[35 Pa.B. 2569]
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CHAPTER 495. DOCUMENTARY FILINGS Sec.
495.1. Form of documentary filings generally. 495.2. Form of documents. 495.3. Incorporation by reference. 495.4. Single pleading covering more than one matter. 495.5. Execution of documents. 495.6. Verification. 495.7. Number of copies. § 495.1. Form of documentary filings generally.
(a) Applications, petitions, complaints, answers or similar documents shall be divided into numbered paragraphs.
(b) Copies of contracts, agreements, permits or other writings referred to in the application or petition may be attached as exhibits. Copies of writings or orders already of record with the Board need not be attached to the application or petition if reference by docket number is made to the proceeding in which they were filed.
(c) Pleadings or other documents filed with the Board in a proceeding shall clearly show the docket number or similar identifying symbols, if any, and title of the proceeding before the Board. They shall also show, in the title of a particular pleading or other document filed, the name of the person on whose behalf the filing is made. If more than one person is involved, a single name only need be included in the title.
(d) Subsections (a)--(c) supersede 1 Pa. Code § 31.5 (relating to communications and filings generally).
§ 495.2. Form of documents.
(a) The method of receipt and transmission of information will be under a policy established by the Board.
(b) Subsection (a) supersedes 1 Pa. Code § 33.2 (relating to form).
§ 495.3. Incorporation by reference.
(a) Except as otherwise provided in subsection (b), documents on file with the Board may be incorporated by reference into a subsequently filed pleading or other document. A document may be so incorporated only by reference to the specific document and to the prior filing and docket number at which it was physically filed.
(b) No document which has been on file with the Board for more than 7 years may be incorporated by reference in a current document unless the person filing the current document first makes inquiry to the Office of the Clerk and ascertains that the earlier document continues to be readily available in the active records of the Board.
§ 495.4. Single pleading covering more than one matter.
(a) Except as otherwise provided under this chapter, a single pleading may be accepted for filing with respect to a particular transaction and one or more related transactions and shall be deemed to be a single filing for purposes of the computation of fees under Chapter 471 (relating to filing fees).
(b) If, upon review, the Board determines that the transactions are not closely related or otherwise properly joined, the Board will direct that the single pleading be refiled as two or more separate pleadings, each subject to a separate filing fee.
(c) Subsections (a) and (b) supersede 1 Pa. Code § 33.4 (relating to single pleading or submittal covering more than one matter).
§ 495.5. Execution of documents.
(a) Signature. Except as may be otherwise ordered or requested by the Board, the original copy of a pleading, or other document shall be signed in ink by the party in interest, or by his attorney, as required by subsection (b), and show the office and post office address of the party or attorney. Other copies filed shall conform thereto.
(b) Subscription.
(1) A pleading or other document filed with the Board shall be subscribed by one of the following:
(i) The person filing the documents, and severally if there is more than one person so filing.
(ii) An officer if it is a corporation, trust, association or other organized group.
(iii) An officer or employee thereof if it is another agency, a political subdivision, or other governmental authority, agency or instrumentality.
(iv) An attorney having authority with respect thereto.
(2) A document filed by a corporation, trust, association or other organized group, may be required to be supplemented by appropriate evidence of the authority of the officer or attorney subscribing the documents.
(c) Effect.
(1) The signature of the person subscribing a document filed with the Board constitutes a certificate by the individual that:
(i) The person has read the document being subscribed and filed, and knows the contents thereof.
(ii) The document has been subscribed and executed in the capacity specified upon the document with full power and authority to do so, if executed in a representative capacity.
(iii) The document is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification or reversal of existing law, to the best of the person's knowledge, information and belief formed after reasonable inquiry.
(iv) The document is not interposed for an improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation.
(2) If a document is signed in violation of this subsection, the Board, upon motion or upon its own initiative, may impose upon the person who signed it, a represented party, or both, an appropriate sanction, which may include striking the document, dismissal of the proceeding or the imposition of civil penalties under section 1518 of the act (relating to prohibited acts; penalties).
(d) Supersession. Subsections (a) and (b) are identical to 1 Pa. Code § 33.11 (relating to execution). Subsection (c) supersedes 1 Pa. Code § 33.11.
§ 495.6. Verification.
(a) Applications, petitions, formal complaints, motions and answers thereto containing an averment of fact not appearing of record in the action or containing a denial of fact shall be personally verified by a party thereto or by an authorized officer of the party if a corporation or association. Verification means a signed written statement of fact supported by oath or affirmation or made subject to the penalties of 18 Pa.C.S. § 4904 (relating to unsworn falsification to authorities). If verification is required, notarization is not necessary.
(b) The verification form should comply substantially with the following:
VERIFICATION I, ______ , hereby state that the facts above set forth are true and correct (or are true and correct to the best of my knowledge, information and belief) and that I expect to be able to prove the facts. I understand that the statements herein are made subject to the penalties of 18 Pa.C.S. § 4904 (relating to Unsworn Falsification to Authorities)
Date: ______ ______
(Signature)(c) When an affidavit is used, the form should comply substantially with the following:
AFFIDAVIT I, ______ (Affiant) being duly sworn (affirmed) according to law, depose and say that (I am authorized to make this affidavit on behalf of ______ corporation, being the holder of the office of ______ with that corporation,) and that the facts above set forth are true and correct (or are true and correct to the best of my knowledge, information and belief) and (I or corporation) expect to be able to prove the facts.
______
(Signature of Affiant)Sworn and subscribed before me this ______ day of ______ , 20 ____ .
______
(Signature of official administering oath)(d) An individual who executes a pleading or other document knowing that it contains a false statement and who causes it to be filed with the Board shall be subject to prosecution of a misdemeanor of the second degree in violation of 18 Pa.C.S. § 4904(a).
(e) Subsections (a)--(d) supersede 1 Pa. Code § 33.12 (relating to verification).
§ 495.7. Number of copies.
(a) An original and seven copies of pleadings or documents other than correspondence shall be furnished to the Board at the time of filing, except as may be otherwise required by statute or ordered or requested by the Board.
(b) In the case of applications and petitions, one of the copies filed with the Board may be filed without exhibits.
(c) In the case of complaints or petitions, when more than one respondent is named, an additional copy of the complaint or petition shall be filed for each additional respondent.
(d) Subsections (a)--(c) supersede 1 Pa. Code § 33.15 (relating to number of copies).
CHAPTER 497. TIME Sec.
497.1. Date of filing. 497.2. Computation of time. 497.3. Issuance of Board orders. 497.4. Effective dates of Board orders. 497.5. Extensions of time and continuances. § 497.1. Date of filing.
(a) Whenever a pleading or other document is required or permitted to be filed under this part or by statute, it will be deemed to be filed on one of the following dates:
(1) On the date actually received in the Office of the Office of the Clerk.
(2) On the date deposited with an overnight express package delivery service as shown on the express delivery receipt attached to or included within the envelope containing the document.
(3) On the date deposited in the United States mail as shown by the United States Postal Service stamp on the envelope or on a United States Postal Service Form 3817 certificate of mailing. A mailing envelope stamped by an in-house postage meter is insufficient proof of the date of mailing.
(b) Failure to include a legible delivery receipt with the document may result in an untimely filing.
(c) Except as otherwise permitted by the Board, a document transmitted by facsimile or electronically to the Board will not be accepted for filing within the meaning of this section.
(d) Subsections (a)--(c) supersede 1 Pa. Code § 31.11 (relating to timely filing required).
§ 497.2. Computation of time.
(a) Except as otherwise provided by statute, in computing a period of time prescribed or allowed by this title or by statute, the day of the act, event or default after which the designated period of time begins to run is not included. The last day of the period is included, unless it is Saturday, Sunday or a legal holiday in this Commonwealth, in which event the period shall run until the end of the next day which is neither a Saturday, Sunday nor a holiday. Intermediate Saturdays, Sundays and legal holidays shall be included in the computation.
(b) Except as otherwise provided by statute, in computing a period of time prescribed or allowed by this title or by statute which is measured by counting a specified number of days backward from a scheduled future act, event or default, the day of the scheduled future act, event or default is not included. The day on which the prescribed or allowed action is to occur shall be included, unless it is a Saturday, Sunday or a legal holiday in this Commonwealth, in which event the day of the prescribed or allowed action shall run until the next preceding day which is neither a Saturday, Sunday nor a holiday. A part-day holiday shall be considered as a holiday. Intermediate Saturdays, Sundays and legal holidays are included in the computation.
(c) Subsections (a) and (b) supersede 1 Pa. Code § 31.12 (relating to computation of time).
§ 497.3. Issuance of Board orders.
(a) In computing a period of time involving the date of the issuance of an order by the Board, the day of issuance of an order will be the date the Office of the Clerk enters the order. An order will not be made public prior to its entry except when, in the Board's judgment, the public interest so requires. The date of entry of an order may or may not be the day of its adoption by the Board. The Clerk will clearly indicate on each order the date of its adoption by the Board and the date of its entry.
(b) The date of entry of an order which is subject to review by the Supreme Court of Pennsylvania is governed by 2 Pa.C.S. Chapter 7, Subchapter A (relating to judicial review of Commonwealth agency action). The date of issuance of an order shall be deemed to be the date of entry for the purposes of computing the time for appeal under an applicable statute relating to judicial review of Board action.
(c) Subsections (a) and (b) are identical to 1 Pa. Code § 31.13 (relating to issuance of agency orders).
§ 497.4. Effective dates of Board orders.
(a) An order of the Board promulgating regulations shall be effective upon publication in the Pennsylvania Bulletin unless otherwise specially provided in the order.
(b) Except as provided in subsection (a), an order of the Board will be effective as of the date of entry unless otherwise specially provided in the order.
(c) Subsections (a) and (b) supersede 1 Pa. Code § 31.14 (relating to effective dates of agency orders).
§ 497.5. Extensions of time and continuances.
(a) Extensions of time shall be governed by the following:
(1) Except as otherwise provided by statute, whenever under this part or by order of the Board, or notice given thereunder, an act is required or allowed to be done at or within a specified time, the time fixed or the period of time prescribed may, by the Board, for good cause be extended upon motion made before expiration of the period originally prescribed or as previously extended. Upon motion made after the expiration of the specified period, the act may be permitted to be done where reasonable grounds are shown for the failure to act.
(2) Requests for the extension of time in which to file briefs shall be filed at least 5 days before the time fixed for filing the briefs unless the Board, for good cause shown allows a shorter time.
(b) Except as otherwise provided by statute, requests for continuance of hearings or for extension of time in which to perform an act required or allowed to be done at or within a specified time by this title or by order of the Board, shall be by motion in writing, timely filed with the Board, stating the facts on which the application rests, except that during the course of a proceeding, the requests may be made by oral motion in the hearing before the Board. Only for good cause shown will requests for continuance be considered. The requests shall be submitted at least 5 days prior to the hearing date.
(c) Subsections (a) and (b) supersede 1 Pa. Code § 31.15 (relating to extensions of time).
CHAPTER 499. REPRESENTATION BEFORE THE BOARD Sec.
499.1. Appearance in person. 499.2. Appearance by attorney. 499.3. Other representation prohibited at hearings. 499.4. Notice of appearance or withdrawal. 499.5. Form of notice of appearance. 499.6. Contemptuous conduct. 499.7. Suspension and disbarment. § 499.1. Appearance in person.
(a) Individuals may represent themselves.
(b) In adversarial proceedings, partnerships, corporations, trusts, associations, agencies, political subdivisions and government entities shall be represented only under § 499.2 (relating to appearance by attorney). For purposes of this section, without limitation, a request for licensure under sections 1302, 1304, 1305, 1315 and 1317 of the act or a license or permit determined by the Board, shall be considered to be an adversarial proceeding.
(c) Subsections (a) and (b) supersede 1 Pa. Code § 31.21 (relating to appearance in person).
§ 499.2. Appearance by attorney.
(a) Individuals, partnerships, associations, corporations or governmental entities may be represented in a proceeding by an attorney at law admitted to practice before the Supreme Court of Pennsylvania.
(b) An attorney licensed in a jurisdiction which does not accord like privileges to members of the bar of this Commonwealth may appear before the Board with the permission of the Board consistent with Pa.B.A.R. 301 (relating to admission pro hac vice).
(c) Subsections (a) and (b) supersede 1 Pa. Code § 31.22 (relating to appearance by attorney).
§ 499.3. Other representation prohibited at hearings.
(a) Participants, individuals, partnerships, associations, corporations or governmental entities may not be represented at a hearing before the Board except as:
(1) Stated in §§ 499.1 and 499.2 (relating to appearance in person; and appearance by attorney).
(2) Otherwise permitted by the Board in a specific case.
(b) Subsection (a) supersedes 1 Pa. Code § 31.23 (relating to other representation prohibited at hearings).
§ 499.4. Notice of appearance or withdrawal.
(a) An individual appearing without representation before the Board shall file with the Office of the Clerk an address for service of a notice or other written communication. A change in address which occurs during the course of the proceeding shall be reported to the Office of the Clerk promptly.
(b) An attorney whose name and address appears in a representative capacity on an initial pleading filed with the Office of the Clerk shall be considered to have entered an appearance in that proceeding. An attorney who enters the matter at a later stage of the proceeding shall file with the Office of the Clerk a written notice of the appearance, which shall state his name, address and telephone number and the name and address of the person on whose behalf he appears. The notice shall be served on the participants in the proceeding. A change in address which occurs during the course of the proceeding shall be reported to the Office of the Clerk promptly.
(c) A person appearing or practicing before the Board in a representative capacity may be required to file a power of attorney with the Board showing his authority to act in that capacity.
(d) An attorney who wishes to withdraw an appearance shall file with the Office of the Clerk a written notice of withdrawal. The notice shall be served on the participants.
(e) Subsections (a)--(d) supersede 1 Pa. Code § 31.24 (relating to notice of appearance).
§ 499.5. Form of notice of appearance.
(a) The form of notice of appearance is as follows:
COMMONWEALTH OF PENNSYLVANIA BEFORE THE PENNSYLVANIA GAMING CONTROL BOARD
In the Matter of:
[File, Docket or other identifying No.:]
NOTICE OF APPEARANCE Please enter my appearance in the above-designated matter on behalf of ______ .
I am authorized to accept service on behalf of said participant in this matter.
[CHECK ONE]
[ ] On the basis of this notice, I request a copy of each document hereafter issued by the Board in this matter.
[ ] I am already receiving or have access to a copy of each document issued by the Board in this matter and do not on the basis of this notice require an additional copy.
_________________
Signature
_________________
Attorney Identification Number
_________________
Name (Printed)
_________________
P. O. address
_________________
City, state and zip code
_________________
Telephone Number
(including area code)
(b) Subsection (a) supersedes 1 Pa. Code § 31.25 (relating to form of notice of appearance).
§ 499.6. Contemptuous conduct.
(a) Contemptuous conduct at a hearing before the Board shall be grounds for exclusion from the hearing and for summary suspension without a hearing for the duration of the hearing.
(b) Subsection (a) is identical to 1 Pa. Code § 31.27 (relating to contemptuous conduct).
§ 499.7. Suspension and disbarment.
(a) The Board may deny, temporarily or permanently, the privilege of appearing or practicing before it to a person who is found by the Board, after notice and opportunity for hearing in the matter, to have done one or more of the following:
(1) Lacked the requisite qualifications to represent others.
(2) Engaged in unethical, contemptuous or improper conduct before the Board.
(3) Repeatedly failed to follow Board directives.
(b) For the purpose of subsection (a), practicing before the Board shall include:
(1) Transacting business with the Board.
(2) The preparation of a statement, opinion or other paper by an attorney, accountant, engineer or other expert, filed with the Board in a pleading or other document with the consent of the attorney, accountant, engineer or other expert.
(3) Appearances at a hearing before the Board.
(c) Subsections (a) and (b) are identical to 1 Pa. Code § 31.28 (relating to suspension and disbarment).
(Editor's Note: The following Proposed Regional Supplier Amendments were introduced but not acted upon by the Board at its April 12, 2005, meeting. The following is printed for public comment.)
Proposed Regional Supplier Amendments Add to § 427.2
(e) Preference will be given to applicants for manufacturer licenses who can demonstrate that they either have established or will establish within 60 days after licensure, a bona fide place of business in the Commonwealth and is or will, within such timeframe, be capable of performing all functions required of a manufacturer licensee.
Add to § 431.2(a)
(9) submit a detailed business plan including, without limitation, the type of good to be supplied and services to be provided through purchase, lease, contract, or otherwise; projected economic benefit to the region in which it is seeking to be licensed; projected number of jobs to be created; opportunities to be created for minority and women owned businesses; and its intended principal place of business to be located within this Commonwealth within one year of issuance of its license;
(10) A statement setting forth whether the applicant has an existing place of business in the Commonwealth; the location of any such business; and the nature of any such business.
(11) a notarized statement, attesting that the applicant is qualified to be issued a comparable license in any jurisdiction in the United States that licenses gaming and gaming related activities. The statement shall be subject to review, investigation and verification by the Board. Inability to meet the qualifications for issuance of a comparable license in any jurisdiction in the United States shall disqualify the applicant from receiving a supplier license.
(12) a notarized statement, attesting that neither the applicant, nor its affiliate, intermediary, subsidiary or holding company holds any direct or indirect ownership interest in any licensed manufacturer or any slot machine license applicant or licensee, or employs, directly or indirectly, any officer, director, key employee, supervisory or principal employee of a licensed manufacturer or slot machine licensee, signed by the chief executive officer of the applicant.
Add to § 431.3(1)
Preference will be given to applicants for supplier licenses who can demonstrate that they either have established or will establish within 60 days after licensure, a bona fide place of business in the Commonwealth and is, or within such timeframe, will be capable of performing all functions required of a supplier licensee.
Add to § 431.3 by replacing current paragraph (5) and adding:
(5) A manufacturer may only sell, or otherwise provide, slot machines, progressive slot machines, parts or associated equipment to a licensed supplier and a licensed slot machine facility may only purchase, lease, contract for or agree to receive slot machines, progressive slot machines, parts or associated equipment from a licensed supplier.
(6) A licensed slot machine facility may not purchase, lease, contract for, agree to receive or in any way transfer into or out of the Commonwealth a slot machine or associated equipment to or from its affiliated company or companies except through a licensed supplier.
(7) A licensed manufacturer may not apply for and is ineligible to receive a supplier license.
(8) The Board will establish five distinct supplier regions within the Commonwealth taking into consideration relevant demographic and market information.
(9) No less than five and no more than 10 supplier licenses shall be issued within each region. In determining the number of supplier licenses to be issued within a region, the Board will consider the potential market area within the region, the level of supplier services projected to be required in the region and the impact of the number of supplier licenses to be issued on the financial viability of each supplier operation within the specified region.
(10) The Board shall cause to be published in the Pennsylvania Bulletin a description of each supplier region in the Commonwealth and the number of supplier licenses to be issued within each region.
(11) A licensed supplier may only sell, lease, offer or otherwise provide, distribute, market, maintain, repair or service slot machines, progressive slot machines, parts or associated equipment and perform slot machine related services within its designated region.
(12) Licensed slot machine facilities may only purchase, lease, contract for or agree to receive slot machines, progressive slot machines, parts or associated equipment and slot machine related services from a licensed supplier within its designated region.
(13) All agreements between a licensed manufacturer and a licensed supplier shall be subject to review and approval of the Board. The Board will not recognize nor approve any agreement between a manufacturer and a supplier entered into prior to Board approval of the manufacturer and supplier for licensure under the act and this subpart. Review of any agreement between a licensed manufacturer and a licensed supplier shall include, but not be limited to, all financing arrangements, inventory requirements, warehouse space requirements and technical training requirements. Such agreements:
(i) may or may not prohibit the licensed supplier from selling or leasing slot machines or slot machine replacement parts of other licensed manufacturers; Provided, however, that a licensed supplier may not be the exclusive supplier for more than one licensed manufacturer.
(ii) shall not extend beyond the term of the supplier license in effect on the date the agreement is entered into or one year, whichever is longer.
(14) All agreements between a licensed supplier and a licensed slot machine facility shall be subject to review and approval of the Board. This review shall include, but not be limited to, the proposed method of financing the purchase or lease of slot machines, progressive slot machines, parts or associated equipment and the method used to determine the compensation to be received by the licensed slot machine supplier.
(15) A licensed slot machine facility shall not dispose, sell or deliver of a slot machine or associated equipment to anyone other than a licensed supplier. A licensed slot machine facility shall not sell, deliver or dispose of a slot machine or associated equipment without the prior written approval of the Board. A slot machine facility licensee shall not request approval to sell, deliver or dispose of a slot machine or associated equipment to a licensed supplier unless the devices have been marked for such activity. Applications for approval to sell, deliver or dispose of a slot machine or associated equipment must be made, processed and determined in such manner and using such forms as the Board may prescribe.
[Pa.B. Doc. No. 05-824. Filed for public inspection April 22, 2005, 9:00 a.m.]
[35 Pa.B. 2590]
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