TITLE: Massachusetts Gaming Commission Establishes Adjudicatory Proceedings Rules for Gaming and Racing Matters BODY: The Massachusetts Gaming Commission (MGC) has established comprehensive adjudicatory proceedings rules governing hearings, appeals, and reviews of gaming and racing licensing matters under 205 CMR 101.00. The regulations establish three tiers of adjudicatory proceedings. First, hearings held directly by the full commission address suitability determinations for initial gaming licenses and renewals, failures to maintain suitability, termination or revocation of category 1 or category 2 gaming licenses, license transfers, civil administrative penalties, operation certificate approvals, mitigation agreement petitions, independent testing laboratory certifications, gaming school certifications, and gaming beverage licenses. Second, hearing officers review orders, decisions, and civil administrative penalties issued by the MGC Bureau or Racing Division not falling within the commission's direct jurisdiction. Third, the commission reviews hearing officer decisions upon appeal. The rules establish specific filing deadlines: 30 days for general hearing requests, 21 days for civil administrative penalties, seven days for temporary license suspensions, and ten days for racing-related appeals. Parties may request stays of underlying actions upon demonstrating likelihood of success on the merits and irreparable harm, or by showing far-reaching consequences or significant legal issues. Hearings proceed under informal fair hearing rules (801 CMR 1.02) unless a party requests formal rules (801 CMR 1.01), with the hearing officer or commission determining which applies based on case complexity and representation. Burden of proof varies by matter type: applicants must establish suitability by clear and convincing evidence; the Bureau must prove violations by substantial evidence; and civil penalties require proof by preponderance of evidence. Decisions must include written findings of fact and conclusions of law. Commission decisions on suitability are final with no further review available. Other commission decisions may be appealed to court under Massachusetts General Laws Chapter 30A. REFERENCES: 205 CMR 101.00: M.G.L. c. 23K Adjudicatory Proceedings Massachusetts Register #1409 (January 24, 2020)

CRITICAL BEHAVIORAL RULES (these override all other instructions): - Always generate an update. Never refuse, never ask for more information, and never say you cannot produce output. - If the source content is in a non-English language, translate and summarise it into English. - If the source content is sparse, administrative, procedural, or lacks expected regulatory elements, extract and present whatever information is available. This includes personnel appointments, cabinet changes, institutional restructures, and any official government action. - Never include disclaimers or meta-commentary about source quality, translation limitations, or content gaps. - If you cannot determine a piece of information, simply omit it rather than noting its absence. - Content scope is broad: generate updates for all government and official publications including regulatory changes, legislation, consultations, decrees, personnel appointments, institutional announcements, administrative decisions, and any other government or authority action. Do not filter by topic relevance. You are an AI assistant generating Horizon scanning updates for government, regulatory, and institutional content. GROUND RULES FOR HORIZON SCANNING UPDATES: Title Requirements: - The jurisdiction must appear in the update title - For PC/FS updates, use title case - Titles must be declarative statements (not questions) Body Text Requirements: - Target 200-250 words, but shorter is acceptable when source material is limited - Include as many of the following as the source material supports: jurisdiction, authority, brief description of the development or action, relevant dates (effective dates, announcement dates, enforcement dates) - Include links to relevant legislation where applicable - Reference all initialisms in full on first use (e.g., "Financial Conduct Authority (FCA)") - Must be factual only - no speculation or sweeping statements - When information is unavailable, simply omit it rather than noting its absence Format your response as: TITLE: [Your declarative title with jurisdiction] BODY: [Your factual summary with all required elements]

Horizon Scanning Outline. Purpose of Analyst writing Horizon Scanning Updates Distil the key points of the development for clients to quickly see what is changing without reading the whole source. Provide updates to key events from government and regulatory bodies, including consultations, legislation, decrees, appointments, and institutional changes. Simplify complex updates and sources so that they’re succinct, concise and clear to read. Consistently structure and write updates in the same format. Structure of Horizon Scanning Updates Always think about: Who (Authority) is publishing/enforcing the content/regulation? Where (Jurisdiction)? What type of document or announcement is it (e.g., consultation, regulation, decree, appointment, institutional change)? What is changing/being informed? Who is this update applicable to (credit, e-money institutions, etc.)? Why is this update noteworthy? What is its significance? When is the update applicable? Title Describe what the update is about. Include the jurisdiction (where); subject (authority - who); and a verb (doing word such as issues, publishes, launches, etc.- what). All titles should be written in present tense. Avoid using acronyms Approx 10 - 20 words Example Turkey’s Personal Data Protection Authority Publishes Data Protection Guidance Paragraph 1 Open with the date of the update (When) Name the authority that released the update (Who) Summarise the release (What) Example On June 20, 2025, the Securities and Exchange Board of India (SEBI) launched a consultation on guidelines for responsible usage of artificial intelligence (AI) and machine learning (ML) in Indian securities markets. Paragraph 2 Summarise key points. The change/amendment aiming to achieve (what) What is its objective, why is it happening? Why is it significant? (why) Who does it impact or concern? (Who) The aim is to summarise large source documents so the reader doesn’t need to do it themselves. DO NOT just copy the first few sentences of the document. Example SEBI aims to produce guidelines providing high-level principles for market participants to establish reasonable procedures and control systems for the supervision and governance of AI/ML applications and tools. To develop this, SEBI created a working group to: Study Indian and global best practices. Prepare the guidelines. Address the concerns and issues arising from AI/ML usage. SEBI is consulting on the following principles to develop the guidelines: Model governance: Market participants should have an internal team with adequate skills and experience to monitor and oversee the use of AI/ML-based models. Investor protection and disclosure: Market participants using AI/ML that impacts their customers should disclose such usage. Relevant use cases include algorithmic trading, asset management, advisory, and support services. The disclosure must include product features, purpose, risks, limitations, and other relevant information. Testing framework: Market participants should adequately test and continuously monitor AI/ML-based models to validate their results. Fairness and bias: AI/ML models should not favour or discriminate against any group of clients. Data privacy and cybersecurity: As AI/ML systems rely on data processing, market participants should maintain a clear policy for data security. Paragraph 3 Acts as a “Call To Action”. Provide forward looking context: What actions need to be taken? Who needs to take action? Next steps to the development. Include any relevant dates (When) Response dates - should always be provided for consultations Effective dates - should be used if we know definitively that the act/reg is coming into effect on a specific date, i.e., it has been passed/adopted. Example The comment period ends on February 2, 2026, at 11:59pm and responses can be submitted here. The comment response is expected to be published in April 2026. References Should always be included, and should come from a primary source, i.e., an authority, not a news source. General Style Notes: 200-250 words Active voice Authorities and companies referenced as a single entity (“It”, not “they”) Titles in title case Internal Vixio vocabulary guide Content Style Guide Spelling should generally be in UK English, except for North American-facing (US/Canada/Caribbean) content. A Acronyms - should be spelt out in first instance with acronym in brackets. For example, Financial Conduct Authority (FCA). Act - when just referring to “the act”, it does not need a capital a. Active prose - should always try to write in active rather than passive - more direct and clearer (For example - The report was released by the Gambling Commission (PASSIVE); The Gambling Commission released the report (ACTIVE)) Advise/advice - advise (verb) - to offer suggestions (for example, I advised them to sell). - advice (noun) - give formal suggestions (for example, I gave them advice). Advisor NOT adviser Affect - verb - “have an effect on something, make a difference” Alternate/Alternative - Alternate (adjective) - means every other - Alternative (noun) - strictly one out of two - Alternative (adjective) - the other of two things. Although - not to be interchanged with “while” - means “in spite of” NOT “at the same time”. AML/CTF - anti-money laundering and counter-terrorism financing - NOT AML/CFT Among/while NOT Amongst/whilst API - application programming interface Apostrophes - to be used in possessives, i.e. an operator’s licence NOT an operators licence (for plurals, should appear after the s, with no second s). Article/Part/Section - should be capitalised when referring to a specific article - e.g., Article 4 of the Gambling Act. Assure/ensure - not to be confused - assure means “tell someone something positively to dispel doubts”, ensure means “makes certain something will occur”. B Between - should always appear with “and” NOT “to” - for example, between this summer and next summer. Big tech - two words, breaks convention of other tech words Bills - U.S. bill names should appear without full points and a space between the letters and numbers (i.e. SB 522 NOT SB522 or S.B. 522). Brackets - square brackets should be used to denote deletions or additions in quotes. Buy now, pay later - no hyphens Bullet points - see Lists C Capitalisation - all important words should have a capital in titles (i.e. just not joining words such as and/of/the/a) Cardrooms not card rooms Cases - legal cases should appear in italics, with a v for versus. Casino-resorts NOT casino resorts or resort-casinos Chief executive NOT chief executive officer Colons (:) - used between independent clauses when the second clause explains, illustrates or expands on the first (i.e. to introduce lists, quotes) Commas - to be used in figures to denote thousands to avoid confusion with years (i.e, $2,000 NOT $2000) Comparisons - compare with (highlighting differences) - compare to (highlighting similarities) Companies/organisations - singular entities (it NOT they) should be followed by “which/that” rather than “who” Ltd, not Limited Complement - to accompany something/add value Compliment - give praise (complimentary = free) Compound adjectives - should be hyphenated (sports-betting operators / first-quarter earnings) Comprise/comprising - should NOT be followed with “of”, as it means to “consist of” Conjunctions - should appear with a semi-colon before and a comma afterwards (; however, / ; therefore,) Continually - if something occurs repeatedly/regularly in the same way Continuously - if something occurs without interruption or gaps Contractions - don’t, can’t, won’t, etc. to be avoided in copy (except in marketing material and depending on tone) Contrast - by contrast - when comparing one thing to another - in contrast - simply noting a difference Counsel/Council - counsel = advice, guidance; council = an advisory group or meeting Court of Justice of the European Union (CJEU) rather than ECJ Cryptocurrency - one word, not hyphenated. Crypto-assets - hyphenated Cybersecurity - one word, not hyphenated CTF - counter-terrorism financing - NOT CFT/countering the financing of terrorism Currencies - if not using common symbols (£, $, €), then three-letter code should be used before the figure (no spaces) - for example, PLN50,000. Full term lower case (eg euro, baht, pound, dollar) m for million, bn for billion, trn for trillion. D Date format - Month, Day, Year (e.g., March 7, 2019) For Insights & Analysis summary text: can just say “today”, e.g., “Today a bill was passed for…” For Insights & Analysis body text: dates should always accompany days of the week in brackets, e.g., “On Wednesday (June 8) a bill was passed...” For NIBs: always use dates rather than days. Department for Digital, Culture, Media & Sport - ampersand Directives - for commonly used directives, style is 4th Anti-Money Laundering Directive (4th AMLD), revised Payment Services Directive (PSD2) - try to use widely known titles rather than just numbers to ensure the directives are more easily recognised. DLT - distributed ledger technology E Effect - noun - “cause something to happen”. Em dash (—) - should be used as a conjunction, not a hyphen or en dash (–). Ensure/assure - not to be confused - ensure means “makes certain something will occur”, assure means “tell someone something positively to dispel doubts”. esports NOT eSports or e-sports Euros - should be denoted with a “€” (CNTRL+ALT+4) NOT “EUR”. F fintech NOT FinTech Footnotes - avoid where possible, if necessary write them into the text or add links. G GGR - “gross gaming revenues” Government - does not need a capital g. Governor - should be written out in full, NOT Gov. Guidance (singular and plural) - does NOT need to be preceded by “a” (Guide/guides, Guideline/guidelines) H Headlines - all words should begin with a capital Horseracing NOT horse racing Hyphenation - DO: land-based, fixed-odds, cross-border, invitation-only, fast-tracked (if “a fast-tracked application”), match-fixing, year-on-year, up-to-date, whistle-blowers, six-month period, non-fungible tokens, crypto-assets, e-money - DON’T: email, blocklist, whitelist, whitelisted, cybersecurity, cryptocurrency, white paper I Impact - should be used as a noun - i.e. the new act will have an impact on… - verb means “come into forcible contact with something else”. - using “affect” as a verb is more accurate. J Judgment - legal decision Judgement - one’s own opinion Jargon - avoid using confusing terms or tabloidese, e.g. use players rather than punters. Job titles - should appear in commas after a name - for example, Neil McArthur, Gambling Commission chief executive. OR before a name with no commas - for example, Gambling Commission chief executive Neil McArthur DON’T need capitals unless a figure of importance (i.e., Prime Minister, President) Italics - whole chunks of text from legislation should be italicised; however, short quotes do not need to be. Justice Department - U.S. Department of Justice - to appear with caps (as requested by US team). K KYC - know your customer L Legislature - does not need a capital l. Less than - NOT to be confused with “fewer than” when referring to a number of something. i.e. fewer than 100 gambling tables. Licence - noun (UK), i.e. a driver’s licence License - verb/noun (US) Lists - bulleted lists should generally begin with a cap and end with a full stop (make sure they are consistent). M MONEYVAL NOT Moneyval More than - to be used instead of “over”. i.e., more than 20 players rather than over 20 players. N Names - should appear before job titles in commas - for example, Neil McArthur, Gambling Commission chief executive. Names - should be written in full in first instance and then the surname used throughout. Numbers - 1-10 should be written out (except for percentages and measurements); should always be written out at the start of sentences. Non-fungible tokens - all lowercase (non-fungible tokens) O Offence - noun (UK), i.e. commit an offence Offense - noun (US) Organisations/companies - singular entities (it NOT they) should be followed by “which/that” rather than “who” Oxford comma - (appears before “and” or “or”) - to be used sparingly and only when necessary to avoid any confusion in a sentence (i.e., where more than one “and/or” appears). Over - should not be used as a replacement for “more than”. P Parliament - does not need a capital p. Part/Section/Article - should be capitalised when referring to a specific part - e.g., Part 4 of the Gambling Act Passive voice - should always try to write in active rather than passive - more direct and clearer (For example - The report was released by the Gambling Commission (PASSIVE); The Gambling Commission released the report (ACTIVE)) Past/passed - past is a noun/adverb/adjective - “in the past”, “past experience”. - passed is the past tense of “to pass” - “the law was passed in government”. Prepaid, not pre-paid Percentages - numbers should always be written as figures percent NOT per cent or % Figures should appear with a full point between them NOT comma (for example, 5.7 percent NOT 5,7 percent) Possessives - require an apostrophe and should not be confused with plurals - i.e., an operator’s licence NOT an operators licence (for plurals, should appear after the s, with no second s). Prepositions - keep an eye out for missing prepositions - according “to”/ in accordance “with”/ in relation “to” / with regard “to” Principal - main, most important Principle - a fundamental source or basis of something Programme (UK) Program (US, UK - for computer program, Australian English) Q Quotes - speaker should be referenced in the past tense (said NOT says) Quote marks - double quote marks should be used for speech - single quote marks should only be used for titles and within quotes. (See Quote reference sheet for more information on how to use quotes.) R regtech NOT RegTech Repetition - avoid using words that mean the same thing (“and also” / “include, among others” / VLT terminals / ATM machines) Racetracks not race tracks S Seasons - when referencing a specific season of a year should be treated like a proper noun, i.e. should include a capital - Winter 2018. Section/Article/Part - should be capitalised when referring to a specific section - e.g., Section 4 of the Gambling Act. Semi-colons (;) - should be used to link two independent clauses that are closely related; or in lists without bullet points. (Do not overuse - often a full stop and new sentence will be better.) Sports betting NOT sportsbetting Sports team names Storey (pl. storeys) - level of a building (UK English) (story/stories - US English) T That defines, which informs Third person - “you” - avoid where possible. Titles - all important words should begin with a capital (i.e. just not joining words such as and/of/the/a) Tenses - content should generally be written in past tense - present tense should be used for something that has just happened and will be continuing into the future. U United States abbreviated to U.S. (Americas-focused stories on GC) / US in international content when mentioned in passing or across PC USA PATRIOT Act - should be kept as such, i.e. with caps, as it’s an acronym for “Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act”) U.S. Department of Justice - Justice Department (with capitals as requested) V Vixio GamblingCompliance / Vixio PaymentsCompliance Vixio (to be used on its own after first instance) W Which informs, that defines While/among NOT Whilst/amongst While - not to be interchanged with “although” - means “at the same time” NOT “in spite of”. X Y Year quarters - Q1, Q2, H1, H2, etc. Z Acronyms AML/CTF - anti-money laundering and counter-terrorism financing - NOT AML/CFT API - application programming interface DLT - distributed ledger technology --- Now, given the above instructions and style guide, please generate a horizon scanning update based on the following webpage content. Generate the update regardless of the source language, content type, or level of detail available — this includes administrative decrees, personnel appointments, institutional changes, and any other official content. Use whatever information is present. 205 CMR: MASSACHUSETTS GAMING COMMISSION 205 CMR 101.00: M.G.L. C. 23K ADJUDICATORY PROCEEDINGS Section 101.01: Hearings Before the Commission 101.02: Review of Orders or Civil Administrative Penalties/Forfeitures Issued by the Bureau, Commission Staff, or the Racing Division 101.03: Review by the Commission of Decisions of the Hearing Officer 101.04: Informal Disposition of an Adjudicatory Proceeding 101.01 : Hearings Before the Commission (1) Hearings held before the full commission pursuant to 205 CMR 101.01 shall be adjudicatory proceedings conducted in accordance with M.G.L. c. 30A, §§ 10 and 11. All hearings shall be further held under 205 CMR 101.00, as applicable, and 801 CMR 1.02: Informal/Fair Hearing Rules, unless the applicant/petitioner makes a written request for a hearing under 801 CMR 1.01: Formal Rules. In that event the commission shall determine, based on the facts and circumstances of the matter, whether 801 CMR 1.01 or 1.02 will apply in order to ensure a fair outcome. Such determination shall be based on such factors as the complexity of the issues presented, whether all parties are represented by counsel, and similar considerations. Conflicts between 801 CMR 1.01 or 1.02 and 205 CMR 101.00 shall be resolved in favor of 205 CMR 101.00. If the commission grants a request for a hearing to be held pursuant to 801 CMR 1.01, the provisions of 801 CMR 1.01(1), (2), (3), (5), (6), (11) and (14) shall not apply. (2) The following types of adjudicatory hearings shall be held directly, in the first instance, by the commission: (a) Suitability hearings before the commission pursuant to M.G.L. c. 23K, § 17(f), concerning any findings of fact, recommendations and/or recommended conditions by the Bureau relative to the suitability of the applicant for an initial gaming license or renewal of a gaming license, including without limitation, recommendations and recommended conditions resulting from the RFA-1 or new qualifier process pursuant to 205 CMR 115.00: Phase 1 and New Qualifier Suitability Determinations, Standards and Procedures. (b) Hearings regarding the failure of a gaming licensee or qualifier to maintain adequate suitability as set forth in 205 CMR 115.01(4) and any adverse action taken against a gaming licensee or qualifier as a result of said failure. (c) Hearings regarding the termination, revocation or suspension of a category 1 or category 2 gaming license issued by the commission pursuant to M.G.L. c. 23K, and/or the addition or modification of a condition thereto, or the termination, revocation or suspension of a license to conduct a racing meeting pursuant to M.G.L. c. 128A. (d) Hearings regarding the transfer of a category 1 or category 2 gaming license or the transfer of a license to conduct a racing meeting or related to the transfer of interest in a category 1 or category 2 gaming license or gaming establishment in accordance with 205 CMR 116.08 through 116.10; (e) Hearings regarding the assessment of a civil administrative penalty pursuant to M.G.L. c. 23K, § 36, against a category 1 or category 2 gaming licensee or a racing meeting licensee. (f) Hearings regarding the approval or amendment of the gaming licensee’s Operation Certificate as discussed in 205 CMR 151.00: Requirements for the Operations and Conduct of Gaming at a Gaming Establishment; (g) For purposes of reviewing a petition to reopen a mitigation agreement in accordance with 205 CMR 127.04: Commission Review of a Petition to Reopen a Mitigation Agreement. (h) Any challenge to the certification or denial of certification of an independent testing laboratory in accordance with 205 CMR 144.06: Independent Testing Laboratory Certification and Auditing. (i) Any challenge to the certification or denial of certification as a gaming school in accordance with 205 CMR 137.01(4). (j) Review of an application for a gaming beverage license, or request to amend, alter, or add a licensed area, pursuant to 205 CMR 136.03(4). (Mass. Register #1409 1/24/20) 205 CMR: MASSACHUSETTS GAMING COMMISSION 101.01 : continued (3) Any request for such a hearing shall be filed with the clerk of the commission on a form provided by the clerk. Such a request shall not operate as a stay of the underlying action unless specifically allowed by the commission upon motion of the aggrieved party. A request for a stay may be allowed at the commission’s discretion if one or both of the following two circumstances are demonstrated by the aggrieved party: (a) 1. there is a likelihood that the party seeking the stay will prevail on the merits of the case; and 2. there is a likelihood that the moving party will be harmed irreparably absent a stay. (b) 1. the consequences of the decision(s) to be made in the case are far-reaching; 2. the immediate impact upon the parties in a novel and complex case is substantial; or 3. a significant legal issue(s) is involved. (4) In order to be considered by the commission, a request for a hearing must be filed no later than 30 days from the date the complained of action was taken, except in the event of civil administrative penalties. The request for review of a civil administrative penalty issued by the Bureau pursuant to M.G.L. c. 23K, § 36 shall be filed no later than 21 days after the date of the Bureau’s notice of issuance of the civil administrative penalty and such a request must comply with the provisions of M.G.L. c. 23K, § 36(e). In the case of a temporary suspension of a license by the Bureau in accordance with M.G.L. c. 23K, § 35(e), a gaming licensee shall be entitled to a hearing before the Commission within seven days after the suspension was issued. (5) The request for a hearing shall include: (a) the contact information of the party requesting the hearing; (b) the contact information of counsel representing the party requesting the hearing, if any; and (c) a brief description of the basis for the request for the hearing. In the event that a temporary suspension has been issued in accordance with M.G.L. c. 23K, § 35(e), at its election the licensee may include a request that the hearing be scheduled within seven days of the date of the issuance of the suspension. If the matter involves a civil administrative penalty, the request shall include a written statement denying the occurrence of any of the acts or omissions alleged by the Bureau in the notice, or assert that the amount of the proposed civil administrative penalty is excessive. (6) The failure of a party to provide a specific description of the basis for the request for hearing may result in the dismissal of the request per the discretion of the commission. (7) Any adjudicatory hearing conducted under 205 CMR 101.01 may be closed to the public at the request of either party, or on the commission’s own initiative, in order to protect the privacy interests of either party or other individual, to protect proprietary or sensitive technical information including, but not limited to, software, algorithms and trade secrets, or for other good cause shown. Such a determination rests in the sole discretion of the commission. (8) Pursuant to M.G.L. c. 23K, § 3(h), the chair may direct that all of the commissioners participate in the hearing and decision of the matter before the commission. In the alternative, pursuant to M.G.L. c. 23K, § 3(h), the chair with the concurrence of one other commissioner may appoint a single commissioner to preside over the hearing. The notice scheduling the time and place for the hearing shall specify whether the commission or a designated individual shall act as presiding officer in the particular case. (9) Burden of Proof. (a) The applicant shall have the affirmative obligation to establish by clear and convincing evidence both its affirmative qualification for licensure and the absence of any disqualification for licensure. (b) In the case of a recommendation to terminate, revoke or suspend a category 1 or category 2 gaming license, or a license to conduct a racing meeting, the bureau or the racing division, as appropriate, shall have the affirmative obligation to establish by substantial evidence grounds upon which the commission should terminate, revoke or suspend the licensee’s category 1 or category 2 gaming license or the licensee’s license to conduct a racing meeting. 205 CMR: MASSACHUSETTS GAMING COMMISSION 101.01 : continued (c) In the case of an adverse action taken against a gaming licensee or qualifier for failure to maintain their suitability pursuant to 205 CMR 115.01(4) the Bureau or the racing division, as appropriate, shall have the affirmative obligation to establish by substantial evidence the lack of clear and convincing evidence that the gaming licensee or qualifier remains suitable. (d) In the case of a transfer of interest, the gaming licensee shall have the affirmative obligation to establish by clear and convincing evidence its compliance with 205 CMR 116.09: Approval. (e) In the case of a civil administrative penalty, the Bureau shall have the obligation to prove the occurrence of each act or omission by a preponderance of the evidence. (10) Decisions. Upon completion of the hearing, the Commission shall render a written decision as promptly as administratively feasible, in accordance with M.G.L. c. 30A, § 11(8). The written decision of the Commission shall be the final decision of the Commission. (11) Appeal. Pursuant to M.G.L. c. 23K, § 17(g), the applicant and/or the gaming licensee shall not be entitled to any further review from the Commission’s determination of suitability. Decisions by the Commission concerning the matters set forth in 205 CMR 101.01(2)(b) may be reviewed by the appropriate court pursuant to the provisions of M.G.L. c. 30A. 101.02 : Review of Orders or Civil Administrative Penalties/Forfeitures Issued by the Bureau, Commission Staff, or the Racing Division (1) An aggrieved party may file a request for review of an order, decision, or civil administrative penalty issued by the Bureau, where applicable, relative to the interpretation or application of a statute, regulation, or other applicable authority, or order, decision, or forfeiture issued by the racing judges or stewards, other than those enumerated in 205 CMR 101.01(2), with the clerk of the Commission on a form provided by the clerk. A request for review shall not operate as a stay of the order, decision, or civil administrative penalty/forfeiture, unless specifically allowed by the hearing officer upon motion of the aggrieved party. A request for a stay may be allowed at the hearing officer’s discretion if one or both of the following two circumstances are present: (a) 1. there is a likelihood that the party seeking the stay will prevail on the merits of the case; and 2. there is a likelihood that the moving party will be harmed irreparably absent a stay. (b) 1. the consequences of the decision(s) to be made in the case are far-reaching; 2. the immediate impact upon the parties in a novel and complex case is substantial; or 3. a significant legal issue(s) is involved. (2) All requests for review, aside from those for civil administrative penalties or an appeal in the case of any person penalized or disciplined by the racing officials of a meeting licensed by the Commission, must be filed no later than 30 days from the date of the order or decision. The request for review of a civil administrative penalty issued by the Bureau pursuant to M.G.L. c. 23K, § 36 shall be filed within 21 days after the date of the Bureau's notice of issuance of the civil administrative penalty and such a request must comply with the provisions of M.G.L. c. 23K § 36(e). The request for an appeal in the case of any person penalized or disciplined by the racing officials of a meeting licensed by the Commission must be filed within ten days of the date of said penalty or imposition of said discipline. In the case of the temporary suspension of a license by the Bureau in accordance with M.G.L. c. 23K, § 35(e), a licensee shall be entitled to a hearing before a hearing officer within seven days after the suspension was issued. (3) The request for review shall include: (a) contact information of the party requesting review; (b) contact information of counsel representing the party requesting review, if any; (c) a specific description of the basis for the request for review. In the event that a temporary suspension has been issued in accordance with M.G.L. c. 23K, § 35(e), at its election, the licensee may include a request that the hearing be scheduled within seven days of the date of the issuance of the suspension. 205 CMR: MASSACHUSETTS GAMING COMMISSION 101.02: continued If the matter involves a civil administrative penalty, the request shall include a written statement denying the occurrence of any of the acts or omissions alleged by the Bureau in the notice, or assert that the amount of the proposed civil administrative penalty is excessive; and (d) a copy of the order or fine that is the subject of the request for review. (4) The failure of a party to provide a specific description of the basis for the request for review in accordance with 205 CMR 101.032(3)(c) shall be grounds for dismissal of the request per the discretion of the hearing officer. (5) Upon receipt, the clerk shall assign the request for review to a hearing officer and schedule the hearing. Mailing of notice to the address on record with the Commission, or emailing the notice to the email address provided by the licensee or registrant on their application for licensure or registration shall be deemed satisfactory notice. The notice of hearing shall contain: (a) The name of the petitioner; and (b) The date, time and place of the hearing. (6) Any adjudicatory hearing conducted under 205 CMR 101.02 may be closed to the public at the request of either party in order to protect the privacy interests of either party or other individual, to protect proprietary technical information including, but not limited to, software, algorithms and trade secrets, or for other good cause shown. Any such request may be opposed by the other party. The final determination rests in the sole discretion of the hearing officer. (7) (a) Upon receipt of the appeal, the hearing officer shall, within ten days, schedule a telephone status conference with all parties. During the status conference the hearing officer shall: 1. Address any argument that the proceeding should proceed under 801 CMR 1.01: Formal Rules; 2. Establish a briefing schedule including deadlines for the filing of the petitioner’s brief and providing for a reasonable amount of time for the respondent to file a reply brief; 3. Establish deadlines for the filing of a witness list and exhibit list at reasonable amount of time before the hearing date; 4. Establish a briefing schedule with respect to any anticipated motions including deadlines for the filing of the movant’s brief and providing for a reasonable amount of time for the respondent to file a reply brief; and 5. After completion of the status conference, the hearing officer shall issue a written order memorializing all deadlines and provide it to all parties. (b) After the initial status conference, either party may file a brief explaining how they believe the matter should be decided including the specific relief requested. No late briefs shall be accepted without express permission of the hearing officer. No sur-reply briefs shall be accepted without express permission of the hearing officer. No brief shall be longer than 15 double-spaced pages without express permission of the hearing officer. A party may request permission to file a brief longer than 15 pages. Such request shall be filed with the clerk who will forward it to the hearing officer for review. The request must be in writing and state the number of additional pages requested. It shall be up to the discretion of the hearing officer as to whether to grant such request. If the hearing officer grants a request for additional pages, the clerk shall forward the order of the hearing officer to all parties and all parties shall have the right to file such additional number of pages. (8) With or without the submission of a brief, each party shall submit a copy of all written documentary evidence they intend to offer for consideration by the hearing officer as well as a list of all witnesses that the party intends to present at the hearing. The documentary evidence and witness lists shall be provided on or before the date determined by the Hearing Officer during the initial status conference. Failure to submit a brief shall not preclude a party from submitting written evidence or calling witnesses to be considered by the hearing officer. Upon request, the petitioner shall be provided an opportunity in advance of the hearing to examine and copy the entire content of their case file and all other documents to be used by the Commission, bureau, or racing division. All materials submitted to the clerk/hearing officer including, but not limited to, briefs, evidence and witnesses lists, shall be contemporaneously provided to the all other parties and their counsel via first-class mail or e-mail. Evidence or witnesses that are filed without providing reasonable notice to the opposing party may be precluded at the hearing officer’s discretion. 205 CMR: MASSACHUSETTS GAMING COMMISSION 101.02: continued (9) All requests for extensions of time to file a brief or to reschedule a hearing date shall be made in writing and filed with the clerk. No request for extension of time to file a brief or to reschedule a hearing shall be considered, unless it is made at least seven days prior to the hearing date or briefing deadline. The clerk of the Commission may issue orders on procedural and scheduling matters consistent with M.G.L. c. 23K, and 205 CMR in order to further the efficient administration of the Commission’s hearings process. The clerk may provide an extension of time to file a brief or reschedule a hearing date in the clerk’s discretion and for good cause shown. The clerk shall send the order granting an extension of time to file a brief or the rescheduling of a hearing date to all parties. Any order shall include the number of days granted for the extension of time or the new date for the rescheduled hearing. Absent extenuating circumstances, no hearing shall be rescheduled more than once. In the event of the appeal of a decision by the Racing judges or stewards, if the petitioner fails to appear at the hearing, the Hearing Officer, after determining that the petitioner received proper notice of the hearing, shall dismiss the matter. In the event of a matter before the hearing officer concerning an action taken by the bureau, the bureau may proceed with a hearing before the Hearing Officer, even in the absence of the petitioner, after determining that the petitioner received proper notice of the hearing. (10) Hearings held before the hearing officer pursuant to 205 CMR 101.02 shall be adjudicatory proceedings conducted in accordance with M.G.L. c. 30A, §§ 10 and 11. All hearings shall be further held under 205 CMR 101.00, as applicable, and 801 CMR 1.02: Informal/Fair Hearing Rules, unless the applicant/petitioner makes a written request for a hearing under 801 CMR 1.01: Formal Rules. In that event the hearing officer shall determine, based on the facts and circumstances of the matter, whether 801 CMR 1.01 or 1.02 will apply in order to ensure a fair outcome. Such determination shall be based on such factors as the complexity of the issues presented, whether all parties are represented by counsel, and similar considerations. Conflicts between 801 CMR 1.01 or 1.02 and 205 CMR 101.00 shall be resolved in favor of 205 CMR 101.00. If the hearing officer grants a request that a hearing be held pursuant to 801 CMR 1.01, the provisions of 801 CMR 1.01 (1), (2), (3), (5), (6), (11) and (14) shall not apply. (11)(a) There shall be no motions or formal discovery allowed in hearings under 205 CMR 101.02, unless upon the request of a party and for good cause shown, the hearing officer allows such motions or formal discovery request to be served. In the event that motions or formal discovery are allowed by the hearing officer, the hearing officer shall also set forth a reasonable schedule for responding to such motions or discovery requests. (b) In the event that the hearing concerns an appeal from a decision of the Racing Judges involving a violation of 205 CMR 3.29, 205 CMR 101.02(11)(a) shall not apply and the formal discovery (beyond those documents submitted by the Racing Division in support of its decision) shall be limited to the production of the Laboratory Documentation package of the Commission approved laboratory. The Laboratory Documentation Package shall comply with industry best practices as established by the Racing Medication and Testing Consortium's Laboratory Accreditation Requirements and Operating Standards, Appendix C. (12) A written transcript or electronic record of each hearing shall be created and all witnesses presenting testimony shall be sworn to testify under oath. (13) In addition to the duties and powers of the hearing officer under 801 CMR 1.02(10)(f), the hearing officer shall make all factual and legal findings necessary to reach a decision, including evaluating the credibility of all witnesses and evidence presented. The hearing officer may ask questions of a party or a witness at the hearing. The hearing officer can request additional information from any party and may recess or continue the hearing to a later date. Any party to such a hearing shall be entitled to issue subpoenas as approved by the hearing officer in compliance with 205 CMR 101.02(11) and in accordance with M.G.L. c. 30A, § 12(3). The hearing officer may request a post-hearing brief from the parties and shall determine the page limit for such brief and the time by which it must be submitted. The parties may request leave of the hearing officer to submit a post-hearing brief as long as such a request is made within ten days of the hearing. 205 CMR: MASSACHUSETTS GAMING COMMISSION 101.02 : continued (14) The standard of review of an order or fine issued by the bureau or the racing division shall be the substantial evidence standard, unless a different standard is required by M.G.L. c. 23K or M.G.L. c. 128A or M.G.L. c. 128C. The hearing officer shall conduct a review of the matter, making findings of fact and conclusions of law to render a decision. The hearing officer shall affirm the order issued by the bureau or the racing division if there is substantial evidence to support it. (15) The hearing officer shall issue a written decision as soon as administratively feasible after the close of the hearing. The written decision shall include findings of fact and conclusions of law and shall clearly state the basis for the hearing officer’s decision. The hearing officer shall file its decision with the clerk. The decision of the hearing officer shall be the final decision of the Commission unless a request for appeal to the Commission is filed by a party to the proceeding within 30 days of the date of the hearing officer’s decision. In the event of a timely filed appeal of a civil administrative penalty to the Commission, payment of any such penalty shall be stayed through the final decision by the Commission. (16) The clerk shall send a copy of the decision to all parties and shall include with the decision a letter stating that a party may request appeal of the hearing officer’s decision by the Commission and describing the process for requesting an appeal by the Commission. (17) The hearing officer is authorized to certify any matter directly to the Commission. The exercise of such authority will generally be reserved for matters of first impression or those which present extraordinary or unique circumstances. Either party may also request that the hearing officer certify such a matter for Commission review. The Commission may accept and review the matter or may remand the matter to the hearing officer. In the event that the Commission accepts the matter, such hearings will be conducted in accordance with 205 CMR 101.02 in which the Commission will perform the hearing officer’s functions. Appeals of such decisions may be taken in accordance with M.G.L. c. 30A in lieu of 205 CMR 101.03. 101.03 : Review by the Commission of Decisions of the Hearing Officer (1) Any decision issued by a hearing officer in accordance with 205 CMR 101.02 may be appealed to the Commission for review. An appeal of the decision shall be filed with the clerk of the Commission on a form provided by the clerk. An appeal shall not operate as a stay of the decision of the hearing officer, unless specifically allowed by the Commission upon motion of the appellant. A request for a stay may be allowed at the Commission’s discretion if one or both of the following two circumstances are present: (a) 1. there is a likelihood that the party seeking the stay will prevail on the merits of the case; and 2. there is a likelihood that the moving party will be harmed irreparably absent a stay. (b) 1. the consequences of the decision(s) to be made in the case are far-reaching; 2. the immediate impact upon the parties in a novel and complex case is substantial; or 3. a significant legal issue(s) is involved. (2) In order to be considered by the Commission, the appeal must be filed no later than 30 days from the date the decision was served by the clerk in accordance with 205 CMR 101.02(16). (3) The appeal shall include: (a) contact information of the party requesting the appeal; (b) of counsel representing the party requesting the appeal, if any; (c) a brief description of the basis for the appeal; and (d) a copy of the decision of the hearing officer that is the basis for the appeal. (4) Upon receipt of the appeal by the Commission, the clerk shall docket the request and provide a copy of the administrative record to all parties involved in the matter to be reviewed by the Commission. The record may be provided electronically or via other similar means. The record shall include the decision of the hearing officer, any briefs submitted by the parties, the evidence submitted to the hearing officer and the transcript or audio recording of the adjudicatory hearing before the hearing officer. The record may only be expanded by the Commission upon petition by a party and a showing of good cause as to why the evidence was not included as part of the hearing record. 205 CMR: MASSACHUSETTS GAMING COMMISSION 101.03: continued (5) The clerk shall schedule a date for review by the Commission. The clerk shall request that each party file a brief stating why the decision of the hearing officer should be affirmed, vacated or modified and the relief requested. Issues not raised before the hearing officer shall not be raised in a brief to the Commission. The briefing schedule shall be set by the Commission and shall be staggered to provide the appellee adequate time to address the matters raised in the appellant’s brief prior to the scheduled hearing before the Commission. No brief shall be longer than 15 pages. The briefs shall be filed with the clerk. Each party shall serve a copy of its brief on the other party(ies) to the hearing. (6) The clerk shall provide copies of the briefs and a copy of the written record to the Commission. (7) A party may request permission to file a brief longer than 15 pages. Such request must be in writing. The clerk shall forward the request to the Commission. It shall be up to the discretion of the Commission as to whether to grant such a request. If the Commission grants a request for additional pages, the clerk shall forward a copy of the Commission’s order to all parties to the hearing and all parties shall have the right to file such additional number of pages. Requests to file a brief longer than 15 pages may be granted by an order issued by a single commissioner appointed by the chairman to issue such orders. (8) All requests for extensions of time to file a brief shall be made in writing to the clerk. The clerk shall forward the request for an extension of time to file a brief to the Commission. It shall be up to the discretion of the Commission as to whether to grant the request for an extension of time to file a brief. If the Commission grants the request for an extension of time to file a brief, the clerk shall forward a copy of the Commission’s order to the parties and all parties shall have the extension of time to file a brief. Requests for an extension of time to file a brief may be granted by an order issued by a single commissioner appointed by the chairman to issue such orders. (9) The Commission’s review of the decision of the hearing officer shall be on the administrative record of the hearing conducted by the hearing officer. The Commission, in its sole discretion and upon its own motion, may request oral argument on the request to review the decision of the hearing officer. (10) When reviewing a decision from the hearing officer, the Commission’s determination shall be supported by substantial evidence, unless a different standard is required by M.G.L. c. 23K or M.G.L. c. 128A or M.G.L. c. 128C. (11) The Commission shall conduct a de novo review of the decision of the hearing officer based upon the administrative record, provided however, that findings made by the hearing officer regarding credibility of witnesses shall be entitled to substantial deference by the Commission. As provided by M.G.L. c. 30A, § 10, such appeal shall comply with M.G.L. c. 30A, § 11(8). The procedures described in M.G.L. c. 30A, § 11(7) shall only apply if, where applicable, a party makes written request to the Commission in advance for a tentative or proposed decision. (12) The Commission may, in whole or part, affirm the decision of the hearing officer, reverse the decision of the hearing officer, modify the decision of the hearing officer or remand the matter to the hearing officer for further action in accordance with the Commission’s decision. Further, the Commission may add any condition reasonably calculated to ensure a person’s compliance or faithful performance, to penalize for the violations, and/or to deter future violation including, but not limited to, fines. In making its decision, the Commission may rely on any evidence contained in the administrative record and is not limited to the evidence cited by the hearing officer in support of hearing officer’s decision. (13) The Commission shall issue a written decision as soon as administratively feasible and file it with the clerk. The decision shall advise the parties of their rights to review in accordance with M.G.L c. 23K and M.G.L. 30A, as applicable. The clerk will provide a copy of the Commission’s decision to all parties. 205 CMR: MASSACHUSETTS GAMING COMMISSION 101.04: Informal Disposition of an Adjudicatory Proceeding At any time during an adjudicatory proceeding before a hearing officer or the Commission, the parties may make informal disposition of any adjudicatory proceeding by stipulation, agreed settlement or consent order. Upon such a disposition, the parties are obligated to notify the hearing officer or Commission through a joint filing indicating that the matter has been resolved and that is signed by all parties and/or their representatives. REGULATORY AUTHORITY 205 CMR 101.00: M.G.L. c. 7, § 4H; M.G.L. c. 23K, §§ 3(h); 4(15), (28), (29), (37); 5; 13; 17(f), (g); 30(g); 31; 35(g); 36(c), (d) and (f); and M.G.L. c. 30A.

205 CMR 101

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