North Carolina Administrative Code

24 NCAC 06A .0208 Authorization to Review (a) By submitting an application the Applicant authorizes the Commission, Director, investigative contractors acting on the Commission's behalf, and others authorized by the Commission to obtain or access any and all gaming-related inform…

24 NCAC 06A .0209 Administrative Sufficiency Review (a) Upon receipt of an Applicant's application and payment of the applicable Licensing fee, the Director shall review the application to determine whether it facially contains all required information and materials such that the…

24 NCAC 06A .0210 Consent to Background Investigation Required; Recent Criminal History Check (a) The Commission, or a third-party contractor approved by the Commission, shall conduct a Background Investigation on the Applicant, Key Persons, and other Persons required to be discl…

24 NCAC 06A .0211 Duty to Update Application; Process to Amend (a) If information in a submitted License application changes or becomes inaccurate, the Applicant shall notify the Commission within five Days of the change or inaccuracy in writing with a supplement to its applicati…

24 NCAC 06A .0212 Supplemental Information and Cooperation (a) In connection with a pending application or License related matter, the Director may request supplemental information and documents from an Applicant, Responsible Party, Key Person, or Individual subject to a Backgrou…

24 NCAC 06A .0213 Approval or Denial of License Application; Authority (a) The Commission delegates to the Director decision-making authority to grant or deny a License application. The Director shall report all decisions to grant or deny a License application to the Commission. …

24 NCAC 06A .0214 Reapplication for Licensure After Withdrawal, Denial, or Revocation (a) An Applicant may not submit a Licensing application earlier than one year after: (1) electing to withdraw an application from consideration; (2) denial of a previous License application invo…

24 NCAC 06A .0215 Withdrawal of Application (a) An Applicant's written notice of withdrawal of an application or of a renewal application may be filed by any Applicant at any time before an application is denied or a License is revoked or terminated. (b) Application withdrawal re…

24 NCAC 06A .0216 Authority to Retain and Utilize Contract Investigators (a) The Director may retain qualified contractor investigators, either directly or pursuant to a contract or contracts with a private investigative business or businesses, to assist with activities such as i…

24 NCAC 06A .0217 Review and Issue Licenses The Commission shall review and issue Licenses to qualified Applicants within 60 Days of receipt of a completed, administratively sufficient application. The Commission may extend the review period for an additional 30 Days if the Backg…

24 NCAC 06A .0218 Conditional Licensure (a) The Director may offer an Applicant a License subject to certain conditions and limitations. If the Applicant accepts an offer of Conditional Licensure, the Applicant shall abide by the conditions and limitations or be subject to Discip…

24 NCAC 06A .0219 Reconsideration on Denial of a License (a) Any Applicant whose application is denied shall have 15 Days from receipt of notice of denial, issued pursuant to Rule .0213 of this Subchapter, to submit a written request for reconsideration to the Director. The writt…

24 NCAC 06A .0220 Duty to Maintain Suitability Each License is a revocable privilege granted by the Commission contingent upon continuing suitability for licensure. Each Responsible Party has a continuing duty to maintain and, at the Commission's or Director's direction, demonstr…

24 NCAC 06A .0221 Attestation of Compliance (a) On an annual basis at a time designated by the Director, each Responsible Party shall submit an attestation of compliance to the Commission on forms prescribed by the Commission or in an electronic platform provided by the Commissio…

24 NCAC 06A .0222 Annual Review of Licensed Operators The Commission shall review each Licensed Operator annually to ensure that each is acting in accordance with the Act and Rules adopted by the Commission and representations included in its attestation of compliance. If the Com…

24 NCAC 06A .0223 License Period; Revocation or Suspension Other than a provisional Sports Wagering Supplier License issued pursuant to G.S. 18C-907, any License issued pursuant to the Act and these Rules shall be valid for five years unless sooner revoked or suspended or otherwi…

24 NCAC 06A .0224 Renewal Application (a) At least 60 Days prior to the expiration of a License, the Responsible Party shall submit a renewal application, on a form and in a manner prescribed by the Commission, including a renewal fee, which shall be the same as the fees for a ne…

24 NCAC 06A .0225 Denial of Renewal (a) The Commission may deny a License renewal based on: (1) one or more of the same grounds that would constitute denial of an initial application under Rule .0213 of this Subchapter; (2) a violation of the Act or these Rules; (3) a pattern of …

24 NCAC 06A .0226 Public Record Notwithstanding Chapter 132 of the General Statutes or any other provision of law, except for G.S. 18C-916(b), only the following documents under this Rule shall be a public record, with respect to each Applicant and each Responsible Party: (1) The…

24 NCAC 06A .0227 Duty to Report Change in Key PERSONS Each Responsible Party shall promptly report to the Commission as soon as practicable, but in no event later than five Days, all changes in Key Persons. The Responsible Party shall include a revised organizational chart that …

24 NCAC 06A .0228 Notification to Director Regarding Certain Events Each Responsible Party shall provide written notification to the Director when it is subject to or experiences any of the events or occurrences identified in this Rule. Notification shall be provided in writing i…

24 NCAC 06A .0229 License Assignment or Transfer (a) A Responsible Party may request the assignment or transfer of their License to another Person by submitting a request in writing. (b) The assignee or transferee shall complete the requisite Licensure application and include the…

24 NCAC 06A .0230 Termination of License Upon termination of a License for any reason, no further Wagering Activity shall be conducted by the Responsible Party. After termination, at a date designated by the Director, the former Responsible Party shall submit to the Director a fi…

24 NCAC 06A .0231 Closing of a Responsible Party's Operation; Dissolution (a) A Responsible Party shall notify the Director of any temporary or permanent closing plans at least 60 Days prior to closing its operations or as soon as the Responsible Party knows that closing is immin…

24 NCAC 06A .0232 License Display An Operator shall prominently display the License issued by the Commission on its websites, mobile applications, and, if applicable, within the Wagering Facility. History Note: Authority G.S. 18C-114(a)(14); Previously adopted as Rule 1B-032; Eff…

24 NCAC 06A .0233 CERTIFICATE OF COMPLIANCE (a) Prior to commencing Wagering operations through a Sports Wagering Platform or Pari-Mutuel Wagering Platform in North Carolina, an Operator shall obtain a Certificate of Compliance for Online Operations from the Director by demonstra…

SECTION .0300 – DISCIPLINARY ACTIONS AND HEARINGS 24 NCAC 06A .0301 Grounds for Disciplinary Actions (a) The Commission, the Sports Betting Committee, or Director may suspend a License, revoke a License, or assess a civil penalty for a violation committed by a Responsible Party, …

24 NCAC 06A .0302 Informal Resolution (a) Any dispute between the Commission and a Responsible Party that involves the Responsible Party's rights, duties, or privileges, arising from matters involving a proposed Disciplinary Action, may be settled or resolved through informal pro…

24 NCAC 06A .0303 Initiation of Disciplinary Hearing; Notice of Hearing (a) The Director, initiates a Disciplinary Hearing by: (1) designating a hearing officer from a preselected panel of approved hearing officers, pursuant to Rule .0320 of this Subchapter; and (2) following not…

24 NCAC 06A .0304 Method of Service (a) In connection with a Disciplinary Hearing, service of process may be accomplished pursuant to means identified under G.S. 1A-1, Rule 5(b). If service is effectuated by registered, certified, or first-class mail, by signature confirmation as…

24 NCAC 06A .0305 License Surrender (a) When a Responsible Party is accused of any act, omission, or conduct that would subject it to Disciplinary Action, the Responsible Party, with the consent and approval of the Director, may surrender the License and all the rights and privil…

24 NCAC 06A .0306 Representation of Parties (a) The Responsible Party that is subject of the Disciplinary Hearing shall appear in person, through an attorney. (b) The Responsible Party's attorney shall be deemed to control all matters respecting the interest of the Responsible Pa…

24 NCAC 06A .0307 Practice Before the Commission (a) Any attorney representing a Responsible Party in a Disciplinary Hearing shall notify the Commission's attorney in writing of such representation immediately after being retained by the party. Such notice shall constitute an app…

24 NCAC 06A .0308 Ex Parte Communication (a) Unless required for disposition of an ex parte matter authorized by law, a Responsible Party with a disciplinary matter before the Commission, the Sports Betting Committee, or hearing officer, or attorney or other representative for a …

24 NCAC 06A .0309 Motions (a) All motions filed with the Commission prior to a Disciplinary Hearing before the hearing officer shall be in writing, shall be served on the parties, and shall set forth reasons supporting the motion. All parties upon whom a motion is served shall ha…

24 NCAC 06A .0310 Postponement of Hearing (a) Postponement or rescheduling of a hearing ordinarily will not be allowed. (b) Except in the case of extreme emergency, unusual circumstances, for good cause shown, or upon consent by all parties, no such request will be considered unl…

24 NCAC 06A .0311 Witness and Exhibit Lists (a) Unless the hearing officer orders otherwise, a list of witnesses expected to be called during the Disciplinary Hearing and the list of exhibits, including copies of said exhibits, intended to be presented at the hearing shall be fil…

24 NCAC 06A .0312 Burden of Proof The Commission has the burden of proving the facts alleged in the Notice of Disciplinary Hearing by clear and convincing evidence. History Note: Authority G.S. 18C-114(a)(14); Previously adopted as Rule 1C-012; Eff. January 8, 2024; Readopted Eff…

24 NCAC 06A .0313 Evidence (a) Except as otherwise provided, the Rules of evidence as applied in the trial division of the North Carolina General Court of Justice shall be followed; but, when evidence is not reasonably available under such rules to show relevant facts, they may b…

24 NCAC 06A .0314 Depositions A deposition may be used in lieu of other evidence when taken in compliance with the Rules of Civil Procedure, G.S. 1A-1. History Note: Authority G.S. 18C-114(a)(14); Previously adopted as Rule 1C-014; Eff. January 8, 2024; Readoption Eff. March 27, …

24 NCAC 06A .0315 Prehearing Conference and Stipulations (a) The hearing officer may direct the parties to conduct an informal pre-hearing conference, or the parties may request such a conference, which shall be scheduled at a time and place agreed upon by the parties. If the par…

24 NCAC 06A .0316 Official Notice Official notice may be taken of all facts of which judicial notice may be taken under Rule 201 of the North Carolina Rules of Evidence and of other facts within the specialized knowledge of the Commission. The noticed fact and its source shall be…

24 NCAC 06A .0317 Discovery (a) Parties in a Disciplinary Hearing may engage in limited discovery pursuant to the provisions of the Rules of Civil Procedure, G.S. 1A-1. Discovery shall be confined to material factual matters appearing in the Notice of Disciplinary Hearing. (b) Up…

24 NCAC 06A .0318 Affidavits An affidavit may be admitted as evidence in lieu of oral testimony if the matters therein contained are otherwise admissible and the parties agree to its admission. History Note: Authority G.S. 18C-114(a)(14); Previously adopted as Rule 1C-018; Eff. J…

24 NCAC 06A .0319 Protection of Trade Secrets; Confidential Information (a) Any party to a Disciplinary Action may make a claim with respect to the confidentiality of information. Any claim of confidential information, including but not limited to trade secrets or proprietary bus…

24 NCAC 06A .0320 Designation of Hearing Officer (a) The Commission shall select and maintain a list of no fewer than four qualified hearing officers. When Notice of Disciplinary Hearing is issued to the parties in a contested case, it shall identify the hearing officer designate…

24 NCAC 06A .0321 Disqualification of Commission Member or Hearing Officer (a) A member of the Commission or the hearing officer may withdraw from a proceeding whenever the Commissioner or hearing officer deems themselves to be disqualified. (b) Any party may request a Commission…

24 NCAC 06A .0322 Hearing Officer Responsibilities (a) It shall be the duty of the hearing officer to conduct a fair and impartial hearing to assure that the facts are fully elicited to adjudicate all issues and to avoid delay. (b) The hearing officer shall have the authority to:…

24 NCAC 06A .0323 Consolidation (a) When hearings involving a common question of law or fact or multiple proceedings involving the same or related parties are pending, the hearing officer may order a joint hearing of any matters at issue in the cases, order the cases consolidated…

24 NCAC 06A .0324 Severance Upon its own motion, or upon the motion of any party, the hearing officer may, for good cause, order the severance of any issues, parties, or proceedings in a hearing. History Note: Authority G.S. 18C-114(a)(14); Previously adopted as Rule 1C-024; Eff.…