<?xml version='1.0' encoding='utf-8'?>
<regulation prefix="Regulation" num=".03" citation="COMAR 36.10.02.03" title_num="36" subtitle_num="10" chapter_num="02" heading="Process.">
  <paragraph num="A.">
    <text>Submission Requirements.</text>
    <paragraph num="(1)">
      <text>If the Commission requires an application to be submitted by a particular date:</text>
      <paragraph num="(a)">
        <text>The application and nonrefundable application fee shall be delivered to the Commission not later than 5 p.m. on the date specified by the Commission; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>An application submitted after the deadline may not be accepted or considered by the Commission.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>An applicant may not submit an application less than 1 year after the Commission has:</text>
      <paragraph num="(a)">
        <text>Taken final action on a license denial of a previous license application involving the applicant;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Taken final action on a sanction resulting in revocation of a previous license involving the applicant; or</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Provided an individual with written notice of termination of a temporary license.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="B.">
    <text>Applications.</text>
    <paragraph num="(1)">
      <text>An application submitted to the Commission shall:</text>
      <paragraph num="(a)">
        <text>Consist of an original and the number of copies required by the Commission and shall be in an electronic format or other format required by the Commission; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Be sworn before a notary public as to its truth and validity by the applicant or, if the applicant is not an individual, by the chief executive officer of the applicant.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>An applicant shall include the applicable nonrefundable application fee with the license application.</text>
    </paragraph>
    <paragraph num="(3)">
      <text>Upon receipt of a timely application and application fee, the Commission staff shall review the application to determine whether it contains all the information required under this chapter.</text>
    </paragraph>
    <paragraph num="(4)">
      <text>If the Commission determines that required information has not been submitted, Commission staff shall notify the applicant in writing of the nature of the deficiency.</text>
    </paragraph>
    <paragraph num="(5)">
      <text>An applicant notified in accordance with §B(4) of this regulation may submit the documents necessary to complete the application not later than 15 days after the Commission issues the notification.</text>
    </paragraph>
    <paragraph num="(6)">
      <text>The Commission may not consider the application of an applicant who is notified in accordance with §B(4) of this regulation and who fails to submit the requested documents in a timely manner.</text>
    </paragraph>
    <paragraph num="(7)">
      <text>The Commission shall review and consider a timely, complete application submitted as required in this regulation.</text>
    </paragraph>
  </paragraph>
  <paragraph num="C.">
    <text>Changes in Application.</text>
    <paragraph num="(1)">
      <text>If information submitted by an applicant as part of a license application changes or becomes inaccurate before the Commission acts on the application, the applicant shall immediately notify the Commission in writing of the change or inaccuracy.</text>
    </paragraph>
    <paragraph num="(2)">
      <text>After an application has been filed by an applicant, the applicant may not amend the application except to:</text>
      <paragraph num="(a)">
        <text>Address a deficiency in accordance with a notice sent under §B(4) of this regulation;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Clarify information contained in the application as required by the Commission or the Commission staff; or</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Address a change in the circumstances surrounding the application that was outside the control of the applicant and that affects the ability of the applicant to comply with the law or the regulations of the Commission.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(3)">
      <text>To amend an application under §C(2)(c) of this regulation, an applicant shall submit to the Commission a written request to amend the application, stating:</text>
      <paragraph num="(a)">
        <text>The change in the circumstances surrounding the application that necessitates the amendment;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>The nature of the amendment; and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>The reason why the amendment is necessary to bring the application into compliance with the law or the regulations of the Commission.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(4)">
      <text>The Commission or Commission staff shall grant or deny each request submitted under §C(3) of this regulation and notify the applicant.</text>
    </paragraph>
    <paragraph num="(5)">
      <text>A request shall be granted if the applicant establishes by clear and convincing evidence that:</text>
      <paragraph num="(a)">
        <text>The circumstances requiring the amendment were outside the control of the applicant;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Before the change in the circumstances surrounding the application, the application complied with the applicable provisions of law or regulations of the Commission; and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>The amendment is necessary to bring the application into compliance with the applicable provisions of the law or regulations of the Commission.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(6)">
      <text>An applicant may withdraw a license application if:</text>
      <paragraph num="(a)">
        <text>The applicant submits a written request to the Commission to withdraw the application; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>The written request is submitted before the Commission has:</text>
        <paragraph num="(i)">
          <text>Denied the application; or</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Terminated a temporary license.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="(7)">
      <text>If an applicant withdraws an application, the application fee will not be refunded.</text>
    </paragraph>
  </paragraph>
  <paragraph num="D.">
    <text>Notice of Intended Change in Licensed Sports Wagering Employee’s Employment Status.</text>
    <paragraph num="(1)">
      <text>Within 14 calendar days of a change in employment status, a licensee shall notify the Commission of the intended change in employment by submitting forms and documents required by the Commission in the manner set forth in §B of this regulation.</text>
    </paragraph>
    <paragraph num="(2)">
      <text>The Commission shall conduct a background investigation of the individual to verify that the individual’s license remains in good standing.</text>
    </paragraph>
    <paragraph num="(3)">
      <text>If the Commission determines that the individual’s license is not in good standing, the Commission shall notify the individual and, within 15 days after the Commission issues the notification, the licensee shall submit:</text>
      <paragraph num="(a)">
        <text>Information, documentation, or assurances to establish, by clear and convincing evidence, that the licensee remains qualified to hold a license; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Any other information, documentation, or assurances required by the Commission.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(4)">
      <text>If the licensee has been separated from employment with a sports wagering facility licensee, sports wagering operator licensee, mobile sports wagering facility licensee, or online sports wagering licensee for more than 6 months and notified the Commission of an intended change in employment status, the licensee shall pay the fee for conducting a criminal history records check specified in Regulation .05B of this chapter.</text>
    </paragraph>
    <paragraph num="(5)">
      <text>The Commission may not approve a change in employment status for a sports wagering employee licensee who fails to establish, by clear and convincing evidence, all license qualification criteria.</text>
    </paragraph>
    <paragraph num="(6)">
      <text>A sports wagering employee may not effect a change in employment status without prior Commission approval.</text>
    </paragraph>
  </paragraph>
  <paragraph num="E.">
    <text>Burden of Proof. Under all circumstances, the burden of proof shall be on the person that is required to be licensed, maintain the license, or qualified to establish, by clear and convincing evidence, the person is eligible and qualified as required under State Government Article, Title 9, Subtitle 1E, Annotated Code of Maryland, and the Commission’s regulations.</text>
  </paragraph>
  <paragraph num="F.">
    <text>Administrative Costs of Background Investigations.</text>
    <paragraph num="(1)">
      <text>Promptly upon receipt of an invoice from the Commission, an applicant for a license or a licensee who has notified the Commission of an intended change in employment status shall reimburse the Commission for:</text>
      <paragraph num="(a)">
        <text>The administrative costs associated with performing background investigations of the applicant, the licensee who has notified the Commission of an intended change in employment status, and any individual required to provide information under Regulation .06 of this chapter; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Any payments made by the Commission to a person approved by the Commission to conduct background investigations.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>Failure to reimburse the Commission shall be grounds for disqualification of an applicant or disapproval of a licensee’s change in employment status.</text>
    </paragraph>
    <paragraph num="(3)">
      <text>The Commission may require an advance deposit from an applicant or licensee who has notified the Commission of an intended change in employment status for the Commission’s estimate of the administrative costs of conducting the applicant’s or licensee’s background investigation.</text>
    </paragraph>
    <paragraph num="(4)">
      <text>If administrative costs of conducting an applicant’s or licensee’s background investigation exceed the estimate provided in §F(3), the applicant or licensee shall pay the additional costs prior to the Commission finalizing the background investigation.</text>
    </paragraph>
    <paragraph num="(5)">
      <text>The Commission shall refund to an applicant any unused amount of the advance deposit.</text>
    </paragraph>
  </paragraph>
  <paragraph num="G.">
    <text>Payment and Collection.</text>
    <paragraph num="(1)">
      <text>An applicant shall pay the administrative costs and fees required under this regulation by:</text>
      <paragraph num="(a)">
        <text>Wire transfer;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Money order;</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Certified check made payable to the “Maryland Lottery and Gaming Control Commission”; or</text>
      </paragraph>
      <paragraph num="(d)">
        <text>Any other manner designated by the Commission.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>The Commission may address an applicant’s or licensee’s failure to pay a required fee, penalty, or proceeds:</text>
      <paragraph num="(a)">
        <text>As provided in COMAR 36.10.12; or</text>
      </paragraph>
      <paragraph num="(b)">
        <text>By filing a claim against the performance bond that covers the applicant.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="H.">
    <text>Continuing Obligations.</text>
    <paragraph num="(1)">
      <text>At all times, a person who is awarded or issued a license, and a person who is otherwise required to meet Commission qualifications, shall conform to all of the information contained in the license application and documents submitted to SWARC and the Commission.</text>
    </paragraph>
    <paragraph num="(2)">
      <text>An applicant or licensee may not discriminate against a person who in good faith informs the Commission of an act or omission that the person believes constitutes a violation of State Government Article, Title 9, Subtitle 1E, Annotated Code of Maryland, or regulations promulgated by the SWARC or the Commission.</text>
    </paragraph>
    <paragraph num="(3)">
      <text>If information submitted to the SWARC or the Commission by a person described in §H(1) of this regulation changes during the term of the license or qualification, the person shall immediately submit written notification of the change to the Commission.</text>
    </paragraph>
    <paragraph num="(4)">
      <text>An applicant or licensee has an affirmative and continuing obligation to:</text>
      <paragraph num="(a)">
        <text>Inform the Commission of an act or omission that the applicant or licensee knows or should have known constitutes a violation of State Government Article, Title 9, Subtitle 1E, Annotated Code of Maryland, or the Commission’s regulations;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Provide the Commission with all information relating to qualifications in the form specified by the Commission;</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Provide assistance and information required by the Commission;</text>
      </paragraph>
      <paragraph num="(d)">
        <text>Cooperate in a Commission inquiry, investigation, or hearing;</text>
      </paragraph>
      <paragraph num="(e)">
        <text>On issuance of a request to answer or produce information, evidence, or testimony requested by the Commission, provide it; and</text>
      </paragraph>
      <paragraph num="(f)">
        <text>As required under State Government Article, §9-1E-07(b)(3), Annotated Code of Maryland, comply with any Commission request or requirement for information and records necessary for setting reasonable and appropriate minority business enterprise participation goals and procedures for the procurement of goods and service related to sports wagering, including procurement of construction, equipment, and ongoing services.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(5)">
      <text>Failure to comply with the obligations of §H of this regulation shall be grounds for the Commission taking enforcement action under COMAR 36.10.08.</text>
    </paragraph>
  </paragraph>
</regulation>