Administrative Hearings Information and FAQ

Hearings

The Commission may conduct evidentiary hearings either pursuant to the Gambling Control Act or the Administrative Procedures Act. The process from submission of an application to a final decision is displayed in this flow chart. If the Commission sends a licensing application to an administrative hearing, the applicant will receive a referral letter and a Notice of Defense Form. Additionally, if the Commission denies your application or imposes a condition(s), you will receive a corresponding notification letter and a Notice of Defense form. You may also be contacted to determine if you agree to any conditions. A blank copy of this form is available here.

Once the Notice of Defense form has been returned to the Commission and the Bureau of Gambling Control (Bureau) requesting a hearing, a notice of hearing will be sent to the applicant which will identify who will present the Bureau's Investigation Report, as well as the date, time, and type of hearing. If the applicant waives his/her right to a hearing or fails to return the Notice of Defense form, the notice of hearing will also affirm that the applicant's rights have been waived and include an advisory that the Commission may issue a default decision on the application.

Please note that if you have requested a hearing, the Commission's action will be vacated and the matter will be heard as if for the first time in the evidentiary hearing. If the application was for a renewal license, you will receive an interim renewal license during the pendency of the hearing. However, if the application was for an initial license, any temporary license you had may no longer be valid. You are encouraged to contact the Bureau about the status of any temporary license and potentially request a new one for the duration of the hearing process.

The applicant is encouraged to consult the Gambling Control Act, which is located in the California Business and Professions Code, §§19800 et seq., Commission regulations, §§ 12002 et seq., which are located in Title 4, Division 18, Chapter 1 of the California Code of Regulations, and any law specific to the applicant's hearing. A complete version of these statutes and regulations is available here. A smaller document containing only the relevant Gambling Control Act statutes and Commission regulations concerning the evidentiary hearing process is available below.

Business and Professions Code sections 19825, 19870 - 19872;
Commission Regulation sections 12002, 12006 - 12035, 12050 – 12068

If there are any questions regarding the hearing process, the applicant is encouraged to first review the FAQ below. In addition, should the applicant have any additional procedural questions, the applicant is encouraged to contact the Commission's Administrative Hearings Coordinator. For comments and questions concerning the merits of the applicant's application in advance of the hearing, the applicant should contact the Bureau or the Department of Justice, Native American and Tribal Affairs Law Section.

Contacts

Administrative Hearings Coordinator California Gambling Control Commission 2399 Gateway Oaks Drive, Suite 220 Sacramento, CA 95833 Phone: 916-263-0700	Department of Justice, Bureau of Gambling Control P.O. Box 16824 Sacramento, CA 95816-8024 Phone: 916-830-1700
	Department of Justice, Native American and Tribal Affairs Law Section P.O. Box 944255 Sacramento, CA 94244-2550 Phone: 916-210-7850

Frequently Asked Questions (FAQ)

The following represent questions frequently posed to the California Gambling Control Commission regarding evidentiary hearings on licenses or other approvals. For further information:

General

Who is the Commission?

The Commission is an agency created by the State of California to review and determine the suitability of applicants connected to controlled gambling in California. It is a panel of individuals from various backgrounds, appointed by the Governor and confirmed by the Senate. The number of Commissioners varies up to 5, but in no event will less than 3 review your application or other request for approval.

What is an administrative hearing?

An administrative hearing, also known as an evidentiary hearing, is a fair and impartial opportunity for you to present the merits of your application or request for other approval to the Commission through a semi-formal proceeding. A hearing will be scheduled if your application or request for other approval has been referred to an administrative hearing or if you requested a hearing after the Commission denied your application or imposed a condition that you do not agree with.

The Bureau of Gambling Control or Complainant will present the relevant facts and argument contained in the Bureau's Background Investigation Report (Bureau Report) along with any specific issues identified by the Commissioners in advance of the hearing. You will have the opportunity to present facts and argument in favor of your suitability.

The Commission will hear evidence and argument presented at the hearing from the Bureau or Complainant and the applicant (or "you").

After the Commission hears evidence and argument presented at the hearing, it will determine the facts and review the relevant law applicable to your application and issue a decision after the hearing is concluded.

How will I receive notice of an administrative hearing?

An evidentiary hearing referral letter will be sent to you as soon as the Commission refers your application to an evidentiary hearing. This may occur soon after the Bureau Report on your application is provided to the Commission or after the Commission considers your application or other approval at a regularly scheduled meeting. The evidentiary hearing referral letter will include a "Notice of Defense" form Additionally, you will receive notice from the Commission if your application is denied or approved with conditions at a regularly scheduled meeting. This notice will include a "Notice of Defense" form for you to complete should you wish to contest the Commission's decision.

What is a Notice of Defense Form?

A "Notice of Defense" form is the Commission's way of determining whether you wish to participate in the administrative hearing process. By reviewing the form and checking the relevant boxes, you provide the Commission and Bureau (or Complainant) information about whether you want to prove up your application during a hearing before the Commission.

While the Bureau prepares a Bureau Report and may make a recommendation about your suitability, you know the facts in support of your application better than the Bureau and the Commission. If you are not prepared to present your suitability or would rather not participate, you may waive your hearing rights on the "Notice of Defense" form. However, if you believe you should be found suitable and want to participate, you are entitled to a hearing. You are provided 30 calendar days from service by the Commission or Bureau of the "Notice of Defense" form to return it to the Commission.

What happens if I don't return my Notice of Defense Form?

A "Notice of Defense" form is critical to providing an applicant the rights afforded in an evidentiary hearing. If an applicant does not send the form back, the Commission and Bureau (or Complainant) will conclude that an applicant does not want to participate in the hearing process. As a result, the Bureau and Commission will still conduct a hearing under Business and Professions Code section 19870, but without the opportunity for you to prove any aspect of your suitability. During this hearing, the Bureau may offer facts and evidence in support of its conclusions and recommendations provided in the Bureau Report, or the Commission may simply find that you have failed to meet your burden of proving your qualifications to receive a license or other approval pursuant to Business and Professions Code section 19856 and deny your application.

If you decide that you want to participate in the hearing even though you did not return your Notice of Defense form, you should contact the Commission's Administrative Hearings Coordinator as soon as possible and submit your Notice of Defense form, or request another Notice of Defense form and submit it.

Additionally, you may still attend the hearing and it is also possible for you to request the rights contained in the Notice of Defense form that the Commission may have deemed waived. However, due to your failure to timely submit the Notice of Defense form, the Commission may decide upon your application with little or no evidence being admitted from you in support of your application, or it may choose to continue the hearing based upon your request.

What if I return my Notice of Defense form but later decide I don't want a hearing?

You may withdraw your Notice of Defense form and waive your right to a hearing at any time before the hearing. You can submit a new Notice of Defense form that clearly waives your right to a hearing and send it to the Commission's Administrative Hearings Coordinator. You can also send a letter or an email to the Commission's Administrative Hearings Coordinator with a copy to the Complainant that waives your right to a hearing and all related rights. The Commission may proceed as if you did not return your Notice of Defense form (see Question 5).

Abandonment or withdrawal of your application may be possible according to Commission regulations, § 12017 and 12015, which is located in Title 4, Division 18, Chapter 1 of the California Code of Regulations. Deeming an application abandoned or approving withdrawal is at the sole discretion of the Commission. You must contact the Administrative Hearings Coordinator and the Bureau as soon as possible to discuss the prospects of abandonment or withdrawal based on your specific circumstances.

Where will my hearing be held?

Unless otherwise specified, a Gambling Control Act (GCA) hearing will be conducted utilizing Zoom Video Conferencing.

What is Zoom Video Conferencing?

Zoom is an online communications platform that allows users through the use of a computer, tablet, or phone to connect to others with video and audio. Users can join a GCA hearing from the Commission's website by selecting the "Meetings" tab and following the link under "Join Zoom Meeting" or you may download/run the Zoom application at https://zoom.us/j/2857578614. To connect to the hearing, you will need to enter Zoom meeting code: 285 757 8614. If you are attending your hearing via Zoom, you are required to use a device that allows audio and video of you to be turned on for the hearing as the Commissioners must be able to see and hear you testify. This information will also be provided in the hearing notice and any pre-hearing conference letters.

What are some tips to prepare for a GCA Hearing on Zoom?

Using Zoom for GCA hearings has several benefits, such as making hearings more accessible to applicants and witnesses who may otherwise have to travel to the Commission's hearing room in Sacramento or an alternate Southern California location. However, utilizing Zoom also presents unique challenges for unprepared applicants. Here are some tips to ensure that you are prepared to use Zoom for your GCA hearing:

Ask for Help

You should familiarize yourself with and be prepared to use Zoom prior to the prehearing conference. Using Zoom requires an internet connection and a supported device, such as a computer, tablet, or smartphone. If you are having difficulties using Zoom you should contact the Commission's assigned Presiding Officer or the Administrative Hearings Coordinator to request assistance.

Ensure Exhibits Are Accessible

You should take steps to ensure that you have access to exhibits during the hearing. Usually, applicants receive a hard copy of exhibits from the Complainant. However, if you have not received this package, you should make sure to have the documents at hand by printing the documents or viewing them from a second device so that you can see the exhibits as they are discussed during the hearing.

Prepare Witnesses

Witnesses can join the meeting from any location using Zoom if they are provided with the Zoom link or meeting ID. In most cases, witnesses will be placed in a Zoom waiting room until it is their turn to testify. However, you can also contact your witnesses, for instance by text, to let them know that it is time for them to join the hearing to testify. Parties should provide copies to the witness of any exhibits they plan to question the witness about or be prepared to share the document using the screen sharing function. These details can be raised with the other party and the Presiding Officer in advance of the hearing to ensure a smooth hearing.

Be Professional

Zoom allows you to attend your GCA hearing in a less formal setting, such as from your home. However, you should be cognizant that GCA hearings are still semi-formal proceedings where Commissioners will view and listen to you to make determinations about your character and credibility. Therefore, it is beneficial for you to ensure that your surroundings and appearance are appropriate for a semi-formal GCA hearing. You should not be driving or in a crowded room for instance.

Power and Device

Zoom requires a computer, tablet, or phone which requires a steady power source. In some cases, the battery for these devices may not be sufficient to power the device during the entirety of a GCA hearing. As a result, it is vital that you have a power cable, charger, or battery handy. Depending on your device capability, it may also be prudent to have a second device within reach just to be safe.

Is there an additional cost for an administrative hearing?

There is no additional cost for an administrative hearing beyond what you may expect to pay in presenting your own case, such as the cost of legal representation or obtaining and copying documentary evidence. Commission regulations further prevent either party from prevailing against the other party for the awarding of costs.

Do I need an attorney, or can I represent myself?

You may represent yourself in an administrative hearing and are not required to have an attorney. If you choose to be represented, in most cases that representative should be an attorney as they may better help you understand the law and how to present your case. You may obtain a referral from your local bar association or your union. Neither the Commission nor the Presiding Officer can recommend an attorney for you.

You may also have the assistance of a lay representative at the hearing, such as a designated agent or colleague. Lay representatives may assist the applicant but are not authorized to serve as an attorney. There is a box to check on the Notice of Defense form to indicate that you plan to have the assistance of a lay representative at the hearing. While a lay representative may assist you at the hearing, it remains your responsibility to prove your suitability to the Commissioners.

If I need an interpreter, is one provided?

Yes. If you need an interpreter, one will be provided at no cost to you. Please contact the Administrative Hearings Coordinator as far in advance of the hearing as possible. You may also raise this issue at the Pre-Hearing Conference with the Presiding Officer.

Will the hearing be accessible to persons with disabilities?

Yes. If you or your witnesses need special accommodations to be able to access the Commission's hearings, please contact the Administrative Hearings Coordinator as far in advance of the hearing as possible, and let us know what assistance you need so that access can be ensured.

May I contact the Commissioners to discuss my case?

No. Contacting a Commissioner while you have a pending application may be considered an ex parte communication and could be used as a basis to deny your application. The administrative hearing is your opportunity to speak to the Commissioners directly.

If you have a matter that needs to be addressed prior to the hearing, such as a request for a subpoena, a particular evidentiary issue, or a possible or pending motion, please contact the Administrative Hearings Coordinator or Presiding Officer listed on your Notice of Hearing. Please note that if you include the other party (Complainant) in your communications, you may send emails, letters, or motions to the Presiding Officer. You may also ask questions at the Pre-Hearing Conference.

May I settle my case without a hearing?

No. An application may not be "settled" in the typical sense. In general, the Commission's approval process is different than other agencies such as those contained in the Department of Consumer Affairs or others where the investigating agency makes a decision which is then appealed. Here the Bureau makes recommendations and the Commission makes decisions on the applications or other requests for approval. However, if you and the Bureau or Complainant discuss your application in advance and agree to some resolution that involves the alteration of the Bureau's recommendation, which may include conditions or limitations, this new recommendation can be presented to the Commission either in advance of the hearing or at the hearing itself and the Commission will consider it.

How may I request a copy or a transcript of the recording of the hearing?

An audio and Zoom video recording are made of every hearing. Please contact the Administrative Hearings Coordinator for further information. Additionally, audio recordings, agendas, and meeting minutes for all completed hearings are available on the Commission's website by selecting the "meetings" tab and then selecting the relevant hearing date.

How does the process for an application flow from start to finish?

The Commission has prepared a flowchart which lists the steps from submittal of the application to the Bureau to the conclusion and service of a decision or license. This flow chart is available here.

What if I have additional questions that are not answered in this FAQ?

The Bureau (or Complainant) may be able to answer most of the questions you have especially regarding the Bureau Report, facts on an application, or background investigation. Furthermore, the Administrative Hearings Coordinator may be able to answer any practice or procedure question you may have. In addition, a Pre-Hearing Conference will be set up by the Administrative Hearings Coordinator in which you may ask questions of the Presiding Officer and the Complainant.

My hearing was sent to the APA? What do I do?

In some instances, the Commission may determine that an application or other approval should be heard by the Office of Administrative Hearings in the Department of General Services. This is a separate agency from the Commission with Administrative Law Judges assigned to hear cases and issue proposed decisions. The Commission may, but generally chooses not to, participate in Administrative Procedure Act hearings until the proposed decision is issued. The procedures and practices are different than in hearings before the Commission as provided in this FAQ. We recommend you speak to the Administrative Hearings Coordinator with any questions, but you can also contact the Office of Administrative Hearings directly. They can be contacted here:

Office of Administrative Hearings
2349 Gateway Oaks Drive Suite 200
Sacramento CA 95833-4231

Main Telephone Number: 916.263.0550
https://www.dgs.ca.gov/OAH

I'm a Designated Agent, what do I need to do?

A Designated Agent's obligations concerning the scope of authority for providing representation for the applicant are determined by Bureau regulation section 2030, located in Title 11, Division 3, Chapter 1 of the California Code of Regulations. This section adopted the use of form "Appointment of Designated Agent" CGCC-CH1-04 which must be filed with the Bureau. The form requires an applicant and potential Designated Agent to "specify the role and responsibility" of the Designated Agent. Appointment of a Designated Agent cannot include a designation to assist in an evidentiary hearing. However, a Designated Agent may assist you at the hearing as a lay representative. (See FAQ No. 11).

Pre-Hearing

How do I prepare for my hearing?

The hearing is your chance to prove to the Commission that you are suitable for licensure. It is a semi-formal evidentiary hearing where evidence is taken on the record in front of the Commissioners with a Presiding Officer assisting in maintaining the record and moving the hearing along. You should take this hearing seriously and may want to consider obtaining assistance from an attorney or other representative.

You should be prepared to testify under oath regarding the information in your application, such as criminal history, work history, litigation history, and financial history. You should also find any witnesses or documents that you believe address the Commission's concerns and otherwise support your suitability.

How do I subpoena witnesses and documents?

Subpoenas are issued in accordance with the Administrative Procedure Act. A subpoena or subpoena duces tecum (which is a subpoena for documents) may be made on this form or in a manner that otherwise complies with Article 11 of Chapter 4.5 of Part 1 of Division 3 of Title 2 of the Government Code. All subpoenas and subpoenas duces tecum shall be served at least 30 days prior to the date specified for commencement of the hearing in the Notice of Hearing, or the date specified in the subpoena for the appearance of a witness or the production of records, with a copy to the Presiding Officer.

Where and how do I file any pre-hearing motions?

Generally, pre-hearing motions are not specifically authorized by Commission regulations or the Gambling Control Act. As a result, there is no specific format, pleading, or even timing required. However, to the extent you wish to make a motion that would otherwise be raised at the administrative hearing, they should be emailed or mailed, to the Presiding Officer and the Administrative Hearings Coordinator. Motions should include your case number, your name, address, and telephone number. You should send a copy of your motion to the other party (or parties) at the same time you send it to the Commission. For any motion made pursuant to subdivision (a) of section 11450.30 of the Government Code, see Division 18 of Title 4 of the California Code of Regulations, section 12014, subdivision (b).

How do I request a postponement or continuance?

If you cannot attend your hearing, you must send a written request to continue the hearing to a later date as soon as you know of the problem. You should send a copy of your request to the other party (or parties) at the same time you send it to the Commission. You must address your request to the Commission's Executive Director. However, you may send the request via email to the Administrative Hearings Coordinator or the Presiding Officer. The request must establish good cause for your inability to attend the hearing as presently scheduled. You should be prepared to provide supporting documentation if requested. Communication with and agreement from the other party (or parties) before you make the formal request is encouraged.

Ultimately the Executive Director will weigh your request and the information you provide and determine if a postponement or continuance is warranted. You will be notified as soon as possible by the Administrative Hearings Coordinator if your request has been approved and if so, the next steps for rescheduling the hearing.

Will there be a Pre-Hearing Conference between me, the Bureau (or Complainant), and the Presiding officer?

A Pre-Hearing Conference is almost always scheduled automatically by the Administrative Hearings Coordinator to take place via Zoom video conferencing, and will include you, the Bureau (or Complainant), and the Presiding Officer. If one is not scheduled, you may ask the Presiding Officer for one. During a Pre-Hearing Conference, the Presiding Officer will discuss matters related to the upcoming evidentiary hearing, including the purpose of the hearing, the burden of proof, how the hearing will proceed, how to offer evidence, the deadlines to exchange witness lists and exhibits, the date and time of the hearing, and other issues regarding the hearing. You are encouraged to participate and ask questions.

Do I need to provide the Bureau with any documents or information before the hearing?

Commission regulation section 12060, subdivision (f) requires the Bureau (or Complainant) and the Applicant to exchange certain types of information in advance of an evidentiary hearing. The Bureau (or Complainant) is required to exchange information a minimum of 45 days in advance of the hearing. You are required to do the same 30 days in advance of the hearing. Failing to provide this information may result in the evidence being excluded at the hearing. Section 12060, subdivision (f) provides the exclusive right to and method of discovery between the applicant and Complainant to a GCA hearing.

Hearing

May I bring a witness or documents to the hearing?

The hearing is your chance to prove to the Commission that you are suitable for licensure. You should arrange for any witnesses and submit documents that you believe support your case. You should email electronic copies of the documents that you want to place into evidence before the hearing to the Administrative Hearings Coordinator. In addition, should you have any recordings, video, or other electronic documents you wish to display, please contact the Administrative Hearings Coordinator or Presiding Officer so that we may help facilitate their display.

Any evidence must also be provided to the Bureau or Complainant in advance of the Hearing according to Commission regulations provided above.

What may I expect at the hearing?

At the beginning of the hearing, the Presiding Officer will generally give an introduction of the procedure that will be followed in the hearing. Each party is permitted to present an opening statement. During the next phase of the hearing, each party may request that documents be entered into evidence so that the Commissioners can review them. Documents may be presented as evidence through witnesses or through stipulation of the parties. Witnesses may be called and questioned under oath. Each party has the right to question his or her own witness. The other party then has the right to conduct cross-examination of that witness. Commissioners may also ask questions at any point in time. You should also expect to testify under oath yourself. The Presiding Officer will rule on the admissibility of evidence and on any objections made. At the end of the hearing, each party is permitted to present a closing argument.

What is an "Opening Statement"?

An opening statement is a statement made by a party at the beginning of the hearing before evidence is introduced. The opening statement outlines the party's position regarding the application and previews the evidence that will be introduced later. The purpose of an opening statement is to familiarize the Commissioners with what they will hear -- and why they will hear it -- not to present an argument as to why the party's side should prevail; that comes after all evidence is presented as part of the closing argument.

If you do not have a representative, opening statements can be difficult in that you may at times diverge from what is properly discussed in an opening statement and start providing testimony. This is a problem since applicants are not sworn in during opening statements and anything they say at that time would not be evidence for the record. For that reason, you may either attempt to give an opening statement without giving testimony, or alternatively, you can be sworn in prior to giving your opening statement or waive your opening statement and simply testify later. It is ultimately up to you as to which way you wish to proceed.

What is a "Closing Argument"?

A closing argument is made at the conclusion of an evidentiary hearing after all the evidence has been presented by each party. The closing argument reviews and summarizes the evidence and explains why the Commissioners should find in favor of the arguing party. It is the last opportunity for a party to make their case to the Commissioners. Closing arguments are not evidence for the record.

What is the "burden of proof"?

You, the applicant or party requesting Commission approval, bear the burden of proof under the Gambling Control Act to prove that you are suitable for licensure. The Bureau or Complainant does not need to prove that you are not suitable or prove any particular basis for denial of the application that may be contained in the Bureau Report.

What happens if I fail to attend the hearing?

If you fail to attend the hearing, the Commissioners may proceed with the hearing in your absence. It is highly likely that your application or request for approval will be denied if you fail to attend the hearing.

How long will my hearing take?

It depends on the complexity of your application. Most hearings are done in an hour or two, but some may continue for a day or more. If you have a large number of witnesses, the hearing will take longer due to direct and cross examination. Also, sometimes the Commissioners ask one or both parties to provide more information or documentation before officially concluding the hearing.

How do the Commissioners vote on applications?

The Commissioners may act on a license application either in open or closed session. However, the Commissioners generally close the record before convening in closed session to deliberate on the application. While in closed session, the Commissioners may, but are not required to, vote on an application. Applicants must secure 3 votes to procure a license or other approval under the unique requirements of the Gambling Control Act. Any motion for approval or denial that garners less than three votes would fail and no action would be taken.

Post-Hearing

When will a decision be issued?

The Commission is required to issue a written decision no later than 75 days after the administrative record is closed. This usually occurs at the conclusion of the hearing. However, if the Commission has requested additional information or documentation from either party, then the administrative record will be closed after the date that the information is due.

What may I do if I disagree with the Commission's decision?

You may request reconsideration of the Commission's decision within 30 days of its issuance or before the effective date, whichever is earlier. This request must be copied to the Bureau and include either newly discovered evidence and/or legal authorities that could not reasonably have been presented before the issuance of the Commission decision, or other good cause which the Commission may decide warrants reconsideration. Additionally, a decision of the Commission may be reviewed by petition pursuant to Section 1085 of the Code of Civil Procedure.