Iowa Administrative Code

prior to the hearing only in accordance with commission rules. Unless otherwise provided, a withdrawal shall be with prejudice.

4.35(1) Motion. A motion for leave to intervene in a contested case proceeding shall state the grounds for the proposed intervention, the position and interest of the proposed intervenor, and the possible impact of intervention on the proceeding. A proposed answer or petition in …

4.36(1) The presiding officer presides at the hearing, and may rule on motions, require briefs, issue a proposed decision, and issue such orders and rulings as will ensure the orderly conduct of the proceedings. 4.36(2) All objections shall be timely made and stated on the record…

4.37(1) The presiding officer shall rule on admissibility of evidence and may, where appropriate, take official notice of facts in accordance with all applicable requirements of law. 4.37(2) Stipulation of facts is encouraged. The presiding officer may make a decision based on st…

4.38(1) If a party fails to appear or participate in a contested case proceeding after proper service of notice, the presiding officer may, if no adjournment is granted, enter a default decision or proceed with the hearing and render a decision in the absence of the party. 4.38(2…

4.39(1) Prohibited communications. Unless required for the disposition of ex parte matters specifically authorized by statute, following issuance of the notice of hearing, there shall be no communication, directly or indirectly, between the presiding officer and any party or repr…

regulatory duties. 4.4(1) The gaming representative shall make decisions whether to approve applications for occupational licenses, in accordance with the rules and statutes. a. Each decision denying a license for an occupational license shall be in writing. The decision must con…

portion of the record at cost. The cost of preparing a copy of the record or of transcribing the hearing record shall be paid by the requesting party. Parties who request that a hearing be recorded by certified shorthand reporters rather than by electronic means shall bear the co…

commission may review an interlocutory order of the presiding officer. In determining whether to do so, the commission shall weigh the extent to which its granting the interlocutory appeal would expedite final resolution of the case and the extent to which review of that interloc…

4.42(1) When the commission presides over the reception of evidence at the hearing, its decision is a final decision. 4.42(2) When the commission does not preside at the reception of evidence, the presiding officer shall make a proposed decision. The proposed decision becomes the…

4.43(1) Appeal by party. Any adversely affected party may appeal a proposed decision to the commission within 10 days after issuance of the proposed decision. 4.43(2) Review. The commission may initiate review of a proposed decision on its own motion at any time within 30 days fo…

4.44(1) By whom filed. Any party to a contested case proceeding may file an application for rehearing from a final order. 4.44(2) Content of application. The application for rehearing shall state on whose behalf it is filed, the specific grounds for rehearing, and the relief soug…

4.45(1) When available. a. Any party to a contested case proceeding may petition the commission for a stay of an order issued in that proceeding or for other temporary remedies, pending review by the commission. The petition for a stay shall be filed with the notice of appeal and…

exists as to a matter that would be a contested case if such a dispute of fact existed, the parties may present all relevant admissible evidence either by stipulation or otherwise as agreed by the parties without necessity for the production of evidence at an evidentiary hearing.…

4.47(1) Necessary emergency action. To the extent necessary to prevent or avoid immediate danger to the public health, safety, or welfare, the commission, gaming representatives, or stewards may issue a written order in compliance with Iowa Code section 17A.18 to suspend a licens…

upon its own motion, pursuant to any matter within its jurisdiction. These rules are intended to implement Iowa Code chapters 17A, 99D and 99F. [Filed 4/5/85, Notice 2/27/85—published 4/24/85, effective 5/29/85] [Filed emergency 10/20/86—published 11/19/86, effective 10/20/86] [F…

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. T…

4.6(1) The stewards shall make decisions whether to approve applications for occupational licenses, in accordance with the rules and statutes. a. Each decision denying an application for an occupational license shall be in writing. The decision must contain a brief explanation of…

promptly reported to the commission and facility or other licensed entity in writing. The board may impose one or more of the following penalties: eject and exclude an individual from a facility; revoke a license; suspend a license for up to five years from the date of the origin…

appropriate action against a license holder or other person who has been excluded from a track or gaming establishment in another jurisdiction to exclude that person from any track or gaming establishment under the commission’s jurisdiction. Proceedings shall be conducted in the …

applicant or occupational licensee shall be served on the applicant or occupational licensee by personal service or by certified mail with return receipt requested to the last-known address on the application. 4.9(1) If the applicant or licensee is represented by legal counsel, a…

shall become a requirement to the licensee once a license to race or operate a gaming facility has been granted. Every license is granted upon the condition that the license holder shall accept, observe, and enforce the rules and regulations of the commission. It is the affirmati…

Code sections 99D.20 and 99F.13. 5.2(1) The audit of financial transactions and condition of licensee’s operation shall include: a. An internal control letter; b. Documentation that the audit shall be conducted by certified public accountants authorized to practice in the state o…

commission or commission representative.

5.4(1) Maintenance of premises and facilities. Each licensee shall at all times maintain its premises and facilities so as to be neat and clean, well landscaped, painted and in good repair, handicapped accessible, with special consideration for the comfort and safety of patrons, …

5.5(1) Insect and rodent control. The licensee shall provide systematic and effective insect and rodent control, including control of flies, mosquitoes, fleas, and mice, to all areas of licensee’s premises at all times during a race meeting. 5.5(2) Results boards, totalizators re…

5.6(1) Excursion gambling boat. a. Capacity. The minimum passenger capacity necessary for an excursion gambling boat is 250. b. Excursion boat. A self-propelled, floating “vessel” as defined by the U.S. Coast Guard may contain more than one vessel. In order to be utilized for gam…

“Applicant” means an individual applying for an occupational license. “Beneficial interest” means any and all direct and indirect forms of ownership or control, voting power, or investment power held through any contract, lien, lease, partnership, stockholding, syndication, joint…

licensed employee by any licensed employer for violation of rules or laws within the jurisdiction of the commission, the employer must report that fact in writing, within 72 hours, to the local commission office, including the name and occupation of the discharged licensee. In th…

unit. 6.11(1) Upon the commission’s receipt of a certificate of noncompliance, a commission representative shall initiate procedures for the suspension, revocation, or denial of issuance or renewal of licensure to an individual. A notice of intended action shall be served by rest…

commission. Rescinded ARC 5075C, IAB 7/1/20, effective 8/5/20.

of the department of revenue. 6.13(1) Upon the commission’s receipt of a certificate of noncompliance, a commission representative shall initiate procedures for the suspension, revocation, or denial of issuance or renewal of licensure to an individual. A notice of intended action…

6.14(1) A vendor’s license is required of any entity not licensed as a manufacturer or distributor that conducts operations on site at a facility or a vendor that provides geolocation security services to any licensee. 6.14(2) An applicant for a vendor’s license must complete the…

shall apply in like force to the spouse and members of the immediate family or household of the licensee if the continuation of participation in racing or gaming by the affected person circumvents the intent of the rule or affects the ruling by permitting a person under the contr…

lessor, general partnership, or corporation) and all trainers are responsible for making full and accurate disclosure of the ownership of all racing animals registered or entered for racing. Disclosure shall identify in writing all individuals or entities that, directly or indire…

6.17(1) Each greyhound owner must obtain an owner’s license from the commission to enter an animal in an official schooling race or a purse race at an Iowa racetrack. 6.17(2) Each owner is subject to the laws of Iowa and the rules promulgated by the commission immediately upon ac…

6.18(1) Licensed owners and lessees wishing to race under a kennel/stable name may do so by applying for a license with the commission on forms furnished by the commission. All kennel/stable names must be licensed with the commission on forms furnished by the commission, and in a…

6.19(1) No licensee shall lease a racing animal for the purpose of racing at facilities in this state without prior approval of the commission representatives. 6.19(2) Both lessor and lessee must be licensed as owners. 6.19(3) Each licensee who leases a racing animal must submit …

6.2(1) Licensee staff engaged in administration, control, conduct of gambling games, racing and sports wagering and fantasy sports contest board members, with the exception of certified law enforcement officers while they are working for the facility as uniformed officers, are re…

6.20(1) A partnership is defined as a formal or informal arrangement between two or more persons to own a racing animal. All partnerships, excluding spouses, must be licensed with the commission on forms furnished by the commission, and in accordance with the requirements of 491—…

6.21(1) All corporations must be duly licensed by the commission on forms furnished by the commission, and in accordance with the requirements of 491—6.17(99D). In addition, any stockholder owning a beneficial interest of 5 percent or more of the corporation must be licensed as a…

6.22(1) Any persons represented by a kennel name, stable name, corporation, partnership, or single person entity may assign an agent for the kennel name, stable name, corporation, partnership, or single person entity. The assigned agent is then authorized to handle matters pertai…

6.23(1) All trainers and assistant trainers of racing animals and their employees are subject to the laws of Iowa and the rules promulgated by the commission immediately upon acceptance and occupancy of accommodations from or approved by the facility or upon making entry to run o…

6.24(1) Eligibility. a. An applicant for a jockey license must be at least 16 years of age, and if under 18 years of age, the applicant must have the written consent of a parent or guardian. b. A jockey shall pass a physical examination given within the previous 12 months by a li…

6.25(1) An applicant for a license as a jockey agent shall: a. Provide written proof of agency with at least one jockey licensed by the commission; and b. Be qualified, as determined by the commission representative, by reason of experience, background, and knowledge. A jockey ag…

1. Whether the applicant has obtained the required U.S.T.A. license. 2. Evidence of driving experience and ability to drive in a race. 3. The age of the applicant. No person under 18 years of age shall be licensed by the commission as a driver. However, a person under 18 years of…

unrestricted and current license to practice veterinary science issued by the state of Iowa veterinary regulatory authority and shall be licensed by the commission in accordance with the commission rules governing occupational licensing. 6.27(1) Every veterinarian seeking to be l…

6.28(1) Alcohol prohibition/preliminary breath test. Licensees whose duties require them to be in a restricted area of a racing facility shall not have present within their systems an amount of alcohol of 0.05 percent or more. A restricted area is a designated area for sample col…

names, partnerships, and corporations), the jockey and the trainer of a horse entered to race must be licensed by the first post time of the race card for the day in which the horse is entered. [ARC 7658B, IAB 3/25/09, effective 3/23/09; ARC 2468C, IAB 3/30/16, effective 5/4/16] …

Constitution of the United States or of the state of Iowa in refusing to answer questions of the commission. However, a claim of privilege with respect to any testimony or evidence pertaining to an application may constitute sufficient grounds for denial. [ARC 4618C, IAB 8/28/19,…