<?xml version='1.0' encoding='utf-8'?>
<regulation prefix="Regulation" num=".09" citation="COMAR 36.03.04.09" title_num="36" subtitle_num="03" chapter_num="04" heading="Imposition of Penalties and Sanctions.">
  <paragraph num="A.">
    <text>Consequences.  For a violation of Regulation .03 of this chapter, the Commission may impose a:</text>
    <paragraph num="(1)">
      <text>Penalty not exceeding $5,000 for each day and each violation;</text>
    </paragraph>
    <paragraph num="(2)">
      <text>Sanction, including:</text>
      <paragraph num="(a)">
        <text>Revocation of a license;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Suspension of a license for a period of time;</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Reprimand; or</text>
      </paragraph>
      <paragraph num="(d)">
        <text>Condition that must be met within a specified time as to:</text>
        <paragraph num="(i)">
          <text>Training;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Staffing;</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Supervision;</text>
        </paragraph>
        <paragraph num="(iv)">
          <text>Compliance with internal controls;</text>
        </paragraph>
        <paragraph num="(v)">
          <text>Probationary periods; or</text>
        </paragraph>
        <paragraph num="(vi)">
          <text>Any other directive to address the violation.</text>
        </paragraph>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="B.">
    <text>Penalty—Required Considerations.  To determine the amount of a penalty to impose on a licensee, the Commission shall consider:</text>
    <paragraph num="(1)">
      <text>The seriousness of the violation;</text>
    </paragraph>
    <paragraph num="(2)">
      <text>The harm caused by the violation; and</text>
    </paragraph>
    <paragraph num="(3)">
      <text>Whether the person who committed the violation acted in good faith.</text>
    </paragraph>
  </paragraph>
  <paragraph num="C.">
    <text>Sanction—Considerations.  To determine the appropriate sanction to impose on a licensee, the Commission may consider the factors in §B of this regulation, and:</text>
    <paragraph num="(1)">
      <text>Whether a violation was willful;</text>
    </paragraph>
    <paragraph num="(2)">
      <text>Whether the licensee had, or should have had, control of the situation;</text>
    </paragraph>
    <paragraph num="(3)">
      <text>Whether the violation may have occurred in connection with unclear or insufficient:</text>
      <paragraph num="(a)">
        <text>Information;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Training;</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Communication; or</text>
      </paragraph>
      <paragraph num="(d)">
        <text>Requirements;</text>
      </paragraph>
    </paragraph>
    <paragraph num="(4)">
      <text>Any extraordinary circumstances;</text>
    </paragraph>
    <paragraph num="(5)">
      <text>Prior disciplinary history with the Commission;</text>
    </paragraph>
    <paragraph num="(6)">
      <text>Profit that resulted, or may have resulted, from the violation;</text>
    </paragraph>
    <paragraph num="(7)">
      <text>Harm that resulted, or may have resulted, from the violation;</text>
    </paragraph>
    <paragraph num="(8)">
      <text>How the violation was detected;</text>
    </paragraph>
    <paragraph num="(9)">
      <text>Tailoring the discipline to address the violation;</text>
    </paragraph>
    <paragraph num="(10)">
      <text>Action taken by the licensee to prevent recurrence of the violation;</text>
    </paragraph>
    <paragraph num="(11)">
      <text>Action taken by the Commission to address similar violations; and</text>
    </paragraph>
    <paragraph num="(12)">
      <text>Any other information that the Commission finds relevant.</text>
    </paragraph>
  </paragraph>
  <paragraph num="D.">
    <text>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.</text>
  </paragraph>
  <paragraph num="E.">
    <text>Imposition of penalty and sanction.  A penalty and a sanction may be imposed for each violation.</text>
  </paragraph>
</regulation>