Code of Maryland Regulations
Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY
Subtitle 10 - SPORTS WAGERING PROVISIONS
Chapter 36.10.02 - All Applicants and Licensees - Applications and Investigations
Section 36.10.02.03 - Process
Universal Citation: MD Code Reg 36.10.02.03
Current through Register Vol. 51, No. 19, September 20, 2024
A. Submission Requirements.
(1) If the Commission requires
an application to be submitted by a particular date:
(a) 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
(b) An application submitted after the
deadline may not be accepted or considered by the Commission.
(2) 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 involving the applicant;
or
(c) Provided an individual with
written notice of termination of a temporary license.
B. Applications.
(1) An application submitted to the
Commission shall:
(a) 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
(b) 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.
(2) An applicant shall include the applicable
nonrefundable application fee with the license application.
(3) 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.
(4) 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.
(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 the Commission issues 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 review and consider a timely, complete application
submitted as required in this regulation.
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 to:
(a) Address a deficiency in accordance with a
notice sent under §B(4) of this regulation;
(b) Clarify information contained in the
application as required by the Commission or the Commission staff; or
(c) 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 and
notify the applicant.
(5) A request
shall be granted if the applicant establishes by clear and convincing evidence
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 applicable
provisions of law or regulations of the Commission; and
(c) The amendment is necessary to bring the
application into compliance with the applicable provisions of the law or
regulations of the Commission.
(6) An applicant may withdraw a license
application if:
(a) The applicant submits a
written request to the Commission to withdraw the application; and
(b) The written request is submitted before
the Commission has:
(i) Denied the
application; or
(ii) Terminated a
temporary license.
(7) If an applicant withdraws an application,
the application fee will not be refunded.
D. Notice of Intended Change in Licensed Sports Wagering Employee's Employment Status.
(1) 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.
(2) The Commission shall conduct a background
investigation of the individual to verify that the individual's license remains
in good standing.
(3) 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:
(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.
(4) 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.
(5) 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.
(6) A
sports wagering employee may not effect a change in employment status without
prior Commission approval.
E. 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.
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 .06
of this chapter; and
(b) Any
payments made by the Commission to a person approved by the Commission to
conduct 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 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) 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.
(5) The Commission shall refund to an
applicant any unused amount of the advance deposit.
G. Payment and Collection.
(1) An applicant shall pay the administrative
costs and fees required under this regulation by:
(a) Wire transfer;
(b) Money order;
(c) Certified check made payable to the
"Maryland Lottery and Gaming Control Commission"; or
(d) Any other manner designated by the
Commission.
(2) The
Commission may address an applicant's or licensee's failure to pay a required
fee, penalty, or proceeds:
(a) As provided in
COMAR 36.10.12; or
(b) By filing a
claim against the performance bond that covers the applicant.
H. Continuing Obligations.
(1) 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.
(2) 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.
(3) 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.
(4) An applicant or licensee has an
affirmative and continuing obligation to:
(a)
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;
(b) Provide the
Commission with all information relating to qualifications in the form
specified by the Commission;
(c)
Provide assistance and information required by the Commission;
(d) Cooperate in a Commission inquiry,
investigation, or hearing;
(e) On
issuance of a request to answer or produce information, evidence, or testimony
requested by the Commission, provide it; and
(f) 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.
(5) 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.
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