attorney of record
				becomes aware that information furnished to the commission is no longer
				accurate and complete in any material respect, the attorney shall promptly
				supplement or correct the information.
Agency cited as 71 IAC 10-4-5, which was renumbered by the
					 Publisher as 71 IAC 10-5-5.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 5 - Appearance by Attorneys or Representatives › Section 5-6 - Knowledge of client's omission

Current through July 10, 2024
Authority: IC 4-31-3-9; IC 4-31-6-9
Affected: IC 4-21.5-3-15; IC 4-31-5-1; IC 4-31-6-6; IC
				  4-31-13-1
Sec. 6.
(a) An
				attorney or representative who knows that a client has not complied with the
				Act or this title, or that a client has made a material error in or a material
				omission in any information or testimony presented to the review officer,
				hearing officer, or commission, shall promptly advise his or her client of the
				fact of the noncompliance, error, or omission.
(b) To the extent not in conflict with the
				attorney-client privilege, the attorney shall advise the hearing officer,
				review officer, or commission of the noncompliance, error, or
				omission.
Agency cited as 71 IAC 10-4-6, which was renumbered by the
					 Publisher as 71 IAC 10-5-6.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 10 - DUE PROCESS AND DISCIPLINARY ACTION › Rule 5 - Appearance by Attorneys or Representatives › Section 5-7 - Certification of documents

Current through July 10, 2024
Authority: IC 4-31-3-9; IC 4-31-6-9
Affected: IC 4-21.5-3-15; IC 4-31-5-1; IC 4-31-6-6; IC
				  4-31-13-1
Sec. 7.
(a) Every
				pleading, motion, subpoena, settlement offer, brief, stipulation of fact, or
				other document prepared or filed on behalf of a client must be signed by the
				attorney or representative, and the signature shall constitute a certification
				that the document was prepared in conformity with the requirements of the Act
				and this title.
(b) An attorney or
				representative may not verify any document required to be verified by the
				petitioner.
Agency cited as 71 IAC 10-4-7, which was renumbered by the
					 Publisher as 71 IAC 10-5-7.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-1 - Authority

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-3-9; IC
				  4-31-5
Sec. 1.
IC
				  4-31-3-9 authorizes the commission
				  to adopt rules to implement this article.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-2 - Purpose

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-5
Sec. 2.
The purpose of this article is as follows:
(1) To ensure that pari-mutuel wagering on
				horse races in Indiana will be conducted with the highest of standards and the
				greatest level of integrity.
(2) To
				establish application and permit criteria for the issuance of permits to
				conduct activities relating to horse racing and pari-mutuel wagering in order
				to ensure the protection of the public interest.
(3) To ensure that the process for the
				issuance of permits relating to horse racing and pari-mutuel wagering is fair
				and equitable.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-3 - Time for filing of applications for permit

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-5
Sec. 3.
(a) The
				commission establishes the window period from May 1, 1992, to August 14, 1992,
				as the one hundred six (106) day period in which initial permit applications
				shall be submitted. The initial permit applications submitted during the one
				hundred six (106) day period, which are thereafter accepted for filing by the
				commission, will be considered and acted upon by the commission as a group when
				considering whether to grant a permit or permits. Thereafter, initial permit
				applications to conduct horse racing meetings will be considered and acted upon
				by the commission from time to time as submitted; provided, however, that
				initial permit applications received after the initial one hundred six (106)
				day period will not be considered by the commission until after the commission
				has considered and acted upon the initial permit applications submitted during
				the one hundred six (106) day period described above.
(b) Thereafter, subsequent to implementation
				of subsection (a), permit holders under IC
				4-31-5 shall file an annual renewal
				permit application with the commission no later than November 1 of the year
				preceding the year in which the horse racing meeting is to be conducted.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-4 - Application form and affidavit

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-5
Sec. 4.
(a) An
				applicant for a permit under IC
				4-31-5 shall submit to the
				commission an affidavit and application and any exhibits thereto, in the form
				and manner prescribed by the commission and on forms furnished by the
				commission. The application and related forms shall be available at the
				commission's office.
(b) The
				applicant shall use best efforts to provide all information required to be
				disclosed in the application. In the event an applicant is unable, despite best
				efforts, to provide the information required, the applicant shall fully explain
				and document to the satisfaction of the commission, its inability to provide
				the information and shall provide such information promptly upon being able to
				do so.
(c) Upon request of the
				commission or its agents, the applicant shall provide copies of any documents
				used in the preparation of its application.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-6 - Permit criteria

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-4; IC
				  4-31-5
Sec. 6.
(a) The
				commission may issue a permit under IC
				4-31-5 if the commission determines
				that the applicant meets all of the requirements under IC 4-31 and this title
				and, that on the basis of all the facts before it, the following is shown:
(1) The applicant is qualified and
				financially able to operate a race track.
(2) Racing meetings at a race track will be
				operated in accordance with all applicable laws and rules.
(3) The appropriate county fiscal body has
				adopted the ordinance required under IC
				4-31-4.
(4) The issuance of a permit will ensure that
				racing will be conducted with the highest of standards and the greatest level
				of integrity, and ensure the protection of the public interest.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-7 - Assignment of racing meetings

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-5-9
Sec. 7.
In determining the assignment of racing meetings and race
				  dates to permit holders under IC
				  4-31-5-9, the commission shall
				  consider factors relating to the economic and practical feasibility of
				  conducting racing meetings at various tracks. Factors to be considered shall
				  include, without limitation, the following:
(1) The types and dates of racing meetings
				being held elsewhere, both within and outside of Indiana.
(2) The effects that various types of
				pari-mutuel racing have on one another.
(3) The quality of horse racing provided at
				various tracks.
(4) Past
				dates.
(5) Past performance of the
				permit holder.
(6) Whether the
				permit holder has complied with all applicable laws and rules relating to horse
				racing.
(7) Whether the assignment
				will maximize revenues to the state.
(8) Whether the assignment will adversely
				affect the public health, welfare, and safety.
(9) Stability of dates.
(10) The stability of the racing
				circuit.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-8 - Changes in permit applications

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-5
Sec. 8.
(a) An
				applicant shall furnish written notification to the commission of any material
				change in the information originally submitted in its application. This
				notification shall be made within five (5) days following the event of such
				change and provide details to the degree of specificity required in the
				application.
(b) Notwithstanding an
				applicant's timely notification of a material change in the information
				submitted in its application, the commission may refuse to consider any
				substantive amendment to an application after the initial submission of the
				application.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-9 - Additional information

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-5
Sec. 9.
The commission may require, either before or after oral
				  presentation, any additional information it considers necessary or relevant
				  from any applicant to clarify, support, or otherwise explain information
				  contained in the applicant's application for the purpose of ruling on a permit
				  application.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-10 - Oral presentation by applicant

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-5
Sec. 10.
The commission shall provide the applicant for a permit under
				  IC 4-31-5 an opportunity to make an
				  oral presentation of its application to the commission prior to the ruling on
				  the application. The presentation shall be made by an applicant, under oath, at
				  a session of the commission. The presentation shall be limited to the
				  information contained in the applicant's application, and approved supplements
				  thereto and any supplemental information not specifically required to be
				  disclosed in the application. The admission as evidence of such supplemental
				  information shall be subject to the discretion of the commission. The
				  commission is not required to afford an applicant more than one (1) opportunity
				  to make an oral presentation on the same application prior to a commission
				  determination; provided, however, the commission may require an applicant to
				  appear before the commission to clarify or otherwise respond to questions
				  concerning the application as a condition to the issuance of a permit. No
				  opportunity for an oral presentation need be given if, at any time, the
				  commission deems the applicant's application not complete and does not accept
				  the application for filing.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-11 - Permit applications as public records

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-5; IC
				  5-14-3-2; IC
				  5-14-3-4
Sec. 11.
The secretary of the commission shall retain and safeguard
				  all applications received under IC
				  4-31-5. Promptly after an
				  application has been filed, the secretary shall deliver the application to the
				  commission for review. Upon filing, the application shall become a public
				  record as defined in IC
				  5-14-3-2, therefore making the
				  application subject to public inspection or copying, except that any personal
				  financial information required in the application or as a supplement thereto
				  shall be kept confidential in accordance with IC
				  5-14-3-4(a)(5).
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-12 - Contracts with a permit holder; approval by commission or executive director

Current through July 10, 2024
Authority: IC
				  4-31-3-9
Affected: IC
				  4-31-5; IC
				  4-31-6-1; IC 4-35
Sec. 12.
(a) The
				following contracts must be approved by the commission or the executive
				director:
(1) contracts for
				management;
(2) contracts for
				totalizator services;
(3) contracts
				with horsemen's associations; and
(4) a contract or a series of contracts
				between a permit holder and a related party that exceeds fifty thousand dollars
				($50,000), other than a contract for employment; and
(5) a contract or transaction, or a series of
				contracts or transactions, between a permit holder and any party that equals or
				exceeds fifty million dollars ($50,000,000) in value.
Indiana Administrative Code › Title 71 - INDIANA HORSE RACING COMMISSION › Article 11 - PERMIT APPLICATION REQUIREMENTS AND CRITERIA › Rule 1 - Permit Application Requirements and Criteria › Section 1-12.1 - Distribution agreements

Current through July 10, 2024
Authority: IC
				  4-35-7-12; IC
				  4-35-7-16
Affected: IC 4-31; IC 4-35
Sec. 12.1.
(a) The
				parties to the distribution agreement under IC
				4-35-7-16 shall, on or before
				October 1 of each calendar year, report to the commission the effect of each
				distribution agreement on the Indiana horse racing industry.
(b) The parties submitting a proposed
				distribution agreement to the commission for approval under IC
				4-35-7-16 shall have the burden of
				proving:
(1) The distribution agreement is in
				the best interests of pari-mutuel horse racing in Indiana.
(2) The distribution agreement ensures the
				maintenance of the highest standards and greatest level of integrity.
(3) The distribution is fair to all
				parties.
(4) The licensees are
				financially stable.