1. A. Consequences. For a violation of Regulation .03 of this chapter, the Commission may impose a:

   1. (1) Penalty not exceeding $5,000 for each day and each violation;

   2. (2) Sanction, including:

      1. (a) Revocation of a license;
      2. (b) Suspension of a license for a period of time;
      3. (c) Reprimand; or

      4. (d) Condition that must be met within a specified time as to:

         1. (i) Training;
         2. (ii) Staffing;
         3. (iii) Supervision;
         4. (iv) Compliance with internal controls;
         5. (v) Probationary periods; or
         6. (vi) Any other directive to address the violation.

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

   1. (1) The seriousness of the violation;
   2. (2) The harm caused by the violation; and
   3. (3) Whether the person who committed the violation acted in good faith.

3. 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. (1) Whether a violation was willful;
   2. (2) Whether the licensee had, or should have had, control of the situation;

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

      1. (a) Information;
      2. (b) Training;
      3. (c) Communication; or
      4. (d) Requirements;
   4. (4) Any extraordinary circumstances;
   5. (5) Prior disciplinary history with the Commission;
   6. (6) Profit that resulted, or may have resulted, from the violation;
   7. (7) Harm that resulted, or may have resulted, from the violation;
   8. (8) How the violation was detected;
   9. (9) Tailoring the discipline to address the violation;
   10. (10) Action taken by the licensee to prevent recurrence of the violation;
   11. (11) Action taken by the Commission to address similar violations; and
   12. (12) Any other information that the Commission finds relevant.
4. 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.
5. E. Imposition of penalty and sanction. A penalty and a sanction may be imposed for each violation.

Authority: State Government Article, §§9-1A-04, 9-1A-24, and 9-1A-25, Annotated Code of Maryland

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 .03C amended effective October 19, 2020 (47:21 Md. R. 905)

Regulation .07 amended effective September 26, 2016 (43:19 Md. R. 1073)