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36.03.10.00.htm 36.03.10.00. Title 36 MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY Subtitle 03 GAMING PROVISIONS Chapter 10 Video Lottery Facility Minimum Internal Control Standards Authority: Family Law Article, §10-113.1; State Government Article, §9-1A-01(u) 9-1A-02, 9-1A-04, and 9-1A-24; Annotated Code of Maryland
36.03.10.01.htm 36.03.10.01. 01 Definitions.. A. In this chapter, the following terms have the meanings indicated.. B. Terms Defined.. 1) “Bill validator” means an element of a video lottery terminal designed and configured to accept any combination of currency, gaming tickets, promotional play instruments, or other instruments authorized by the Commission for activating credits on a video lottery terminal.2) “Cash” means currency and coin.. 3) “Cash equivalent” means a:.
36.03.10.02.htm 36.03.10.02. 02 Accounting Records.. A. A facility operator shall maintain complete, accurate, and legible records of all transactions pertaining to the revenues and expenses of a facility.B. General ledger records shall be maintained on a double entry system of accounting with transactions recorded on a basis consistent with generally accepted accounting principles in the United States.C. Subsidiary ledgers and records supporting general ledger records shall be prepared in accordance
36.03.10.03.htm 36.03.10.03. 03 Forms and Documents.. A. A form or document required by this chapter, including stored data, shall have:. 1) All information placed on the form or document recorded in ink or another permanent form; and. 2) The title of the form or document and the name of the facility imprinted or preprinted on it.. B. If under this chapter multiple copies are required of a form or document, all copies shall have the name of the recipient receiving the copy preprinted on the bottom of the
36.03.10.04.htm 36.03.10.04. 04 Content of Internal Controls.. A. A facility operator shall develop a written description of its administrative and accounting procedures, including the system of internal controls over video lottery terminal and table game operations.B. A facility operator’s internal controls are subject to review and approval under Regulation .05 of this chapter.C. Internal controls shall, at a minimum, include:.
36.03.10.05.htm 36.03.10.05. 05 Review of Internal Controls.. A. At least 60 days before video lottery terminal or table game operations are to commence, a facility operator shall submit its internal controls to the Commission for review and written approval.B. The internal controls shall be accompanied by:. 1) A certification by the facility operator’s chief executive officer or chief legal officer that the submitted internal controls conform to the requirements of State Government Article, Title 9, Subt
36.03.10.06.htm 36.03.10.06. 06 Standard Financial and Statistical Reports.. A. The Commission may require a facility operator to submit daily, weekly, monthly, quarterly, and annual reports of financial and statistical data.B. Reports required under this regulation shall be in a form and submitted in accordance with a time frame specified by the Commission.C. Unless otherwise specified by the Commission, reports to the Commission shall be signed by the:.
36.03.10.07.htm 36.03.10.07. 07 Annual Audit and Other Regulatory Reports.. A. A facility operator shall cause its annual financial statements to be audited in accordance with generally accepted auditing standards by an independent certified public accountant.B. The annual financial statements shall be prepared on a comparative basis for the current and prior fiscal year and present financial position and results of operations in conformity with generally accepted accounting principles in the United States.
36.03.10.08.htm 36.03.10.08. 08 Record Retention.. A. Definition.. 1) In this regulation, the following term has the meaning indicated.. 2) Term Defined. “Books and records” means any document pertaining to, prepared in, or generated by a facility operator, without regard to the medium through which the record is generated or maintained, including all general ledger records, subsidiary records and ledgers, computer-generated data, forms, documents, internal audit reports and work papers, correspondence, and
36.03.10.09.htm 36.03.10.09. 09 Complimentary Services.. A. Definition.. 1) A facility operator shall be under the authority of the County Alcoholic Beverages Licensing Authority for the county in which the facility is located with regard to the sale to individuals of food and alcoholic beverages;2) Except as provided in this section, a facility operator may not provide food or alcoholic beverages to individuals at no cost;3) Food or alcoholic beverages offered by a facility operator for sale to i
36.03.10.10.htm 36.03.10.10. 10 Table of Organization.. A. For the purposes of this regulation, the title used to describe a department head is intended to indicate responsibility for the functions of the enumerated department and does not obligate the facility operator to the use of that particular title.B. Subject to the requirements of this regulation, a facility operator shall tailor its table of organization to meet its needs and policies.C. At least 30 days before video lottery terminal
36.03.10.11.htm 36.03.10.11. 11 Surveillance System Design Standards.. A. A facility operator shall install in its facility a surveillance system that complies with the requirements of this regulation.B. A facility operator’s surveillance system shall be reviewed and approved by the Commission under Regulation .12 of this chapter.C. A facility operator’s surveillance system shall include:. 1) Light sensitive cameras enabled by:.
36.03.10.12.htm 36.03.10.12. 12 Surveillance Department Operating Procedures.. A. At least 60 days before video lottery terminal or table game operations are to commence, a facility operator shall submit to the Commission for review and written approval:1) A surveillance system meeting the requirements of Regulation .11 of this chapter including, at a minimum, details pertaining to:a) Camera configuration inside and outside the facility;. b) Monitor room configuration;.
36.03.10.13.htm 36.03.10.13. 13 Surveillance Department Minimum Staffing.. A. At least 60 days before video lottery terminal or table game operations are to commence, a facility operator shall submit its surveillance department minimum staffing plan to the Commission for review and written approval.B. A facility operator may not commence operations until its surveillance department minimum staffing plan is approved in writing by the Commission.C. A surveillance department minimum staffing plan
36.03.10.14.htm 36.03.10.14. 14 Security Department Operating Procedures.. A. At least 60 days before video lottery or table game operations are to commence, a facility operator shall submit to the Commission for review and written approval its security department operating procedures.B. A facility operator may not commence operations until its security department operating procedures are approved in writing by the Commission.
36.03.10.15.htm 36.03.10.15. 15 Security Department Minimum Staffing.. A. At least 60 days before video lottery terminal or table game operations are to commence, a facility operator shall submit its security department minimum staffing plan to the Commission for review and written approval.B. A facility operator may not commence operations until its security department minimum staffing plan is approved in writing by the Commission.C. A security department minimum staffing plan shall assess, on a per-shift
36.03.10.16.htm 36.03.10.16. 16 Internal Audit Department Standards.. A. At least 60 days before video lottery terminal operations are set to commence, a facility operator shall submit to the Commission for review and approval internal audit department operating standards and procedures that:1) Meet the requirements of Regulation .10E(6)b) of this chapter;. 2) Conform to this regulation; and. 3) Ensure that an internal audit is conducted in accordance with generally accepted auditing standar
36.03.10.17.htm 36.03.10.17. 17 Access to Central Monitor and Control System Equipment.. A. Central monitor and control system equipment shall reside in an area physically segregated from other systems and equipment utilized by the facility operator which conforms to the requirements of COMAR 36.03.11.03.B. At least 10 days before video lottery terminal operations are to commence, the Commission shall issue to the facility operator a list of individuals that it has approved to have access to the centr
36.03.10.18.htm 36.03.10.18. 18 Cashiers’ Cage Design Standards.. A. A facility operator shall have on, adjacent, or proximate to the gaming floor a physical structure known as a cashiers' cage to house the cashiers and to serve as the central location in the facility for:1) The custody of the cash, accounting records, and forms and documents required under this chapter to conduct video lottery and table game operations;2) The initial financial consolidation of all transactions pertaining to vi
36.03.10.19.htm 36.03.10.19. 19 Accounting Controls for a Cashiers’ Cage.. A. A facility operator may only conduct transactions with individuals at its cashiers’ cage and any satellite cage during the hours of operation approved by the Commission for the facility under COMAR 36.03.11.02.B. A facility operator shall at all times maintain in its cashiers’ cage a reserve cash bankroll sufficient to pay all winning wagers.C. A facility operator shall:.
36.03.10.20.htm 36.03.10.20. 20 Checks Accepted from a Player.. A. A facility operator may accept a negotiable instrument in the form of a check meeting the requirements of this regulation from a player to enable the player to take part in gaming.B. A facility operator may accept a check only during the hours of operation approved by the Commission for the facility under COMAR 36.03.11.02.C. A facility operator may accept a personal check that is:. 1) Made payable to the facility operator;.
36.03.10.21.htm 36.03.10.21. 21 Wire Transfers.. A. A facility operator may accept a negotiable instrument in the form of a wire transfer from a player to enable the player to take part in gaming.B. A facility operator shall record in its cashiers’ cage accountability any funds accepted by wire transfer with no documented business purpose other than to enable a player to take part in gaming within 24 hours of receipt of the wire transfer.C. A facility operator shall develop and include i
36.03.10.22.htm 36.03.10.22. 22 Cash Equivalents.. A. A facility operator may accept a negotiable instrument in the form of a cash equivalent from a player to enable the player to take part in gaming.B. A facility operator may accept a cash equivalent only during the hours of operation approved by the Commission for the facility under COMAR 36.03.11.02.C. A facility operator shall develop and include in the internal controls submitted to and approved by the Commission under Regulation .05 of this cha
36.03.10.23.htm 36.03.10.23. 23 Customer Deposits.. A. A facility operator may establish a customer deposit account for a player to enable the player to take part in gaming.B. A facility operator shall perform all procedures required by this chapter before depositing funds accepted by means of check, wire transfer, cash equivalent, or other negotiable instrument into a customer deposit account.C. A facility operator may accept a customer deposit only during the hours of operation approved by
36.03.10.24.htm 36.03.10.24. 24 Credit Authorization.. A. For the purposes of this regulation, “derogatory information” means any information associated with a credit account indicating that the account is partially or completely uncollectible, has had checks returned unpaid, or has required settlement, lien, judgment, or other collection efforts by a gaming operator.B. A facility operator may not extend a line of credit to a player to enable the player to take part in gaming which exceeds
36.03.10.25.htm 36.03.10.25. 25 Verification of Credit Application Information.. A. Prior to authorizing an extension of credit and counter check privileges under Regulation .24 of this chapter, a facility operator shall verify the information on the credit application submitted by the player in accordance with this regulation.B. The verification of credit application information required under this regulation:. 1) Shall be conducted by a general cashier or credit department representative with no incompatible
36.03.10.26.htm 36.03.10.26. 26 Counter Check Issuance at the Cashiers’ Cage.. A. Subject to the requirements of this chapter, a facility operator may accept a negotiable instrument in the form of a counter check from a player at the cashiers’ cage to enable the player to take part in gaming.B. A facility operator shall develop and include in the internal controls submitted to and approved by the Commission under Regulation .05 of this chapter procedures addressing the issuance of a count
36.03.10.27.htm 36.03.10.27. 27 Counter Check Issuance at a Video Lottery Terminal or Table Game.. A. Subject to the limitations of this chapter, a facility operator may accept a negotiable instrument in the form of a counter check from a player at a video lottery terminal or table game to enable the player to take part in gaming.B. A facility operator shall develop and include in the internal controls submitted to and approved by the Commission under Regulation .05 of this chapter, procedures addressi
36.03.10.28.htm 36.03.10.28. 28 Counter Check Substitution, Consolidation, and Redemption.. A. A player to whom a counter check has been issued by a facility operator may use a personal check meeting the requirements of §B of this regulation to:1) Substitute for a counter check which has not been deposited by the facility operator;. 2) Consolidate two or more counter checks which have not been deposited by the facility operator; and3) Redeem, partially or in full, a counter check which has not been deposit
36.03.10.29.htm 36.03.10.29. 29 Deposit of Counter Checks.. A. A facility operator shall deposit a counter check in its bank account or present the counter check directly to the player’s bank:1) No later than:. a) 14 days after the date of the check for a check of $1,000 or less;. b) 21 days after the date of the check for a check greater than $1,000 but not more than $2,500;. c) 45 days after the date of the check for a check greater than $2,500; or.
36.03.10.30.htm 36.03.10.30. 30 Returned Checks.. A. All checks returned after deposit shall be:. 1) Returned directly to an accounting department employee with no incompatible functions; and. 2) Maintained by a check bank cashier with no incompatible functions.. B. A facility operator shall:. 1) Limit collection efforts pertaining to a returned check to the following persons:. a) A gaming or principal licensed employee of the accounting department with no incompatible functions; and
36.03.10.31.htm 36.03.10.31. 31 Accounting Controls in a Check Bank.. A. In addition to the documentation requirements of Regulations .24 and .25 of this chapter, a facility operator shall record in a player’s credit file all transactions affecting a player's outstanding indebtedness to the facility operator, and the credit file shall include:1) Transactions recorded in chronological order;. 2) Credit transactions segregated from customer deposit transactions; and. 3) Documentation of:.
36.03.10.32.htm 36.03.10.32. 32 Player Request for Suspension of Credit Privileges.. A. A player may voluntarily suspend the player’s credit privileges at a Maryland facility by submitting a written request to the facility in a form specified by the facility.B. A request for suspension of credit privileges shall be made:. 1) In person at a facility; or. 2) By mail if:. a) Submitted with a signature signed before a notary public or other individual empowered by law to take oaths; andb) Accompanied by a certi
36.03.10.33.htm 36.03.10.33. 33 Prohibition on the Use of Credit Cards and Debit Cards.. A video lottery terminal or table game may not be played or activated in any way by insertion, directly or indirectly, or use of a:A. Credit card;. B. Debit card; or. C. Electronic transfer of funds from a credit card or debit card..
36.03.10.34.htm 36.03.10.34. 34 Player Tracking System.. A. For the purposes of this regulation, a “player tracking system” means the collective hardware, software, communications technology, and other ancillary equipment owned or leased by a facility operator to collect, monitor, interpret, analyze, authorize, report, and audit data pertaining to:1) Player activity generally at video lottery terminals and table games; and. 2) Individual player activity at video lottery terminals and table games wh
36.03.10.35.htm 36.03.10.35. 35 Gaming Ticket.. A. A facility operator may issue a gaming ticket and utilize a gaming ticket system meeting the requirements of this subtitle.B. A facility operator shall:. 1) Issue a gaming ticket which does not expire for 182 days after the date of issuance;. 2) Configure its gaming ticket system to:. a) Prevent issuance of a gaming ticket exceeding $10,000; and. b) Require gaming tickets of $5,000 or more to be redeemed only at the cashiers’ cage;.
36.03.10.36.htm 36.03.10.36. 36 Promotional Play.. A. A facility operator may:. 1) Issue promotional play if it is not awarded as cashable credit; and. 2) Utilize a promotional play system meeting the requirements of this subtitle.. B. A facility operator may not issue to a player promotional play equaling or exceeding $5,000 per gaming day without approval from the chief executive or the chief executive’s designee.C. A facility operator shall immediately report to the Commission evidence
36.03.10.37.htm 36.03.10.37. 37 Ticket Redemption Unit.. A. A facility operator may utilize a ticket redemption unit meeting the requirements of this subtitle.B. A facility operator shall locate a ticket redemption unit on the gaming floor subject to the surveillance coverage requirements of Regulation .11 of this chapter.C. A ticket redemption unit:. 1) Shall in accordance with Regulation .36 of this chapter be configured to:. a) Redeem a gaming ticket of less than $5,000; and.
36.03.10.38.htm 36.03.10.38. 38 Jackpot Payout.. A. Definition.. B. A facility operator shall utilize a multipurpose jackpot or credit meter payout document meeting the requirements of this regulation to pay:1) A jackpot not totally and automatically paid by a video lottery terminal; or. 2) Credits accumulated by a player on a video lottery terminal if:. a) The number of accumulated credits exceeds the amount which may be paid utilizing a gaming ticket under Regulation .36 of this chapter;
36.03.10.39.htm 36.03.10.39. 39 Annuity Jackpot.. A. Definitions.. 1) In this regulation, the following terms have the meanings indicated.. 2) Terms Defined.. a) “Annuity jackpot” means a video lottery terminal or table game jackpot in which a player wins the right to receive fixed cash payments at specified intervals; andb) “Discount rate” means a discount rate equal to the United States Treasury constant maturity rate for 20-year United States government securities for the week ending prior t
36.03.10.40.htm 36.03.10.40. 40 Merchandise Jackpot.. A. Definitions.. 1) In this regulation, the following terms have the meanings indicated.. 2) Terms Defined.. a) “Merchandise” means goods, commodities, or other things of value; and. b) “Merchandise jackpot” means a video lottery terminal or table game jackpot in which a player wins:i) Merchandise;. ii) A combination of a cash payout and merchandise; or. iii) An option to choose between a cash payout and merchandise.. B. A facility operator ma
36.03.10.41.htm 36.03.10.41. 41 Automated Jackpot Payout Machine.. A. A facility operator may utilize an automated jackpot payout machine meeting the requirements of this subtitle.B. A facility operator may locate an automated jackpot payout machine on the gaming floor subject to the surveillance coverage requirements of Regulation .11 of this chapter.C. A facility operator shall, in accordance with Regulation .38D of this chapter, configure an automated jackpot payout machine to only process a jack
36.03.10.42.htm 36.03.10.42. 42 Access to Bill Validators, Cash Storage, and Table Game Drop Boxes.. A. Access.. 1) A facility operator shall control access to a bill validator, a cash storage box housed in a video lottery terminal, and a table game drop box in accordance with this regulation.2) Access to a bill validator shall be controlled by:. a) At least one lock; and. b) Requiring the key to the lock to be maintained by the security department.. 3) The cash storage box shall be secured to a bill
36.03.10.43.htm 36.03.10.43. 43 Collection of Cash Storage and Table Game Drop Boxes.. A. At least 30 days before video lottery terminal or table game operations are to commence, a facility operator shall submit to the Commission in writing a drop schedule setting forth:1) Specific pick-up days and times for collection of cash storage and table game drop boxes and requirements that:a) Cash storage boxes may not be commingled with table game drop boxes;. b) Unless a drop box is from a table game pit that
36.03.10.44.htm 36.03.10.44. 44 Count Room Design Standards.. A. A facility operator shall have a count room designated, designed, and used for counting the contents of cash storage and table game drop boxes at a location approved by the Commission.B. A count room shall conform to the following standards:. 1) Be constructed of materials and have an interior design which provides maximum security over the assets stored, and the activities conducted in, the room;2) Meet the surveillance requirements of Regulatio
36.03.10.45.htm 36.03.10.45. 45 Accounting Controls for a Count Room.. A. Count Schedule. At least 30 days before video lottery terminal or table game operations are to commence, a facility operator shall submit to the Commission a count schedule setting forth the specific times during which cash storage and table game drop boxes are to be counted and recorded.B. Notifications. A facility operator shall:. 1) Notify the Commission in writing of any permanent change in the count schedule; and.
36.03.10.46.htm 36.03.10.46. 46 Signs.. A. A facility operator shall construct all signs required under this regulation using a color scheme and font size reasonably expected to produce a sign which is readily visible to and readable by an individual entering the facility.B. A facility operator shall post signs containing the following messages in a conspicuous location not more than 20 feet from each customer entrance to the facility: “An individual, including an off-duty officer or agent of
36.03.10.47.htm 36.03.10.47. 47 Player Complaints.. A. A facility operator shall attempt to timely resolve a dispute with a player concerning operation of a video lottery terminal, table game, or payment of alleged winnings.B. A facility operator who is unable to satisfactorily resolve a dispute with a player within 3 days of notice of the dispute shall notify the Commission of the dispute.C. On receipt of notice by the facility operator of the dispute, the Commission shall provide the pl
36.03.10.48.htm 36.03.10.48. 48 Possession of a Weapon in a Facility.. A. Except as otherwise provided in this regulation, an individual may not possess in a facility:. 1) A firearm as defined in Public Safety Article, §5-101, Annotated Code of Maryland;. 2) An electronic control device as defined in Criminal Law Article, §4-109, Annotated Code of Maryland;3) A dangerous weapon as defined in Criminal Law Article, §4-101, Annotated Code of Maryland; or.
36.03.10.49.htm 36.03.10.49. 49 Acceptance of Tips or Gratuities.. A. Except as otherwise provided in this regulation:. 1) A supervisory video lottery employee of a facility is prohibited from soliciting or accepting a tip or gratuity directly from a player;2) A video lottery employee is prohibited from soliciting a tip or gratuity from a player; and. 3) A facility operator may permit an employee who is authorized to accept a gratuity from a player to accept a gaming ticket if the gaming ticket is redeemed:
36.03.10.50.htm 36.03.10.50. 50 Off-Site Customer Service Location.. A. A facility operator may establish an off-site customer service location for a player to:. 1) Establish a customer deposit account and make a deposit under Regulation .23 of this chapter; and. 2) Pay a counter check under Regulation .28 of this chapter.. B. A facility operator that uses an off-site customer service location shall have internal controls that require:1) Establishment of a compliance program required under COMAR 36.03.10.07.Q
36.03.10.51.htm 36.03.10.51. 51 Donation of Coins from Gaming Payouts.. A. A facility operator shall offer players the opportunity to donate to the Maryland Veterans Trust Fund by providing at least one donation box or container that is:1) Clearly marked as accepting donations for the Maryland Veterans Trust Fund;. 2) Equipped with an opening that is large enough for players to donate coins, cash, gaming chips, gaming tickets, or other items that are redeemable for cash at the facility;
36.03.10.9999.htm 36.03.10.9999. Administrative History Effective date:. Regulations .01―49 adopted as an emergency provision effective March 1, 2013 (40:6 Md. R. 470) emergency action expired effective July 20, 2013 ―Regulation .02D amended effective October 23, 2017 (44:21 Md. R. 985). Regulation .07 amended effective March 30, 2015 (42:6 Md. R. 515). Regulation .07F amended effective August 17, 2015 (42:16 Md. R. 1056). Regulation .07F, L amended effective September 26, 2016 (43:19 Md. R. 1073).
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