Authority: IC 4-31-3-9

Affected: IC 4-31-13

Sec. 3. (a) Pleadings filed with the commission include the following:

1. (1) Appeals.
2. (2) Applications.
3. (3) Answers.
4. (4) Complaints.
5. (5) Exceptions.
6. (6) Replies.
7. (7) Motions.

Regardless of an error in designation, a pleading shall be accorded its true status in the proceeding in which it is filed.

(b) A request for discovery or a response to a request for discovery is not a pleading and is not a part of the administrative record of a contested case unless the request or response is offered into evidence.

(c) A pleading for which the commission staff has not prepared an official form must contain:

1. (1) the name of the pleader;
2. (2) the telephone number and street address of the pleader's residence and business and the telephone number and street address of the pleader's representative, if any;
3. (3) the jurisdiction of the commission over the subject matter;
4. (4) a concise statement of the facts relied on by the pleader;
5. (5) a request stating the type of commission action desired by the pleader;
6. (6) the name and address of each person who the pleader knows or believes will be affected if the request is granted;
7. (7) a proposed order containing proposed findings of fact and conclusions of law;
8. (8) any other matter required by statute or commission rule; and
9. (9) a certificate of service.

(d) A party filing a pleading shall mail or deliver a copy of the pleading to each party of record. If a party is being represented by an attorney or other representative, service may be made on the attorney or representative instead of on the party. The knowing failure of a party to make service in accordance with this subsection is grounds for the commission to strike the pleading from the record.

(e) An objection to a defect, omission, or fault in the form or content of a pleading must be specifically stated in a motion or an exception presented not later than the prehearing conference if one is held and not later than fifteen (15) days before the date of the hearing if a prehearing conference is not held. A party who fails to timely file an objection under this subsection waives the objection.

(f) Except as otherwise provided by this subsection, a pleader may amend or supplement a pleading at any time before the twenty-first day after the date the pleading was filed, but not later than five (5) days before the date of the hearing. A pleader may amend or supplement a pleading at any time:

1. (1) on written consent of each party of record; or
2. (2) as permitted by the administrative law judge for the proceeding;

when justice requires the amendment or supplementation and when the amendment or supplementation will not unfairly surprise another party.

(g) A pleading may adopt or incorporate by specific reference any part of a document in the official files and records of the commission. This subsection does not relieve the pleader of the duty to allege in detail all facts necessary to sustain the pleader's burden of proof.

(Indiana Horse Racing Commission; 71 IAC 10-3-3; emergency rule filed Feb 10, 1994, 9:20 a.m.: 17 IR 1201; readopted filed Oct 30, 2001, 11:50 a.m.: 25 IR 899; readopted filed Mar 23, 2007, 11:31 a.m.: 20070404-IR-071070030RFA; filed Nov 10, 2014, 2:07 p.m.: 20141210-IR-071140230FRA; readopted filed Oct 7, 2020, 2:27 p.m.: 20201104-IR- 071200406RFA; readopted filed Sep 18, 2024, 12:40 p.m.: 20241016-IR-071230796RFA)