# COMAR Title 36 — Maryland State Lottery and Gaming Control Agency

## Subtitle 01 — General Provisions

### Chapter 01 — General

#### Regulation .06 Code of Conduct.

*COMAR 36.01.01.06*

A. Definitions.

  (1) In this regulation, the following terms have the meanings indicated.

  (2) Terms Defined.

    (a) “Agency employee” means an employee of the Agency

    (b) “Code of conduct” means the document that identifies activities prohibited for employees of the Agency and Commission members.

    (c) “Complaint” means the submission of a communication to the Agency or the Commission alleging a violation of a law, regulation, or the code of conduct.

    (d) “Conflict of interest” means a situation in which a personal interest of a Commission member or an Agency employee may compromise the individual’s judgment, decisions or actions.

    (e) “Ex parte communication” means a written or oral communication that happens without the knowledge, consent, or presence of all parties involved involving a matter that is pending before the Commission.

    (f) “Recusal” means that a Commission member or an Agency employee does not participate in a specific matter.

B. Establishment and Compliance.

  (1) The Director shall establish a code of conduct.

  (2) Commission members and Agency employees shall comply with the code of conduct.

  (3) A violation of the code of conduct constitutes a violation of this regulation.

  (4) The Agency or Commission may report a violation to the State Ethics Commission.

  (5) An Agency employee who violates the code of conduct may be subject to disciplinary action.

C. Recusal of a Commission Member.

  (1) A Commission member may not participate in a Commission matter in which the member:

    (a) Has a conflict of interest; or

    (b) For any reason, is unable to participate fairly and impartially.

  (2) A Commission members familiarity with a person does not, of itself, require recusal of the Commission member.

  (3) A Commission member who is recused from a matter before the Commission may not:

    (a) Participate in the Commission's discussion or vote on the matter; or

    (b) Discuss the matter or the Commission's review of the matter with a Commission member or any other person.

  (4) A Commission member who is recused from a hearing, discussion, or voting on a matter shall:

    (a) If in person, physically leave the meeting; or

    (b) If remote, disconnect from the virtual meeting.

  (5) The Commission shall document the recusal of the Commission member in the minutes of the Commission meeting from which the member was recused.

D. Allegation of a Violation of the Code of Conduct.

  (1) A Commission member against whom a complaint is made shall follow §C(3) and (4) of this regulation.

  (2) Upon receipt of a complaint, the Commission may:

    (a) Direct the Agency to investigate; or

    (b) Refer the complaint to appropriate unit of State government.

  (3) An Agency employee who has a conflict of interest pertaining to the Commission member who is the subject of the complaint may not participate in an investigation of the complaint.

  (4) The Commission member who is the subject of the complaint may not participate in any Commission activity until the complaint is resolved.

E. Confidentiality.

  (1) A Commission member or Agency employee may not discuss a confidential matter with a person other than:

    (a) A Commission member;

    (b) An Agency employee;

    (c) The Attorney General's Office;

    (d) A witness; or

    (e) Another person authorized by law to be involved in the case.

  (2) In the case of an ex parte communication, the Commission member shall follow the provisions of State Government Article, §10-219, Annotated Code of Maryland.