Md. Code Regs. 36.03.04.09

Current through Register Vol. 51, No. 12, June 14, 2024

Section 36.03.04.09 - 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;

(v) Probationary periods; or

(vi) Any other directive to address the violation.

B. Penalty"Required Considerations.To determine the amount of a penalty to impose on a licensee, the Commission shall consider:

(1) The seriousness of the violation;

(2) The harm caused by the violation; and

(3) Whether the person who committed the violation acted in good faith.

C. Sanction"Considerations.To determine the appropriate sanction to impose on a licensee, the Commission may consider the factors in §B of this regulation, and:

(1) Whether a violation was willful;

(2) Whether the licensee had, or should have had, control of the situation;

(3) Whether the violation may have occurred in connection with unclear or insufficient:

(a) Information;

(b) Training;

(c) Communication; or

(d) Requirements;

(4) Any extraordinary circumstances;

(5) Prior disciplinary history with the Commission;

(6) Profit that resulted, or may have resulted, from the violation;

(7) Harm that resulted, or may have resulted, from the violation;

(8) How the violation was detected;

(9) Tailoring the discipline to address the violation;

(10) Action taken by the licensee to prevent recurrence of the violation;

(11) Action taken by the Commission to address similar violations; and

(12) Any other information that the Commission finds relevant.

D. Ignorance No Defense.Because a licensee is presumed to be familiar with applicable statutes and regulations governing the State's video lottery terminal program, a claim of ignorance of the law may not be used as a defense to a finding of a violation or to the imposition of a penalty or sanction.

E. Imposition of penalty and sanction.A penalty and a sanction may be imposed for each violation.

Md. Code Regs. 36.03.04.09

Regulations .09 adopted effective 40:15 Md. R. 1233, eff.8/5/2013