Iowa Administrative Code › Agency 491 - Racing and Gaming Commission › Chapter 4 - Contested Cases and Other Proceedings › Rule 491-4.5 - Gaming Board-duties

Current through Register Vol. 47, No. 3, July 24, 2024
The gaming board conducts informal hearings whenever the board
				has reasonable cause to believe that a licensee, an occupational licensee, or
				other persons have committed an act or engaged in conduct which is in violation
				of statute or commission rules. The hearings precede a contested case hearing
				and are investigative in nature. The following procedures will apply:
(1) The gaming board shall consist of three
			 gaming representatives, as assigned by the administrator. The administrator has
			 the discretion to create more than one gaming board, to set terms for gaming
			 board members, to assign alternates, and to make any decisions necessary for
			 the efficient and effective operation of the gaming board. A gaming
			 representative who has made a referral to the gaming board shall not sit on the
			 board that makes a decision on the referral.
(2) The administrator may designate an
			 employee to act as gaming board coordinator. The gaming board coordinator shall
			 have the power to assist and advise the gaming board through all aspects of the
			 gaming board hearing process. The gaming board coordinator may review any
			 referral from gaming representatives prior to setting the matter for hearing
			 before the gaming board. The gaming board coordinator, in consultation with the
			 administrator or the administrator's designee, may return the referral to the
			 initiating gaming representative if the information provided appears
			 insufficient to establish a violation. The gaming board coordinator shall
			 otherwise assist the gaming board in setting the matter for hearing.
(3) The gaming board, upon receipt of a
			 referral, may review the referral prior to the hearing. The gaming board may
			 return a referral to the initiating gaming representative or the
			 administrator's designee on its own motion prior to hearing if the information
			 provided appears insufficient to establish a violation.
(4) Upon finding of reasonable cause, the
			 board shall schedule a hearing to which the license holder shall be summoned
			 for the purpose of investigating suspected or alleged misconduct by the license
			 holder, at which all board members or their appointed representatives shall be
			 present in person or by teleconference. The license holder may request a
			 continuance for good cause in writing not less than 24 hours prior to the
			 hearing except in cases of unanticipated emergencies. The continuance need not
			 necessarily stay any intermediate sanctions.
(5) The notice of hearing given to the
			 license holder shall give adequate notice of the time, place and purpose of the
			 board's hearing and shall specify by number the statutes or rules allegedly
			 violated. If a license holder, after receiving adequate notice of a board
			 meeting, fails to appear as summoned, the license holder will be deemed to have
			 waived any right to appear and present evidence to the board.
(6) The gaming board has complete and total
			 authority to decide all issues concerning the process of the hearing. The
			 gaming board shall recognize witnesses and either question the witnesses or
			 allow them to give a narrative account of the facts relevant to the case. The
			 gaming board has the right to request witnesses or additional documents that
			 have not been submitted by the initiating gaming representative. The licensee
			 has no right to present testimony, cross-examine witnesses, make objections, or
			 present argument, unless specifically authorized by the gaming board.
(7) It is the duty and obligation of every
			 licensee to make full disclosure at a hearing before the board of any knowledge
			 possessed regarding the violation of any rule, regulation or law concerning
			 racing and gaming in Iowa. No person may refuse to testify before the board at
			 any hearing on any relevant matter within the authority of the board, except in
			 the proper exercise of a legal privilege. No person shall falsely testify
			 before the board.
(8) Persons who
			 are not holders of a license or occupational license and who have allegedly
			 violated commission rules or statute, or whose presence at a licensed facility
			 is allegedly undesirable, are subject to the authority of the board and to any
			 penalties, as set forth in rule
			 491-4.7 (99D,99F).
(9) The gaming board has the power to
			 interpret the rules and to decide all questions not specifically covered by
			 them. The board has the power to determine all questions arising with reference
			 to the conduct of gaming and sports wagering and fantasy sports contests and
			 the authority to decide any question or dispute relating to racing, gaming,
			 sports wagering or fantasy sports contests in compliance with rules promulgated
			 by the commission or policies approved for licensees, and persons participating
			 in licensed racing or gaming agree in so doing to recognize and accept that
			 authority. The board may also suspend the license of any license holder when
			 the board has reasonable cause to believe that a violation of law or rule has
			 been committed and that the continued performance of that individual in a
			 licensed capacity would be injurious to the best interests of racing or
			 gaming.
(10) The gaming board shall
			 enter a written decision after each hearing. The decision shall find whether
			 there is a violation of the rules or statutes and, if so, shall briefly set
			 forth the legal and factual basis for the finding. The decision shall also
			 establish a penalty for any violation. The gaming board has the authority to
			 impose any penalty as set forth in these rules.
(11) Rescinded IAB 9/29/04, effective
			 11/3/04.
(12) Upon the filing of a
			 timely and perfected appeal, the licensee has the right to a contested case
			 proceeding, as set forth supra in these rules.
(13) Informal settlements. A licensee may
			 enter into a written stipulation representing an informed mutual consent with a
			 gaming representative or the administrator's designee. This stipulation must
			 specifically outline the violation and the penalty imposed. Stipulations must
			 be approved by the gaming board. Stipulations are considered final agency
			 action and cannot be appealed.