Code of Maryland Regulations
Title 36 - MARYLAND STATE LOTTERY AND GAMING CONTROL AGENCY
Subtitle 10 - SPORTS WAGERING PROVISIONS
Chapter 36.10.08 - Enforcement
Section 36.10.08.04 - Corrective Action Plan
Universal Citation: MD Code Reg 36.10.08.04
Current through Register Vol. 51, No. 19, September 20, 2024
A. If the Director, or the Director's designee, directs staff to implement a corrective action plan with a licensee, Agency staff shall give written notice to a licensee that includes:
(1) A description of
the alleged violation;
(2) A
description of the possible sanctions; and
(3) The requirement for the licensee to
submit a corrective action plan to the Director.
B. Contents of Corrective Action Plan. A corrective action plan shall include:
(1)
Periodic monitoring or progress reports;
(2) Timelines for completing corrective
action;
(3) Implementation of
measures to guard against recurrence of the alleged violation; and
(4) Any other measures necessary to resolve
the alleged violation.
C. Time for Implementing a Corrective Action Plan.
(1) Within 10 days of receipt of a
notice under §A of this regulation, the licensee shall submit a corrective
action plan to the Director, or the Director's designee.
(2) The Director, or the Director's designee,
shall review the corrective action plan and inform the licensee whether the
corrective action plan is acceptable and:
(a)
If the corrective action plan is acceptable, the licensee shall execute it
immediately; or
(b) If the
corrective action plan is not acceptable, the licensee shall submit a revised
plan within 7 days of being notified by the Director or the Director's
designee.
(3) If the
licensee fails to submit an acceptable corrective action plan within the time
described under §C(1) of this regulation, the Director, or the Director's
designee, may:
(a) Provide the licensee with
additional time within which to submit a revised corrective action plan;
or
(b) Recommend the imposition of
a sanction available in Regulation .10 of this chapter on the licensee in
accordance with Regulation .06 of this chapter.
(4) If the Director, or the Director's
designee, provided a licensee with a notice under §A of this regulation
and did not receive a timely written response, the Commission may adopt a
recommendation made pursuant to §C(3)(b) as the final action by the
Commission on the license.
D. Corrective Action Plan Outcome.
(1) After a licensee has completed a
corrective action plan, to the satisfaction of the Director or the Director's
designee, the alleged violation will be deemed resolved, except that the
alleged violation may be:
(a) The basis of a
subsequent corrective action plan, settlement, penalty, or sanction if a
similar violation occurs; or
(b)
Raised during a Commission hearing as part of the Agency's enforcement record
for the licensee.
(2) If
at any time during the corrective action period the Director, or the Director's
designee, determines that the licensee has not made sufficient progress toward
fulfilling a requirement of the corrective action plan, the Director may:
(a) For good cause, extend the time for
completion of a corrective action plan; or
(b) Recommend the imposition of a sanction on
the licensee pursuant to Regulation .06A of this chapter.
(3) If at the end of the corrective action
period the licensee has failed to satisfactorily complete the corrective action
plan, the Director, or the Director's designee, may recommend the imposition of
a sanction on the licensee under Regulation .06A of this chapter.
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