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36.03.04.00.htm 36.03.04.00. Title 36 MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY Subtitle 03 GAMING PROVISIONS Chapter 04 Enforcement Authority: State Government Article, §9-1A-04, 9-1A-24, and 9-1A-25, Annotated Code of Maryland
36.03.04.01.htm 36.03.04.01. 01 General.. This chapter establishes a framework within which the Commission may take enforcement action against a licensee that results in a reprimand, fine, or condition placed on a licensee, or a suspension or revocation of a license.
36.03.04.02.htm 36.03.04.02. 02 Definitions.. A. In addition to the terms defined in State Government Article, Title 9, Subtitle 1A, Annotated Code of Maryland, which have the same meanings in this chapter, in this chapter the following terms have the meaning indicated.B. Terms Defined.. 1) “Penalty” means a per day fine, not exceeding $5,000 for each separate violation, that the Commission may impose on a licensee under State Government Article, §9-1A-25(b) Annotated Code of Maryland.2) “Sanction” means non-m
36.03.04.03.htm 36.03.04.03. 03 Violations.. A licensee may not:. A. Violate:. 1) A provision of State Government Article, Title 9, Subtitle 1A, Annotated Code of Maryland;. 2) A regulation adopted under State Government Article, Title 9, Subtitle 1A, Annotated Code of Maryland; or3) A directive of the Commission or the Director;. B. Take, or attempt to take, any action that is intended to:. 1) Change or influence the outcome of a video lottery terminal or table game;. 2) Influence any person o
36.03.04.04.htm 36.03.04.04. 04 Notice of Violation.. A. After receiving a report of a licensee’s alleged violation of Regulation .03 of this chapter, the agency shall:1) Notify the licensee of the alleged violation; and. 2) Investigate the report.. B. The Director may designate staff to serve on a review board that:. 1) Reviews the investigation of an alleged violation conducted under §A of this regulation; and. 2) Makes a recommendation to the Director for addressing the alleged violation..
36.03.04.05.htm 36.03.04.05. 05 Corrective Action Plan.. A. If the Director directs staff to implement a corrective action plan with a licensee, agency staff shall give written notice to a licensee that includes:1) A description of the alleged violation;. 2) A description of the possible sanctions; and. 3) The requirement for the licensee to submit a corrective action plan to the Director.. B. Contents of Corrective Action Plan.A corrective action plan shall include:.
36.03.04.06.htm 36.03.04.06. 06 Settlement.. A. The Commission may provide a licensee with the opportunity to discuss with staff a means of entering into a settlement agreement between the licensee and the Commission by which the violation is settled without a penalty or sanction.B. A settlement agreement:. 1) Shall be signed by an authorized representative of the licensee and the Director or the Director’s designee; and2) May not be considered final and binding until approved by the Commission..
36.03.04.07.htm 36.03.04.07. 07 Commission Action.. A. General. The Director may initiate Commission proceedings for imposition of a penalty or sanction against a licensee if a licensee:1) Violates a provision of Regulation .03 of this chapter;. 2) Fails to timely or satisfactorily complete a corrective action plan required by the Commission;. 3) Violates a term of a settlement agreement; or. 4) Engages in any conduct that exposes the State’s gaming program to a serious and imminent risk of
36.03.04.08.htm 36.03.04.08. 08 Emergency Suspension.. A. The Director may emergently suspend a license if the Director determines that suspension is necessary in order to protect the State’s gaming program against a serious and imminent risk of harm to its integrity, security, or profitability.B. Emergency Suspension—Process.If the Director emergently suspends a license, the Director shall promptly schedule a Commission hearing on the emergency suspension and provide the licensee with the w
36.03.04.09.htm 36.03.04.09. 09 Imposition of Penalties and Sanctions.. A. Consequences.For a violation of Regulation .03 of this chapter, the Commission may impose a:. 1) Penalty not exceeding $5,000 for each day and each violation;. 2) Sanction, including:. a) Revocation of a license;. b) Suspension of a license for a period of time;. c) Reprimand; or. d) Condition that must be met within a specified time as to:. i) Training;. ii) Staffing;. iii) Supervision;. iv) Compliance with internal controls;.
36.03.04.10.htm 36.03.04.10. 10 Commission Action.. A. Commission action against a licensee for a violation of Regulation .03 of this chapter shall be conducted as specified in COMAR 36.01.02.06, and the Commission shall:1) Make a finding whether the licensee violated a provision of Regulation .03 of this chapter; and. 2) If the licensee violated a provision of Regulation .03 of this chapter, decide whether, and to what extent, to impose a penalty or sanction.
36.03.04.9999.htm 36.03.04.9999. Administrative History Effective date:. Regulations .01―07 adopted as an emergency provision effective March 1, 2013 (40:6 Md. R. 470) emergency action expired effective July 20, 2013 ―Regulations .01―10 adopted effective August 5, 2013 (40:15 Md. R. 1233). Regulation .07 amended effective September 26, 2016 (43:19 Md. R. 1073).
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