reglab/statecodes huggingface dataset:
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.04 - Enforcement › Section 36.03.04.09 - Imposition of Penalties and Sanctions

Current through Register Vol. 51, No. 14, July 12, 2024
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.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.04 - Enforcement › Section 36.03.04.10 - Commission Action

Current through Register Vol. 51, No. 14, July 12, 2024
A. Commission
				action against a licensee for a violation of Regulation .03 of this chapter
				shall be conducted as specified in COMAR
				36.01.02.06, and the Commission
				shall:
(1) Make a finding whether the licensee
				violated a provision of Regulation .03 of this chapter; and
(2) If the licensee violated a provision of
				Regulation .03 of this chapter, decide whether, and to what extent, to impose a
				penalty or sanction.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.05 - Unannounced Inspections › Section 36.03.05.01 - General

Current through Register Vol. 51, No. 14, July 12, 2024
This chapter establishes the manner and method by which the
				  Commission may conduct an unannounced inspection of the premises, records, and
				  equipment of a licensee and related entities in order to evaluate and verify a
				  licensee's compliance with State Government Article, Title 9, Subtitle 1A,
				  Annotated Code of Maryland, and the regulations promulgated by the Commission
				  for the Video Lottery Terminal Program.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.05 - Unannounced Inspections › Section 36.03.05.02 - Inspections

Current through Register Vol. 51, No. 14, July 12, 2024
A. A licensee is
				subject to unannounced inspections conducted by the Commission in order to
				evaluate and verify the licensee's compliance with State Government Article,
				Title 9, Subtitle 1A, Annotated Code of Maryland and the regulations
				promulgated by the Commission for the Video Lottery Terminal Program.
B. The Commission or a designee may conduct
				an unannounced inspection without a warrant and take any of the following
				actions:
(1) Conduct an inspection of premises
				in which:
(a) Video lottery or table game
				operations are conducted;
(b)
				Authorized video lottery terminals, table game equipment, a central monitor and
				control system, or associated equipment and software are:
(i) Designed;
(ii) Built;
(iii) Constructed;
(iv) Assembled;
(v) Manufactured;
(vi) Sold;
(vii) Distributed; or
(viii) Serviced; or
(c) Records are prepared or maintained for
				activities referenced in §B(1)(a) or (b) of this regulation;
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.05 - Unannounced Inspections › Section 36.03.05.03 - Records and Reports

Current through Register Vol. 51, No. 14, July 12, 2024
A. Within a
				reasonable time after the conclusion of the unannounced inspection, the
				Commission's inspectors shall submit a written report of the inspection to:
(1) The Commission;
(2) The Director; and
(3) The licensee who was the subject of the
				Commission's unannounced inspection.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.06 - Enforcement of Voluntary Exclusion Program › Section 36.03.06.01 - Enforcement

Current through Register Vol. 51, No. 14, July 12, 2024
A. The Commission
				shall notify each State facility operator of the placement of an individual on
				the voluntary exclusion list established in COMAR 36.01.03.
B. A facility operator may disclose
				information about an individual on the voluntary exclusion list to:
(1) The Commission
(2) Tthe facility's:
(a) Manager;
(b) Security department;
(c) Surveillance department; or
(d) Employees who are directly responsible
				for excluding unauthorized individuals from the facility; and
(3) If the facility operator
				pursues criminal charges against an individual on the voluntary exclusion list
				who is suspected of trespassing at a video lottery facility, to:
(a) A law enforcement officer; or
(b) A person who is legally authorized to be
				involved in the criminal prosecution of an individual on the voluntary
				exclusion list who is suspected of trespassing at a video lottery
				facility.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.06 - Enforcement of Voluntary Exclusion Program › Section 36.03.06.02 - Responsible Gaming Plan

Current through Register Vol. 51, No. 14, July 12, 2024
A. A
				facility shall establish a responsible gaming plan that sets forth the
				facility's plan for addressing problem gambling at the facility that shall
				include at least the following elements of the plan:
(1) Goals;
(2) Procedures and deadlines for
				implementation;
(3) Identification
				of facility personnel responsible for implementation;
(4) Responsibilities of facility personnel
				identified as responsible for implementation;
(5) Training for facility personnel on
				problem gambling and voluntary exclusion;
(6) Means of controlling access to records
				pertaining to voluntary exclusion;
(7) Means of educating players about:
(a) Problem gambling;
(b) Problem gambling treatment resources,
				including treatment and prevention programs established under State Government
				Article, §
											9-1A-33, Annotated
				Code of Maryland; and
(c) Voluntary
				exclusion;
(8) Placement
				of responsible gambling awareness materials in the facility as required under
				Regulation .03 of this chapter;
(9)
				Ensuring that an individual in the Voluntary Exclusion Program is not permitted
				to:
(a) Enter the video lottery facility;
(b) Play a video lottery terminal
				or table game; or
(c) Claim a
				jackpot;
(10) The
				facility's response to the discovery of an individual who is enrolled in the
				voluntary exclusion program on facility property, which may include pursuing
				criminal charges against the individual; and
(11) Any other element required by the
				Commission.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.06 - Enforcement of Voluntary Exclusion Program › Section 36.03.06.03 - Requirements

Current through Register Vol. 51, No. 14, July 12, 2024
A. Definitions.
(1) In this regulation the following terms
				have the meaning indicated.
(2)
				Terms Defined.
(a) "Advertisement" means any
				material that is:
(i) Disseminated to the
				public through broadcasting, publication, mail, or any other means;
				and
(ii) Intended to encourage
				video lottery terminal or table game play.
(b) "Billboard advertisement" means a
				roadside sign, aviation banner, or event banner that is intended to encourage
				video lottery terminal or table game play.
(c) "Gambling assistance message" means a
				phrase approved by the Commission to encourage responsible play;
(d) "Printed advertisement" means an
				advertisement that appears in or on a sign, direct mailing, poster, brochure or
				other written material and is intended to encourage video lottery terminal or
				table game play.
(e) "Responsible
				gambling awareness materials" means a sticker, a brochure, a wallet card, or
				other material that conveys only problem gambling resource
				information.
(f) "Underage warning
				message" means the phrase: "No patron under the age of 21 is permitted on the
				casino floor".
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.07 - Mandatory Exclusion › Section 36.03.07.01 - General

Current through Register Vol. 51, No. 14, July 12, 2024
This chapter establishes a mechanism by which the
				  Commission:
A. Maintains a list of
				individuals who are to be mandatorily excluded or ejected from a video lottery
				facility; and
B. Establishes
				standards that require a video lottery operation licensee to:
(1) Exclude or eject an individual from the
				premises of a video lottery facility; and
(2) Ensure that intoxicated individuals and
				individuals under the age of 21 are not allowed:
(a) To play video lottery terminals or table
				games; and
(b) In areas of the
				video lottery facility where video lottery terminals or table games are
				located.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.07 - Mandatory Exclusion › Section 36.03.07.02 - Definitions

Current through Register Vol. 51, No. 14, July 12, 2024
A. In this chapter,
				the following terms have the meaning indicated.
B. Terms Defined.
(1) "Excluded individual" means an individual
				whose name and identifying information have been placed on the mandatory
				exclusion list.
(2) "Mandatory
				exclusion list" means a list that is maintained by the Commission and
				identifies those individuals whom the Commission has directed be mandatorily
				excluded or ejected by a video lottery operation licensee from any video
				lottery operation licensed in the State.
(3) Unredeemed Item.
(a) "Unredeemed item" means a token, voucher,
				check, ticket, chip, coupon, or similar item that has monetary value, and that
				a player has:
(i) Won by playing a video
				lottery terminal or table game;
(ii) Inserted into a video lottery terminal;
(iii) Played at a table game;
				or
(iv) Received by converting
				cash, check, or wire transfer at a video lottery facility.
(b) "Unredeemed item" does not include
				cash.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.07 - Mandatory Exclusion › Section 36.03.07.03 - Mandatory Exclusion List

Current through Register Vol. 51, No. 14, July 12, 2024
A. The
				Commission shall establish a mandatory exclusion list.
B. The Director may place on the mandatory
				exclusion list an individual who:
(1) Is a
				career offender;
(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 offense;
(3) Would adversely affect the interests of
				the State, the licensee, or the individual if the individual were to be present
				at a video lottery facility;
(4) Is
				the subject of any administrative or judicial order directing the individual to
				stay away from a video lottery or other gaming facility;
(5) Presents a threat to the safety of any
				individual on the premises of a video lottery facility;
(6) Engages in, or has a documented history
				of engaging in, disruption of video lottery or table game play;
(7) The Director or a facility operator has a
				reasonable belief has cheated, or attempted to cheat, at a facility by engaging
				in conduct including:
(a) Altering or
				misrepresenting the outcome of a game or event on which bets have been
				placed;
(b) Placing, cancelling,
				increasing, or decreasing a bet based on knowledge that is not available to
				other players;
(c) Claiming or
				collecting a prize from a video lottery facility that the individual did not
				win or earn or that the individual was not otherwise authorized to claim or
				collect;
(d) Manipulating a video
				lottery terminal, a table game, a central monitor and control system, or
				associated equipment or software to affect the outcome of a game or bet;
				or
(e) Altering the elements of
				chance or methods of selection or criteria that determine the outcome of a game
				or bet; or
(8) Engages
				in any conduct that may adversely affect public confidence in, or perception
				of, video lottery or table game operations in the State.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.07 - Mandatory Exclusion › Section 36.03.07.04 - Inclusion on Mandatory Exclusion List

Current through Register Vol. 51, No. 14, July 12, 2024
A. Upon receipt of information that
				reasonably indicates an individual meets any criteria under Regulation .03B of
				this chapter, and after making any considerations described in Regulation .03
				of this chapter, the Director shall:
(1)
				Evaluate the information;
(2)
				Ensure that the information required under Regulation .03E of this chapter
				sufficiently identifies the individual; and
(3) Decide whether to place the individual on
				the mandatory exclusion list.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.07 - Mandatory Exclusion › Section 36.03.07.05 - Removal from Mandatory Exclusion List

Current through Register Vol. 51, No. 14, July 12, 2024
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.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.07 - Mandatory Exclusion › Section 36.03.07.06 - Judicial Review

Current through Register Vol. 51, No. 14, July 12, 2024
The Commission's decision under Regulations .04E(2) and .05G
				  of this chapter may be subject to judicial review.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.07 - Mandatory Exclusion › Section 36.03.07.07 - Enforcement

Current through Register Vol. 51, No. 14, July 12, 2024
A facility operator may not:
A. Knowingly fail to exclude or eject from
				the facility premises an excluded individual;
B. Fail to notify the Commission if an
				excluded individual is excluded or ejected from the facility;
C. Permit an intoxicated individual or
				individual under the age of 21 to:
(1) Play a
				video lottery terminal or table game; or
(2) Be in areas of the video lottery facility
				where video lottery terminals or table games are located;
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.07 - Mandatory Exclusion › Section 36.03.07.08 - Facility Exclusion Plan

Current through Register Vol. 51, No. 14, July 12, 2024
A. A
				facility operator shall establish a plan for identifying and:
(1) Excluding or ejecting from a facility:
(a) Excluded individuals; and
(b) Individuals who may be eligible for
				placement on the mandatory exclusion list; and
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.08 - Collection of Taxes, Fees, and Penalties › Section 36.03.08.01 - General

Current through Register Vol. 51, No. 14, July 12, 2024
This chapter establishes the manner and method by which the
				  Commission may collect from an applicant or licensee a tax, fee or civil
				  penalty established under State Government Article, Title 9, Subtitle 1 A,
				  Annotated Code of Maryland, and the manner by which a facility operator may
				  reconcile proceeds under State Government Article, §
									9-1A-26, Annotated
				  Code of Maryland.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.08 - Collection of Taxes, Fees, and Penalties › Section 36.03.08.02 - Definitions

Current through Register Vol. 51, No. 14, July 12, 2024
A. In this
				chapter, the following terms have the meanings indicated.
B. Terms Defined.
(1) "Fee" means an amount established by the
				Commission that an applicant or licensee is required to pay and includes:
(a) A license fee under State Government
				Article, §
											9-1A-07(b),
				Annotated Code of Maryland;
(b) A
				fee associated with an applicant's criminal history records check under State
				Government Article, §
											9-1A-20(d),
				Annotated Code of Maryland;
(c) An
				application, license, or renewal fee under COMAR 36.03.02, 36.03.03, and
				36.04.02;
(d) An annual fee of $425
				for each authorized video lottery terminal on a video lottery terminal
				operator's license, to be paid by a video lottery operation licensee as
				required by State Government Article, §
											9-1A-33, Annotated
				Code of Maryland, and COMAR
				36.04.02.02;
(e) For the highest number of table games in
				use on a single gaming day in the applicable calendar year, an annual fee of
				$500 to be paid by a video lottery operation licensee for each table game as
				authorized by State Government Article, §
											9-1A-33, Annotated
				Code of Maryland;
(f) Except for an
				initial license fee for a video lottery operation license, any other fee
				imposed by the Commission under State Government Article, Title 9, Subtitle 1A,
				Annotated Code of Maryland; and
(g)
				A renewal of a video lottery facility license under COMAR
				36.03.03.10.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.08 - Collection of Taxes, Fees, and Penalties › Section 36.03.08.03 - Obligation to Pay

Current through Register Vol. 51, No. 14, July 12, 2024
A. A tax that is
				due and payable shall be paid by an applicant or licensee and collected in
				accordance with State and federal law.
B. For a fee or penalty:
(1) The Commission shall issue an invoice or
				other order to pay; and
(2) An
				applicant or licensee shall remit payment to the Commission within 30 days
				after the date of the invoice or order to pay.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.08 - Collection of Taxes, Fees, and Penalties › Section 36.03.08.04 - Collection and Deposit of Payments

Current through Register Vol. 51, No. 14, July 12, 2024
A. An applicant or licensee shall pay a fee
				or civil penalty by:
(1) Wire
				transfer;
(2) Money
				order;
(3) Certified check made
				payable to the "State of Maryland" or
(4) Any other manner designated by the
				Commission.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.09 - Junkets › Section 36.03.09.01 - Junket Agreements and Final Reports

Current through Register Vol. 51, No. 14, July 12, 2024
A. A facility operator shall ensure that:
(1) A junket agreement between a facility
				operator and a junket enterprise, or junket representative, is in writing;
				and
(2) An executed copy of the
				junket agreement is submitted to the Commission before a junket arrives at the
				video lottery facility.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.09 - Junkets › Section 36.03.09.02 - Prohibited Activities

Current through Register Vol. 51, No. 14, July 12, 2024
A facility operator shall ensure that a junket enterprise or
				  a junket representative, or an agent or employee of a junket enterprise or a
				  junket representative, does not:
A.
				Unless approved in writing by the Commission, accept compensation on any basis
				other than theoretical win;
B.
				Engage in collection efforts;
C.
				Solicit, receive, or accept any fee or gratuity from a patron for the privilege
				of participating in a junket or for performance of any function for which the
				junket enterprise or junket representative is licensed;
D. Unless disclosed in writing to the
				facility operator for which the junket was arranged, pay for transportation or
				any other service or item of value that is provided to or for the benefit of a
				patron participating in a junket;
E. Extend credit to, or grant credit on
				behalf of a facility operator to, a patron participating in a junket;
F. Accept an advance of money or a loan from
				a patron participating in a junket;
G. Engage in conduct that would bring the
				State into disrepute;
H. Pursue
				economic gain in an occupational manner or context that is in violation of the
				laws of the State, if the pursuit creates a reasonable belief that
				participation of the junket enterprise or junket representative would be
				inimical to the policies of State law or the State's video lottery terminal
				operations;
I. Engage in activities
				that create a reasonable belief that the junket enterprise or junket
				representative is, or is an associate of, a career offender or a member of a
				career offender cartel.
J. Engage
				in a predatory marketing practice prohibited under COMAR
				36.03.03.08; or
K. Perform junket services under an agreement
				that has not been reduced to writing.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.02 - Accounting Records

Current through Register Vol. 51, No. 14, July 12, 2024
A. A facility
				operator shall maintain complete, accurate, and legible records of all
				transactions pertaining to the revenues and expenses of a facility.
B. General ledger records shall be maintained
				on a double entry system of accounting with transactions recorded on a basis
				consistent with generally accepted accounting principles in the United
				States.
C. Subsidiary ledgers and
				records supporting general ledger records shall be prepared in accordance with
				generally accepted accounting principles in the United States.
D. Subsidiary ledgers and records shall
				include, at a minimum, documents that:
(1)
				Support the financial statements and all transactions impacting the financial
				statements including contracts or agreements with manufacturers, contractors,
				and management companies;
(2)
				Pertain to proceeds including generation of, accounting for, and transmission
				into the State Lottery Fund;
(3)
				Identify for each video lottery terminal and table game on a week-to-date,
				month-to-date, and year-to-date basis:
(a)
				Handle;
(b) Payout;
(c) Win amount;
(d) Win percentage; and
(e) Average payout percentage;
(4) Summarize the cost, by
				category of service, of complimentary services under Regulation .09 of this
				chapter;
(5) Identify all costs and
				expenses associated with the operation of a facility;
(6) Are prepared in compliance with the
				internal controls approved by the Commission under Regulation .05 of this
				chapter; and
(7) Relate to:
(a) Loans and other amounts payable by a
				facility operator;
(b) Player
				disputes including player complaint forms filed with the Commission under
				Regulation .47 of this chapter;
(c)
				Negotiable instruments accepted, deposited, returned as uncollected or
				ultimately written-off by a facility operator under this chapter; and
(d) Investments in property and equipment for
				the benefit of a facility.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.03 - Forms and Documents

Current through Register Vol. 51, No. 14, July 12, 2024
A. A form or
				document required by this chapter, including stored data, shall have:
(1) All information placed on the form or
				document recorded in ink or another permanent form; and
(2) The title of the form or document and the
				name of the facility imprinted or preprinted on it.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.04 - Content of Internal Controls

Current through Register Vol. 51, No. 14, July 12, 2024
A. A
				facility operator shall develop a written description of its administrative and
				accounting procedures, including the system of internal controls over video
				lottery terminal and table game operations.
B. A facility operator's internal controls
				are subject to review and approval under Regulation .05 of this
				chapter.
C. Internal controls
				shall, at a minimum, include:
(1)
				Administrative controls and record keeping that document the authorization of
				transactions;
(2) Accounting
				controls that provide reasonable assurance that:
(a) Transactions or financial events which
				occur in connection with the operation of a video lottery terminal or table
				game are:
(i) Executed in accordance with the
				facility operator's authorization protocols;
(ii) Recorded to permit preparation of
				financial statements in conformance with generally accepted accounting
				principles in the United States and the requirements of this chapter;
				and
(iii) Recorded to permit proper
				and timely reporting and calculation of proceeds and to maintain accountability
				for assets;
(b) Access
				to assets is permitted only in accordance with the facility operator's
				authorization protocols; and
(c)
				The recorded accountability for assets is compared with existing assets at
				reasonable intervals and appropriate action is taken with regard to a
				discrepancy;
(3)
				Procedures and controls for ensuring:
(a)
				That a video lottery terminal accurately and timely communicates all required
				activities and financial details to the:
(i)
				Central monitor and control system; and
(ii) Video lottery system;
(b) That all functions, duties,
				and responsibilities are segregated and performed in accordance with sound
				financial practices by qualified personnel; and
(c) Through the use of a surveillance and a
				security department, that the facility is secure at all times during normal
				operation and during any emergency due to malfunctioning equipment, loss of
				power, natural disaster, or any other cause;
(4) Access controls which address, at a
				minimum:
(a) Content of, and administrative
				responsibility over, the manual or computerized access control matrix governing
				employee access to restricted areas;
(b) Issuance of a temporary access
				credential; and
(c) Comprehensive
				key controls;
(5) A
				record retention policy in accordance with Regulation .08 of this
				chapter;
(6) Procedures and
				controls over the movement of cash and the count room;
(7) Procedures and standards for conducting
				internal audits; and
(8) Other
				procedures and controls the Commission may require to be included in a facility
				operator's internal controls.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.05 - Review of Internal Controls

Current through Register Vol. 51, No. 14, July 12, 2024
A. At
				least 60 days before video lottery terminal or table game operations are to
				commence, a facility operator shall submit its internal controls to the
				Commission for review and written approval.
B. The internal controls shall be accompanied
				by:
(1) A certification by the facility
				operator's chief executive officer or chief legal officer that the submitted
				internal controls conform to the requirements of State Government Article,
				Title 9, Subtitle 1A, Annotated Code of Maryland, and this chapter;
(2) A certification by the facility
				operator's director of finance that the submitted internal controls:
(a) Establish a consistent overall system of
				internal controls;
(b) Provide
				reasonable assurance that financial reporting conforms to generally accepted
				accounting principles in the United States; and
(c) Conform to the requirements of State
				Government Article, Title 9, Subtitle 1A, Annotated Code of Maryland, and this
				chapter; and
(3) An
				opinion letter by an independent certified public accountant expressing an
				opinion as to:
(a) The effectiveness of the
				design of the submitted system of internal controls over financial
				reporting;
(b) Whether the
				submitted system of internal controls conforms to the requirements of State
				Government Article, Title 9, Subtitle 1A, Annotated Code of Maryland, and this
				chapter; and
(c) If applicable,
				whether a deviation from the requirements of State Government Article, Title 9,
				Subtitle 1A, Annotated Code of Maryland, or this chapter identified by the
				independent certified public accountant in the course of its review of the
				submitted system of internal controls is material.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.06 - Standard Financial and Statistical Reports

Current through Register Vol. 51, No. 14, July 12, 2024
A. The Commission may require a facility
				operator to submit daily, weekly, monthly, quarterly, and annual reports of
				financial and statistical data.
B.
				Reports required under this regulation shall be in a form and submitted in
				accordance with a time frame specified by the Commission.
C. Unless otherwise specified by the
				Commission, reports to the Commission shall be signed by the:
(1) Chief executive officer if the facility
				operator is a corporation;
(2)
				General partner if the facility operator is a partnership;
(3) Manager if the facility operator is a
				limited liability company;
(4)
				Chief executive officer or functional equivalent if the facility operator is
				any other form of business association; or
(5) Owner if the facility operator is a sole
				proprietorship.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.07 - Annual Audit and Other Regulatory Reports

Current through Register Vol. 51, No. 14, July 12, 2024
A. A facility
				operator shall cause its annual financial statements to be audited in
				accordance with generally accepted auditing standards by an independent
				certified public accountant.
B. The
				annual financial statements shall be prepared on a comparative basis for the
				current and prior fiscal year and present financial position and results of
				operations in conformity with generally accepted accounting principles in the
				United States.
C. The audited
				financial statements shall include a footnote reconciling and explaining any
				difference between the financial statements included in any report submitted to
				the Commission under Regulation .06 of this chapter and the audited financial
				statements.
D. A facility operator
				shall with regard to adjustments resulting from the annual audit:
(1) Disclose to the Commission all
				adjustments whether or not recorded in the accounting records; and
(2) Record the adjustment in the accounting
				records of the year to which the adjustment relates.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.08 - Record Retention

Current through Register Vol. 51, No. 14, July 12, 2024
A.
				Definition.
(1) In this regulation, the
				following term has the meaning indicated.
(2) Term Defined. "Books and records" means
				any document pertaining to, prepared in, or generated by a facility operator,
				without regard to the medium through which the record is generated or
				maintained, including all general ledger records, subsidiary records and
				ledgers, computer-generated data, forms, documents, internal audit reports and
				work papers, correspondence, and personnel records.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.09 - Complimentary Services

Current through Register Vol. 51, No. 14, July 12, 2024
A. Definition.
(1) A facility operator shall be under the
				authority of the County Alcoholic Beverages Licensing Authority for the county
				in which the facility is located with regard to the sale to individuals of food
				and alcoholic beverages;
(2) Except
				as provided in this section, a facility operator may not provide food or
				alcoholic beverages to individuals at no cost;
(3) Food or alcoholic beverages offered by a
				facility operator for sale to individuals may be offered only at prices that
				are determined by the County Alcoholic Beverages Licensing Authority to be
				commensurate with the price of similar types of food and alcoholic beverages at
				restaurants in the county in which the facility is located; and
(4) A facility operator may provide food at
				no cost to individuals to the same extent allowed under Article 2B,
				§12-106, Annotated Code of Maryland, for a person engaged in the sale or
				barter of spirituous, malt, or intoxicating liquors and licensed in
				Maryland.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.10 - Table of Organization

Current through Register Vol. 51, No. 14, July 12, 2024
A. For the
				purposes of this regulation, the title used to describe a department head is
				intended to indicate responsibility for the functions of the enumerated
				department and does not obligate the facility operator to the use of that
				particular title.
B. Subject to the
				requirements of this regulation, a facility operator shall tailor its table of
				organization to meet its needs and policies.
C. At least 30 days before video lottery
				terminal or table game operations are to commence, a facility operator shall
				submit to the Commission for review and written approval a table of
				organization depicting all direct and indirect reporting lines for:
(1) The chief executive officer required
				under §E(5) of this regulation;
(2) Mandatory departments required under
				§E(6) of this regulation;
(3)
				The cashiers' cage manager required under §M of this regulation;
(4) Employees authorized to verify credit
				applications under Regulation .25 of this chapter; and
(5) Employees authorized to extend credit or
				to approve credit limit increases under Regulation .24 of this
				chapter.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.11 - Surveillance System Design Standards

Current through Register Vol. 51, No. 14, July 12, 2024
A. A facility operator shall install in its
				facility a surveillance system that complies with the requirements of this
				regulation.
B. A facility
				operator's surveillance system shall be reviewed and approved by the Commission
				under Regulation .12 of this chapter.
C. A facility operator's surveillance system
				shall include:
(1) Light sensitive cameras
				enabled by:
(a) Lenses of sufficient
				magnification to read a video lottery terminal reel strip and credit
				meter;
(b) Lighting which is
				continuous and of sufficient quality to produce clear video recordings and
				still pictures; and
(c) 360-degree
				pan, tilt, and zoom capability, without camera stops, configured to
				clandestinely monitor and record:
(i) Play and
				transactions conducted at video lottery terminals;
(ii) Transactions conducted in the cashiers'
				cage and any satellite cage including the face of each individual transacting
				business with a cashier;
(iii)
				Transactions conducted at ticket redemption units, automated jackpot payout
				machines, and automated teller machines;
(iv) Activity in the count room;
(v) Movement of cash and cash storage boxes
				within the facility;
(vi) Entrances
				and exits to the facility and the gaming floor;
(vii) Activities in all other restricted
				areas; and
(viii) Other areas and
				events designated by the Commission;
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.12 - Surveillance Department Operating Procedures

Current through Register Vol. 51, No. 14, July 12, 2024
A. At least 60 days before video lottery
				terminal or table game operations are to commence, a facility operator shall
				submit to the Commission for review and written approval:
(1) A surveillance system meeting the
				requirements of Regulation .11 of this chapter including, at a minimum, details
				pertaining to:
(a) Camera configuration inside
				and outside the facility;
(b)
				Monitor room configuration;
(c)
				Video recording format and configuration specifications;
(d) Authentication of digital recordings,
				including Commission access to the system's video verification encryption code
				or watermark;
(e) Audio recording
				format; and
(f) System access
				controls; and
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.13 - Surveillance Department Minimum Staffing

Current through Register Vol. 51, No. 14, July 12, 2024
A. At least 60 days before video lottery
				terminal or table game operations are to commence, a facility operator shall
				submit its surveillance department minimum staffing plan to the Commission for
				review and written approval.
B. A
				facility operator may not commence operations until its surveillance department
				minimum staffing plan is approved in writing by the Commission.
C. A surveillance department minimum staffing
				plan shall assess, on a per-shift basis, the minimum number of on duty
				surveillance department employees necessary to:
(1) Provide adequate and effective
				surveillance of all activities in and outside the facility;
(2) Ensure the physical safety of employees
				of and invitees to the facility;
(3) Comply with all applicable laws and
				regulations including Commission-approved internal controls and operating
				procedures;
(4) Monitor the
				facility to ensure that the following individuals are identified, prohibited
				from entering the facility, and, if necessary, immediately removed from the
				facility:
(a) An intoxicated
				individual;
(b) An individual who
				is mandatorily excluded in accordance with State Government Article, § 9-1
				A-24(d), Annotated Code of Maryland; and
(c) An individual who is voluntarily excluded
				in accordance State Government Article, § 9-1 A-24(e), Annotated Code of
				Maryland; and
(5)
				Monitor the gaming floor to ensure that an individual under the age of 21 years
				is identified, prohibited from accessing the gaming floor in accordance with
				State Government Article, § 9-1 A-24(c), Annotated Code of Maryland, and,
				if necessary, immediately removed from the gaming floor.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.14 - Security Department Operating Procedures

Current through Register Vol. 51, No. 14, July 12, 2024
A. At least 60 days before video lottery or
				table game operations are to commence, a facility operator shall submit to the
				Commission for review and written approval its security department operating
				procedures.
B. A facility operator
				may not commence operations until its security department operating procedures
				are approved in writing by the Commission.
C. A facility operator's security department
				operating procedures shall, at a minimum, include:
(1) A security zone plan for the facility,
				employing fixed security posts and roving security officers designed to ensure:
(a) The physical safety of employees of and
				invitees to the facility;
(b) The
				safeguarding of assets;
(c)
				Compliance with all applicable laws and regulations including Commission
				approved internal controls and operating procedures;
(d) That the following individuals are
				identified, prohibited from entering the facility, and, if necessary,
				immediately removed from the facility:
(i) An
				intoxicated individual;
(ii) An
				individual who is mandatorily excluded in accordance with State Government
				Article, § 9-1 A-24(d), Annotated Code of Maryland; and
(iii) An individual who is voluntarily
				excluded in accordance State Government Article, § 9-1 A-24(e), Annotated
				Code of Maryland; and
(e) That an individual under the age of 21
				years is identified, prohibited from accessing the gaming floor in accordance
				with State Government Article, § 9-1 A-24(c), Annotated Code of Maryland,
				and, if necessary, immediately removed from the gaming floor;
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.15 - Security Department Minimum Staffing

Current through Register Vol. 51, No. 14, July 12, 2024
A. At least 60 days before video lottery
				terminal or table game operations are to commence, a facility operator shall
				submit its security department minimum staffing plan to the Commission for
				review and written approval.
B. A
				facility operator may not commence operations until its security department
				minimum staffing plan is approved in writing by the Commission.
C. A security department minimum staffing
				plan shall assess, on a per-shift basis, the minimum number of on-duty security
				department employees necessary to:
(1) Ensure
				the physical safety of employees of and invitees to the facility;
(2) Effectively safe guard assets;
(3) Comply with all applicable laws and
				regulations including Commission-approved internal controls and operating
				procedures;
(4) Monitor the
				facility to ensure that the following individuals are identified, prohibited
				from entering the facility, and, if necessary, immediately removed from the
				facility:
(a) An intoxicated
				individual;
(b) An individual who
				is mandatorily excluded in accordance with State Government Article, § 9-1
				A-24(d), Annotated Code of Maryland; and
(c) An individual who is voluntarily excluded
				in accordance State Government Article, § 9-1 A-24(e), Annotated Code of
				Maryland; and
(5)
				Monitor the gaming floor to ensure that an individual under the age of 21 years
				is identified, prohibited from accessing the gaming floor in accordance with
				State Government Article, § 9-1 A-24(c), Annotated Code of Maryland and,
				if necessary, immediately removed from the gaming floor.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.16 - Internal Audit Department Standards

Current through Register Vol. 51, No. 14, July 12, 2024
A. At least 60 days before video lottery
				terminal operations are set to commence, a facility operator shall submit to
				the Commission for review and approval internal audit department operating
				standards and procedures that:
(1) Meet the
				requirements of Regulation .10E(6)(b) of this chapter;
(2) Conform to this regulation; and
(3) Ensure that an internal audit is
				conducted in accordance with generally accepted auditing standards in the
				United States.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.17 - Access to Central Monitor and Control System Equipment

Current through Register Vol. 51, No. 14, July 12, 2024
A. Central monitor and control system
				equipment shall reside in an area physically segregated from other systems and
				equipment utilized by the facility operator which conforms to the requirements
				of COMAR 36.03.11.03.
B. At least
				10 days before video lottery terminal operations are to commence, the
				Commission shall issue to the facility operator a list of individuals that it
				has approved to have access to the central monitor and control system equipment
				under State Government Article, § 9-1 A-02(c)(5), Annotated Code of
				Maryland.
C. A facility operator
				may not implement a change or amendment in its approved access list without the
				prior written approval of the Commission.
D. A facility operator shall develop and
				include in the internal controls submitted to and approved by the Commission
				under Regulation .05 of this chapter procedures addressing physical access to
				central monitor and control system equipment located in the facility.
E. Central monitor and control system
				equipment may be accessed by:
(1) An
				individual on the list described under §B of this regulation;
(2) A compliance agent of the Commission;
				and
(3) Commission staff authorized
				by the Director.
Code of Maryland Regulations › Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY › Subtitle 03 - GAMING PROVISIONS › Chapter 36.03.10 - Video Lottery Facility Minimum Internal Control Standards › Section 36.03.10.18 - Cashiers' Cage Design Standards

Current through Register Vol. 51, No. 14, July 12, 2024
A. A facility operator shall have on,
				adjacent, or proximate to the gaming floor a physical structure known as a
				cashiers' cage to house the cashiers and to serve as the central location in
				the facility for:
(1) The custody of the cash,
				accounting records, and forms and documents required under this chapter to
				conduct video lottery and table game operations;
(2) The initial financial consolidation of
				all transactions pertaining to video lottery terminal and table game activity;
				and
(3) Other functions normally
				associated with the operation of a cashiers' cage.