Chapter 11. Mandatory Exclusion
Regulation .01 Definition.LinkCopy Citation
Unless context dictates otherwise, for purposes of this chapter, “sports wagering licensee” includes:
(1)
Sports wagering facility licensee;
(2)
Mobile sports wagering licensee;
(3)
Sports wagering facility operator licensee; and
(4)
Online sports wagering operator licensee.
Regulation .02 General.LinkCopy Citation
This chapter establishes a mechanism by which the Commission:
A.
Maintains a list of individuals who shall be mandatorily:
(1)
Excluded from participating in sports wagering; and
(2)
Excluded or ejected from the part of the premises of a sports wagering licensee where sports wagering is conducted; and
B.
Establishes standards that require a sports wagering licensee to:
(1)
Exclude an individual from participating in sports wagering;
(2)
Exclude or eject an individual from the part of the premises of a sports wagering licensee where sports wagering is conducted; and
(3)
Ensure that an individual under the age of 21 does not participate in sports wagering and are not allowed in the part of the premises of a sports wagering licensee where sports wagering is conducted including the platform of a sports wagering licensee.
Regulation .03 Prohibitions.LinkCopy Citation
A.
An individual who has been placed on the Commission’s mandatory exclusion list from sports wagering under this chapter may not:
(1)
Engage in sports wagering; or
(2)
Be on the part of the premises of a sports wagering licensee where sports wagering is conducted.
B.
Unless excluded by operation of another directive or order outside the Commission, an individual who has been placed on a voluntary or mandatory exclusion list of the Commission that is not under this subtitle may engage in sports wagering.
Regulation .04 Mandatory Exclusion List.LinkCopy Citation
A.
The Commission shall establish a mandatory exclusion list for the Sports Wagering Program.
B.
The Director may place on the mandatory exclusion list an individual who:
(1)
Is a career offender as defined in State Government Article, §9-1A-01, Annotated Code of Maryland;
(2)
Has been convicted of a criminal offense under the laws of the United States or any jurisdiction within the United States that is a criminal offense involving moral turpitude or a gambling or sports wagering offense;
(3)
Would adversely affect the interests of the State, the licensee, or the individual if that individual were to participate in sports wagering;
(4)
Is the subject of any administrative or judicial order directing the individual to cease participating in sports wagering;
(5)
Presents a threat to the safety of any individual on the premises of a wagering facility;
(6)
Engages in, or has a documented history of engaging in, disruption of sports wagering;
(7)
The sports wagering licensee has a reasonable belief has cheated, or attempted to cheat; or
(8)
Engages in any conduct that may adversely affect public confidence in, or perception of, the State’s Sports Wagering Program.
C.
In evaluating whether to place an individual on the mandatory exclusion list, the Director may consider monetary amounts and circumstances, including:
(1)
The nature of the incident;
(2)
Whether the individual was a sports wagering employee at the time of the incident;
(3)
If the individual was a sports wagering employee while the individual engaged in conduct described in §B of this regulation;
(4)
Whether the incident directly impacts:
(a)
Sports wagering operations;
(b)
A bettor; or
(c)
A licensee;
(5)
The amount or type of loss to:
(a)
The sports wagering licensee;
(b)
Sports wagering operations;
(c)
A bettor; or
(d)
A licensee;
(6)
Whether the individual made restitution;
(7)
Whether the individual was involved in a prior incident that meets the criteria of §B of this regulation;
(8)
Whether a sports wagering licensee has other information the Director finds relevant; and
(9)
Any other information the Director finds relevant.
D.
The Commission’s entry of an individual on the mandatory exclusion list shall include sufficient information to identify the excluded individual.
E.
The information used to identify an excluded individual may include:
(1)
The individual’s:
(a)
Name and any nickname or alias;
(b)
Residential address;
(c)
Telephone numbers;
(d)
Gender;
(e)
Physical description, including any birthmarks, scars, or tattoos;
(f)
Race or ethnic origin;
(g)
For non-United States citizens, country of origin;
(h)
Photograph; and
(i)
Social security number or other government issued identification number;
(2)
Date of placement on the mandatory exclusion list;
(3)
Brief statement of the basis for placing the individual on the mandatory exclusion list; and
(4)
Any other information the Commission requires.
F.
The mandatory exclusion list and related records are public records under General Provisions Article, §4-101, Annotated Code of Maryland.
Regulation .05 Inclusion on Mandatory Exclusion List.LinkCopy Citation
A.
Upon receipt of information that reasonably indicates an individual meets any criteria under Regulation .04B of this chapter, and after making any determination under Regulation .04 of this chapter, the Director shall:
(1)
Evaluate the information;
(2)
Ensure that the information required under Regulation .04E of this chapter sufficiently identifies the individual; and
(3)
Decide whether to place the individual on the mandatory exclusion list.
B.
Prior to placing an individual on the mandatory exclusion list, the Director or the Director’s designee may provide a sports wagering licensee with:
(1)
Information used to identify an individual who may be excluded;
(2)
The factual basis for placing an individual on the mandatory exclusion list; and
(3)
An opportunity to provide the Director with additional information identified in Regulation .04 of this chapter.
C.
If the Director decides to place an individual on the mandatory exclusion list, staff shall deliver to the individual by U.S. mail a written notice explaining:
(1)
The factual basis for placing the individual on the mandatory exclusion list;
(2)
The availability of a reconsideration meeting with the Director or the Director’s designee;
(3)
The requirements for submitting a request for a reconsideration meeting;
(4)
That, if a timely request for a reconsideration meeting is not submitted, the placement of the individual’s name on a mandatory exclusion list and the distribution of the individual’s name to all sports wagering licensees in the State is available to the public; and
(5)
That the excluded individual shall be:
(a)
Prohibited from the part of the premises of a sports wagering licensee where sports wagering is conducted and from participating in sports wagering;
(b)
Subject to criminal charges for trespassing or any other appropriate criminal charge; and
(c)
Required to:
(i)
Redeem or liquidate unredeemed items that the individual has received since being placed on the mandatory exclusion list; and
(ii)
Surrender to the Problem Gambling Fund established under State Government Article, §9-1A-33, Annotated Code of Maryland, any unredeemed items in the possession of the individual or received by the individual while participating in sports wagering after placement on the mandatory exclusion list.
D.
Reconsideration Meeting.
(1)
An individual may submit to the Director a written request for a reconsideration meeting within 15 days of the date of the individual’s receipt of the notice described in §C of this regulation.
(2)
If an individual fails to timely submit a request under §D(1) of this regulation, the individual shall be placed on the mandatory exclusion list.
(3)
A reconsideration meeting may be held by the Director or the Director’s designee.
(4)
During a reconsideration meeting, an individual may:
(a)
Be represented by counsel; and
(b)
Present evidence as to why the individual does not meet the criteria under Regulation .04B of this chapter.
(5)
The Director or the Director’s designee shall deliver to the individual by U.S. mail a written notice of the decision following the reconsideration meeting.
(6)
An individual dissatisfied with the result of a reconsideration meeting may submit a written request to the Commission for an appeal hearing.
(7)
The request for an appeal hearing shall:
(a)
Be submitted within 15 days of the date of the individual’s receipt of the written notice of the decision following the reconsideration meeting; and
(b)
Describe the individual’s legal and factual bases for disagreeing with placement on the mandatory exclusion list.
(8)
If an individual fails to timely submit a written request for an appeal hearing under §D(7) of this regulation, the individual shall be placed on the mandatory exclusion list.
(9)
Upon receipt of a timely written request for an appeal hearing, the Director or the Director’s designee shall provide the individual with a notice for the appeal hearing.
E.
Appeal Hearing.
(1)
If after an appeal hearing the Commission decides that the excluded individual does not meet any criteria under Regulation .04B of this chapter, the individual’s name may not be placed on the mandatory exclusion list.
(2)
If after an appeal hearing the Commission decides that the excluded individual meets any criteria under Regulation .04B of this chapter:
(a)
The individual’s name shall remain on the mandatory exclusion list;
(b)
The Commission shall notify all sports wagering licensees in the State of the individual’s addition to the mandatory exclusion list;
(c)
The individual may seek judicial review of the Commission’s decision; and
(d)
The individual may request to be removed from the mandatory exclusion list only as provided in Regulation .06 of this chapter.
Regulation .06 Removal from Mandatory Exclusion List.LinkCopy Citation
A.
After an excluded individual has been on the mandatory exclusion list for at least 5 years, the individual may request removal from the mandatory exclusion list.
B.
An excluded individual’s request under §A of this regulation shall be submitted to the Director in writing and shall include a detailed statement about why there is:
(1)
Good cause for removal of the individual from the list; and
(2)
A material change in the individual’s circumstances since the individual’s name was placed on the list.
C.
The Director or the Director’s designee shall investigate the request and make a recommendation to the Commission whether to grant or deny the request.
D.
If the Director or the Director’s designee recommends removing the individual from the list, the Commission may approve the recommendation without a hearing, and staff shall:
(1)
Remove the individual from the mandatory exclusion list;
(2)
Deliver to the individual by U.S. mail a notice of removal from the mandatory exclusion list; and
(3)
Notify the State’s sports wagering licensees of the individual’s removal from the mandatory exclusion list.
E.
If the Director or the Director’s designee recommends continued inclusion on the mandatory exclusion list, the excluded individual may submit a written request for an appeal hearing to the Commission.
F.
Appeal Hearing.
(1)
The request for an appeal hearing shall:
(a)
Be submitted within 15 days of the date of the individual’s receipt of the written notice of the recommendation of the Director or the Director’s designee; and
(b)
Describe the individual’s legal and factual bases for disagreeing with the recommendation.
(2)
If an individual fails to timely submit a written request for an appeal hearing under §F(1)(a) of this regulation, the individual shall remain on the mandatory exclusion list.
(3)
Upon receipt of a timely written request for an appeal hearing, the Director shall provide the individual with a hearing notice for a hearing.
G.
If after a hearing the Commission denies the individual’s request for removal, it shall deliver to the individual by U.S. mail a notice that the:
(1)
Request was denied; and
(2)
Individual shall remain on the mandatory exclusion list.
H.
Separate from the individual’s ability to request removal under §A of this regulation, the Director shall periodically review the mandatory exclusion list and may consider the following in order to determine if an individual should be removed:
(1)
Whether the individual is living;
(2)
Whether there are changed circumstances; or
(3)
Whether removal is warranted due to any other relevant information.
Regulation .07 Judicial Review.LinkCopy Citation
The Commission’s decision under Regulations .05E(2) and .06G of this chapter may be subject to judicial review.
Regulation .08 Enforcement.LinkCopy Citation
A sports wagering licensee may not:
A.
Knowingly fail to exclude or eject an excluded individual from the property of a sports wagering licensee for which it is licensed or authorized to operate;
B.
Fail to notify the Commission if an excluded individual is prohibited from entering any sports wagering facility;
C.
Fail to notify the Commission if an excluded individual is prohibited from participating in sports wagering through a sports wagering licensee including through a sports wagering platform;
D.
Permit an individual younger than 21 years old to:
(1)
Participate in sports wagering; or
(2)
Enter the part of the premises of a sports wagering facility it is licensed or authorized to operate where sports wagering is conducted;
E.
Knowingly allow to collect winnings an:
(1)
Excluded individual; or
(2)
Individual younger than 21 years old; or
F.
Fail to obtain any unredeemed items in the possession of an excluded individual and transfer them to the Problem Gambling Fund established under State Government Article, §9-1A-33, Annotated Code of Maryland.
Regulation .09 Sports Wagering Licensee’s Mandatory Exclusion Plan.LinkCopy Citation
A.
A sports wagering licensee shall establish a plan for identifying and:
(1)
Excluding or ejecting excluded individuals from a sports wagering facility or from participating in sports wagering; and
(2)
Ensuring that excluded individuals and individuals younger than 21 years old are not allowed to:
(a)
Participate in sports wagering; and
(b)
Enter the part of the premises of a sports wagering licensee where sports wagering is conducted.
B.
The plan required under §A of this regulation shall include:
(1)
Goals;
(2)
Procedures and deadlines for implementation;
(3)
Identification of facility personnel responsible for implementation;
(4)
Responsibilities of sports wagering licensee’s personnel identified as responsible for implementation;
(5)
Training for sports wagering licensee’s personnel on the requirements of this chapter;
(6)
Regular monitoring of the mandatory exclusion list;
(7)
Prompt reports to the Commission about the presence at a wagering facility of an individual who:
(a)
Is included on the mandatory exclusion list; and
(b)
Is required to be prevented from participating in sports wagering;
(8)
Prompt reports to the Commission about an individual who is permanently excluded from participating in sports wagering;
(9)
The sports wagering licensee’s response to the discovery of an individual who is on the mandatory exclusion list at the property of a sports wagering licensee or participating in sports wagering, which may include pursuing criminal charges against the individual; and
(10)
Any other element required by the Commission.
C.
A sports wagering licensee shall submit to the Commission for its approval:
(1)
At least 60 days before sports wagering operations are to commence, the mandatory exclusion plan required under §A of this regulation;
(2)
Any amendments to a sports wagering licensee’s mandatory exclusion plan prior to implementation; and
(3)
An annual report describing the operation of the sports wagering licensee’s mandatory exclusion plan.
Chapter annotations
Authority: State Government Article, §§9-1A-24, 9-1E-04, and 9-1E-01—9-1E-15, Annotated Code of Maryland
History: Effective date:
History: Regulations .01—.09 adopted as an emergency provision effective August 5, 2021 (48:18 Md. R. 690); adopted permanently effective January 13, 2022 (49:1 Md. R. 16)