Subtitle 03 GAMING PROVISIONS › Chapter 10 Video Lottery Facility Minimum Internal Control Standards

.04 Content of Internal Controls. 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 control…

.05 Review of Internal Controls. 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:…

.06 Standard Financial and Statistical Reports. 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 accor…

.07 Annual Audit and Other Regulatory Reports. 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: (1)…

.08 Record Retention. 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 reco…

.09 Complimentary Services. 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…

.10 Table of Organization. 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…

.11 Surveillance System Design Standards. 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 Regulat…

.12 Surveillance Department Operating Procedures. 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 …

.13 Surveillance Department Minimum Staffing. 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 fac…

.14 Security Department Operating Procedures. 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…

.15 Security Department Minimum Staffing. 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 op…

.16 Internal Audit Department Standards. 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 re…

.17 Access to Central Monitor and Control System Equipment. 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.…

.18 Cashiers’ Cage Design Standards. 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, accoun…

.19 Accounting Controls for a Cashiers’ Cage. A. A facility operator may only conduct transactions with individuals at its cashiers’ cage and any satellite cage during the hours of operation approved by the Commission for the facility under COMAR 36.03.11.02. B. A facility operat…

.20 Checks Accepted from a Player. A. A facility operator may accept a negotiable instrument in the form of a check meeting the requirements of this regulation from a player to enable the player to take part in gaming. B. A facility operator may accept a check only during the hou…

.21 Wire Transfers. A. A facility operator may accept a negotiable instrument in the form of a wire transfer or ACH transfer from a player to enable the player to take part in gaming or to pay an outstanding debt to a facility operator. B. A facility operator shall record in its …

.22 Cash Equivalents. A. A facility operator may accept a negotiable instrument in the form of a cash equivalent from a player to enable the player to take part in gaming. B. A facility operator may accept a cash equivalent only during the hours of operation approved by the Commi…

.23 Customer Deposits. A. A facility operator may establish a customer deposit account for a player to enable the player to take part in gaming. B. A facility operator shall perform all procedures required by this chapter before depositing funds accepted by means of check, wire t…

.24 Credit Authorization. A. For the purposes of this regulation, “derogatory information” means any information associated with a credit account indicating that the account is partially or completely uncollectible, has had checks returned unpaid, or has required settlement, lien…

.25 Verification of Credit Application Information. A. Prior to authorizing an extension of credit and counter check privileges under Regulation .24 of this chapter, a facility operator shall verify the information on the credit application submitted by the player in accordance w…

.26 Counter Check Issuance at the Cashiers’ Cage. A. Subject to the requirements of this chapter, a facility operator may accept a negotiable instrument in the form of a counter check from a player at the cashiers’ cage to enable the player to take part in gaming. B. A facility o…

.27 Counter Check Issuance at a Video Lottery Terminal or Table Game. A. Subject to the limitations of this chapter, a facility operator may accept a negotiable instrument in the form of a counter check from a player at a video lottery terminal or table game to enable the player …

.28 Counter Check Substitution, Consolidation, and Redemption. A. A player to whom a counter check has been issued by a facility operator may use a personal check meeting the requirements of §B of this regulation to: (1) Substitute for a counter check which has not been deposited…

.29 Deposit of Counter Checks. A. A facility operator shall deposit a counter check in its bank account or present the counter check directly to the player’s bank: (1) No later than: (a) 14 days after the date of the check for a check of $1,000 or less; (b) 21 days after the date…

.30 Returned Checks. A. All checks returned after deposit shall be: (1) Returned directly to an accounting department employee with no incompatible functions; and (2) Maintained by a check bank cashier with no incompatible functions. B. A facility operator shall: (1) Limit collec…

.31 Accounting Controls in a Check Bank. A. In addition to the documentation requirements of Regulations .24 and .25 of this chapter, a facility operator shall record in a player’s credit file all transactions affecting a player's outstanding indebtedness to the facility operator…

.32 Player Request for Suspension of Credit Privileges. A. A player may voluntarily suspend the player’s credit privileges at a Maryland facility by submitting a written request to the facility in a form specified by the facility. B. A request for suspension of credit privileges …

.33 Prohibition on the Use of Credit Cards and Debit Cards. A video lottery terminal or table game may not be played or activated in any way by insertion, directly or indirectly, or use of a: A. Credit card; B. Debit card; or C. Electronic transfer of funds from a credit card or …

.34 Player Tracking System. A. For the purposes of this regulation, a player tracking system means the collective hardware, software, communications technology, and other ancillary equipment owned or leased by a facility operator to collect, monitor, interpret, analyze, authorize…

.35 Gaming Ticket. A. A facility operator may issue a gaming ticket and utilize a gaming ticket system meeting the requirements of this subtitle. B. A facility operator shall: (1) Issue a gaming ticket which does not expire for 182 days after the date of issuance; (2) Configure i…

.36 Promotional Play. A. A facility operator may: (1) Issue promotional play if it is not awarded as cashable credit; and (2) Utilize a promotional play system meeting the requirements of this subtitle. B. A facility operator may not issue to a player promotional play equaling or…

.37 Ticket Redemption Unit. A. A facility operator may utilize a ticket redemption unit meeting the requirements of this subtitle. B. A facility operator shall locate a ticket redemption unit on the gaming floor or cashier’s cage, subject to the surveillance coverage requirements…

.38 Jackpot Payout. A. Definition. B. A facility operator shall utilize a multipurpose jackpot or credit meter payout document meeting the requirements of this regulation to pay: (1) A jackpot not totally and automatically paid by a video lottery terminal; or (2) Credits accumula…

.39 Annuity Jackpot. A. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Annuity jackpot” means a video lottery terminal or table game jackpot in which a player wins the right to receive fixed cash payments at specified…

.40 Merchandise Jackpot. A. Definitions. (1) In this regulation, the following terms have the meanings indicated. (2) Terms Defined. (a) “Merchandise” means goods, commodities, or other things of value; and (b) “Merchandise jackpot” means a video lottery terminal or table game ja…

.41 Automated Jackpot Payout Machine. A. A facility operator may utilize an automated jackpot payout machine meeting the requirements of this subtitle. B. A facility operator may locate an automated jackpot payout machine on the gaming floor subject to the surveillance coverage r…

.42 Access to Bill Validators, Cash Storage, and Table Game Drop Boxes. A. Access. (1) A facility operator shall control access to a bill validator, a cash storage box housed in a video lottery terminal, and a table game drop box in accordance with this regulation. (2) Access to …

.43 Collection of Cash Storage and Table Game Drop Boxes. A. At least 30 days before video lottery terminal or table game operations are to commence, a facility operator shall submit to the Commission in writing a drop schedule setting forth: (1) Specific pick-up days and times f…

.44 Count Room Design Standards. A. A facility operator shall have a count room designated, designed, and used for counting the contents of cash storage and table game drop boxes at a location approved by the Commission. B. A count room shall conform to the following standards: (…

.45 Accounting Controls for a Count Room. A. Count Schedule. At least 30 days before video lottery terminal or table game operations are to commence, a facility operator shall submit to the Commission a count schedule setting forth the specific times during which cash storage and…

.46 Signs. A. A facility operator shall construct all signs required under this regulation using a color scheme and font size reasonably expected to produce a sign which is readily visible to and readable by an individual entering the facility. B. A facility operator shall post s…

.47 Player Complaints. A. A facility operator shall attempt to timely resolve a dispute with a player concerning operation of a video lottery terminal, table game, or payment of alleged winnings. B. A facility operator who is unable to satisfactorily resolve a dispute with a play…

.48 Possession of a Weapon in a Facility. A. Except as otherwise provided in this regulation, an individual may not possess in a facility: (1) A firearm as defined in Public Safety Article, §5-101, Annotated Code of Maryland; (2) An electronic control device as defined in Crimina…

.49 Acceptance of Tips or Gratuities. A. Except as otherwise provided in this regulation: (1) A supervisory video lottery employee of a facility is prohibited from soliciting or accepting a tip or gratuity directly from a player; (2) A video lottery employee is prohibited from so…

.50 Off-Site Customer Service Location. A. A facility operator may establish an off-site customer service location for a player to: (1) Establish a customer deposit account and make a deposit under Regulation .23 of this chapter; and (2) Pay a counter check under Regulation .28 o…