Current through Register Vol. 54, No. 44, November 2, 2024
(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).
