Code of Maryland Regulations
Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY
Subtitle 03 - GAMING PROVISIONS
Chapter 36.03.02 - Investigation and Licensing
Section 36.03.02.01 - Process
Universal Citation: MD Code Reg 36.03.02.01
Current through Register Vol. 51, No. 6, March 22, 2024
A. General Provisions.
(1) Upon filing of an application for a license under this chapter other than an operation license, the applicant shall pay a nonrefundable application fee established by the Commission.
(2) If a license application must be submitted to the Commission by a particular date, the application documents shall be delivered to the Commission not later than 5 p.m. on the last day of this period, and an application submitted after the deadline may not be accepted or considered by the Commission.
(3) An applicant may not submit an application less than 1 year after the Commission has:
(a) Taken final action on a license denial of a previous license application involving the applicant;
(b) Taken final action on a sanction resulting in revocation of a previous license application involving the applicant; or
(c) Provided an individual with written notice of termination of a temporary license.
B. Applications.
(1) Documents submitted to the Commission or the Location Commission under this chapter shall consist of an original and the number of copies required by the relevant commission and shall be in the electronic format required by the relevant commission.
(2) Documents and information submitted to the Commission or the Location Commission in a license application shall be sworn before a notary public as to their truth and validity by the applicant or, if the applicant is not an individual, by the chief executive officer of the applicant.
(3) Upon receipt of an application by the Commission, the Commission staff shall review the application to determine whether it contains all the information required under this chapter.
(4) If the Commission determines that the required information has not been submitted, the Commission staff shall notify the applicant in writing and state the nature of the deficiency.
(5) 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 issuance of the notification.
(6) 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.
(7) The Commission shall consider a timely, complete application.
C. Changes in Application.
(1) 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.
(2) After an application has been filed by an applicant, the applicant may not amend the application except:
(a) To address a deficiency in accordance with a notice sent under §B(4) of this regulation;
(b) As required by the Commission or the Commission staff for clarification of information contained in the application; or
(c) To 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.
(3) 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:
(a) The change in the circumstances surrounding the application that necessitates the amendment;
(b) The nature of the amendment; and
(c) The reason why the amendment is necessary to bring the application into compliance with the law or the regulations of the Commission.
(4) The Commission or Commission staff shall grant or deny each request submitted under §C(3) of this regulation.
(5) A request shall be granted if the applicant demonstrates to the satisfaction of the Commission that:
(a) The circumstances requiring the amendment were outside the control of the applicant;
(b) Before the change in the circumstances surrounding the application, the application complied with the pertinent provisions of the law or the regulations of the Commission; and
(c) The amendment is necessary to bring the application into compliance with the pertinent provisions of the law or the regulations of the Commission.
(6) Except for an application for an operation license, an application for a license may be withdrawn if the:
(a) Applicant submits a written request to the Commission to withdraw the application; and
(b) Written request is submitted before the Commission has:
(i) Denied the application; or
(ii) Terminated a temporary license.
D. Notice of Intended Change in Licensed Video Lottery Employee's Employment Status.
(1) Within 14 calendar days before 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.
(2) A licensee submitting notification of an intended change in employment status shall comply with the application requirements and processes set forth in §B of this regulation.
(3) The Commission shall conduct a background investigation of the individual to verify that the individual's license remains in good standing.
(4) No later than 15 days after the Commission issues the notification that the individual's license is not in good standing, the licensee shall submit:
(a) Information, documentation, or assurances to establish, by clear and convincing evidence, that the licensee remains qualified to hold a license; and
(b) Any other information, documentation, or assurances required by the Commission.
(5) If the licensee has been separated from employment with a facility 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 .03B of this chapter.
(6) The Commission may not approve a change in employment status for a video lottery employee licensee who fails to establish, by clear and convincing evidence, all license qualification criteria.
(7) A video lottery employee may not effect a change in employment status without prior Commission approval.
E. Burden of Proof.
(1) An applicant and licensee shall always bear the burden of proof to show by clear and convincing evidence that the applicant or licensee complies with the laws and regulations of the Commission regarding eligibility and qualifications for the license, including:
(a) When an applicant submits a license application;
(b) At a hearing on a recommended denial of a license;
(c) When a video lottery employee licensee notifies the Commission of an intended change in employment status;
(d) At a hearing on a recommended revocation of a license; and
(e) In any other instance where qualifications for a license issued under a provision of State Government Article, Title 9, Subtitle 1A, Annotated Code of Maryland, are at issue.
(2) Subject to State Government Article, § 9-1 A-14(c)(9), Annotated Code of Maryland, the Commission may deny a video lottery employee license to an applicant whose past or present conduct would bring the State into disrepute.
(3) The Commission may deny a license to an applicant whose gaming license has been suspended or revoked in another jurisdiction.
F. Administrative Costs of Background Investigations.
(1) 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:
(a) 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 .04 of this chapter; and
(b) Any payments made by the Commission to a person approved by the Commission to conduct the background investigations.
(2) Failure to reimburse the Commission shall be grounds for disqualification of an applicant or disapproval of a licensee's change in employment status.
(3) The Commission may require an advance deposit from an applicant or a 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.
(4) The Commission shall refund any unused amount of the advance deposit.
G. Payment and collection. Applicants shall pay the administrative costs and fees required under this regulation by:
(1) Wire transfer;
(2) Money order;
(3) Certified check; or
(4) Any other manner designated by the Commission.
H. Continuing Obligations.
(1) Applicants who are awarded a license shall, during the term of their licensures, conform to all of the information contained in their license applications.
(2) If information submitted by an applicant who is issued a license changes during the term of the license, the licensee shall immediately submit written notification of the change to the Commission.
(3) In addition to the requirements of this regulation, a holder of an operation license must also comply with the requirements of COMAR 36.03.03.
(4) Failure to comply with the obligations of §G(1), (2), or (3) of this regulation shall be grounds for the Commission taking enforcement action against the licensee under COMAR 36.03.04.
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