Regulation .09 Imposition of Penalties and Sanctions.
Regulation .09 Imposition of Penalties and Sanctions.LinkCopy Citation
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.