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

## Subtitle 03 — Gaming Provisions

### Chapter 04 — Enforcement

#### Regulation .09 Imposition of Penalties and Sanctions.

*COMAR 36.03.04.09*

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.