Section 12556 - Factors in Mitigation or Aggravation of PenaltyFactors in mitigation may reduce a minimum penalty of suspension listed in this chapter, either in number of days suspended and/or in the proposal to stay a suspension for a period of probation and the payment of any monetary penalty. Factors in aggravation may increase a penalty or be taken into consideration in determining whether or not to allow a suspension to be stayed upon payment of a monetary penalty. If presented by complainant or respondent, the Commission will consider the following factors in mitigation or aggravation of the penalty imposed:
(a) Violation of any previously imposed or agreed upon condition, restriction or directive.(b) Whether or not the conduct was knowing, willful, reckless, or inadvertent.(c) The extent to which respondent cooperated with the Bureau or Commission during the investigation of the violation.(d) The extent to which respondent was honest with the Bureau or Commission during the investigation of the violation.(e) The extent to which respondent is willing to reimburse or otherwise make whole any person who has suffered a loss due to the violation.(f) Whether respondent has initiated remedial measures to prevent similar violations.(g) The extent to which respondent realized an economic gain from the violation.(h) Disciplinary history of respondent, repeated offenses of the same or similar nature, or evidence that the unlawful act was part of a pattern or practice, including the frequency or duration of any pattern or practice which violates applicable law.(i) Any other aggravating factors, including any factors which the Commission determines to bear on the health, safety, or welfare of the public.(j) The extent to which there was actual or potential harm to the public or to any patron.(k) The extent to which a cardroom business licensee, key employee licensee, TPPPS owner type licensee, or TPPPS supervisor licensee exercised due diligence in management or supervision.(l) If the violation was caused by an employee category licensee or independent contractor of an owner category licensee, the extent to which the owner category licensee knew or should have known of the employee category licensee's or independent contractor's improper conduct; the level of authority of the employee category licensee or independent contractor involved and the extent to which the employee category licensee or independent contractor acted within the scope of his or her authority in committing the violation.(m) If the violation was caused by an owner category licensee, the extent to which the owner category licensee knew or should have known of the improper conduct.(n) If the violation was caused or committed by a TPPPS category licensee, the extent to which the cardroom business licensee or TPPPS owner type licensee knew or should have known of the TPPPS category licensee's improper conduct.(o) Any relevant evidence offered by respondent in mitigation of the violation.Cal. Code Regs. Tit. 4, § 12556
1. New section filed 2-8-2007; operative 3-10-2007 (Register 2007, No. 6).
2. Change without regulatory effect amending subsections (c)-(d) filed 8-8-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).
3. Amendment filed 12-12-2020; operative 1-1-2021 pursuant to Government Code section 11343.4(b) (Register 2020, No. 51). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20. Note: Authority cited: Sections 19825, 19840 and 19930, Business and Professions Code. Reference: Sections 19825, 19920, 19930 and 19984, Business and Professions Code.
1. New section filed 2-8-2007; operative 3-10-2007 (Register 2007, No. 6).
2. Change without regulatory effect amending subsections (c)-(d) filed 8-8-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 32).
3. Amendment filed 12-12-2020; operative 1/1/2021 pursuant to Government Code section 11343.4(b) (Register 2020, No. 51). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20.