California Code of Regulations › Title 4 - Business Regulations › Division 18 - California Gambling Control Commission › Chapter 10 - Discipline, Hearings, and Decisions › Section 12556 - Factors in Mitigation or Aggravation of Penalty

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Factors in mitigation may reduce a minimum penalty of
				  suspension listed in this chapter, either in number of days suspended and/or in
				  the proposal to stay a suspension for a period of probation and the payment of
				  any monetary penalty. Factors in aggravation may increase a penalty or be taken
				  into consideration in determining whether or not to allow a suspension to be
				  stayed upon payment of a monetary penalty. If presented by complainant or
				  respondent, the Commission will consider the following factors in mitigation or
				  aggravation of the penalty imposed:
(a) Violation of any previously imposed or
				agreed upon condition, restriction or directive.
(b) Whether or not the conduct was knowing,
				willful, reckless, or inadvertent.
(c) The extent to which respondent cooperated
				with the Bureau or Commission during the investigation of the
				violation.
(d) The extent to which
				respondent was honest with the Bureau or Commission during the investigation of
				the violation.
(e) The extent to
				which respondent is willing to reimburse or otherwise make whole any person who
				has suffered a loss due to the violation.
(f) Whether respondent has initiated remedial
				measures to prevent similar violations.
(g) The extent to which respondent realized
				an economic gain from the violation.
(h) Disciplinary history of respondent,
				repeated offenses of the same or similar nature, or evidence that the unlawful
				act was part of a pattern or practice, including the frequency or duration of
				any pattern or practice which violates applicable law.
(i) Any other aggravating factors, including
				any factors which the Commission determines to bear on the health, safety, or
				welfare of the public.
(j) The
				extent to which there was actual or potential harm to the public or to any
				patron.
(k) The extent to which a
				cardroom business licensee, key employee licensee, TPPPS owner type licensee,
				or TPPPS supervisor licensee exercised due diligence in management or
				supervision.
(l) If the violation
				was caused by an employee category licensee or independent contractor of an
				owner category licensee, the extent to which the owner category licensee knew
				or should have known of the employee category licensee's or independent
				contractor's improper conduct; the level of authority of the employee category
				licensee or independent contractor involved and the extent to which the
				employee category licensee or independent contractor acted within the scope of
				his or her authority in committing the violation.
(m) If the violation was caused by an owner
				category licensee, the extent to which the owner category licensee knew or
				should have known of the improper conduct.
(n) If the violation was caused or committed
				by a TPPPS category licensee, the extent to which the cardroom business
				licensee or TPPPS owner type licensee knew or should have known of the TPPPS
				category licensee's improper conduct.
(o) Any relevant evidence offered by
				respondent in mitigation of the violation.
1. New section
				  filed 2-8-2007; operative 3-10-2007 (Register 2007, No. 6).
2.
				  Change without regulatory effect amending subsections (c)-(d) filed 8-8-2008
				  pursuant to section
				  100, title 1, California Code of
				  Regulations (Register 2008, No. 32).
3. Amendment filed 12-12-2020;
				  operative 1-1-2021 pursuant to Government Code section
				  11343.4(b)
				  (Register 2020, No. 51). Filing deadline specified in Government Code section
				  11349.3(a)
				  extended 60 calendar days pursuant to Executive Order N-40-20.
Note: Authority cited: Sections
					 19825,
					 19840
					 and
					 19930,
					 Business and Professions Code. Reference: Sections
					 19825,
					 19920,
					 19930
					 and
					 19984,
					 Business and Professions Code.