[35 Pa.B. 2569]
[Continued from previous Web Page]
CHAPTER 427. MANUFACTURER LICENSES Sec.
427.1. Manufacturer license requirements. 427.2. Manufacturer licensing standards and application. 427.3. Alternative manufacturer licensing standards. § 427.1. Manufacturer license requirements.
(a) In determining whether an applicant shall be licensed as a manufacturer under this section, the Board will consider whether the person satisfies one or more of the criteria listed in this section, whether the applicant manufactures devices, machines, or equipment, which are or have one of the following:
(1) Specifically designed for use in the operation of a slot machine licensee.
(2) Needed to conduct an authorized game.
(3) The capacity to affect the outcome of the play of a game.
(4) The capacity to affect the calculation, storage, collection, or control of gross revenue.
(b) An applicant for or holder of a manufacturer license shall have a continuing duty to:
(1) Notify the Board of a material change in the information, materials, and documents submitted in the license application or renewal application submitted by the applicant or licensee or a change in circumstances that may render the applicant or licensee ineligible, unqualified or unsuitable to hold the license under the licensing standards and requirements of the act of this part.
(2) Provide information requested by the Board or the Bureau relating to licensing or regulation; cooperate with the Board in investigations, hearings, and enforcement and disciplinary actions; and comply with all conditions, restrictions, requirements, orders and rulings of the Board in accordance with the act.
(c) In accordance with section 1317 of the act (relating to supplier and manufacturer licenses application), a person, its affiliates, intermediary, subsidiary or holding companies, who has applied for or who is applying for or holds a manufacturer's license or a slot machine license is not eligible to apply for or hold a supplier license.
§ 427.2. Manufacturer licensing standards and application.
(a) The standards and requirements for qualification for a manufacturer license are set forth as follows and in section 1317 of the act (relating to supplier and manufacturer licenses applications). The applicant shall submit:
(1) A nonrefundable application fee.
(2) An original and seven copies of the Manufacturer/Supplier Application and Disclosure Information Form for the applicant that has applied for the license under this part.
(3) A plan of the diversity goals in the ownership, participation and operation of licensed entities in this Commonwealth, as set forth in section 1212 of the act (relating to diversity goals of board) and Chapter 481 (relating to general provisions), signed by the chief executive officer of the applicant.
(4) An application from every key employee qualifier as specified by the Manufacturer/Supplier Application and Disclosure Form or as determined by the Board, which shall consist of the following:
(i) An original and one copy of the Multi-Jurisdictional Personal History Disclosure Form with a nonrefundable deposit of $5,000 per application for each key employee qualifier, as defined in § 401.4 (relating to definitions).
(ii) The applicant may be subject to additional charges based on the actual expenses incurred by the Board in conducting the background investigation.
(5) Copies of all filings required by the United States Securities and Exchange Commission including all annual reports filed with the United States Securities Exchange Commission, under section 13 or 15D of the Securities Exchange Act of 1934 (15 U.S.C.A. §§ 78m and 78o-6), quarterly reports filed with the United States Securities Exchange Commission, under sections 13 or 15D of the Securities Exchange Act of 1934, current reports filed with the United States Securities Exchange Commission, under sections 13 or 15D of the Securities Exchange Act of 1934, proxy statements issued by the applicant during the 2 immediately preceding fiscal years.
(6) Properly executed forms for Consents to Inspections, Searches and Seizures; Waivers of Liability for Disclosures of Information and Consents to Examination of Accounts and Records in forms as prescribed by the Board.
(7) The applicant, or its affiliate, intermediary, subsidiary or holding company shall affirm that it does not hold a direct or indirect ownership interest in a supplier applicant or licensee, or employs, directly or indirectly, an officer, director, supervisory or principal employee of a supplier applicant or licensee.
(8) Other information or documentation required by the Board.
(b) Each application for manufacturer's license will include the production of financial books, records, information, documentation and assurances to satisfy the Board of the following:
(1) The financial stability, good character, honesty, integrity and responsibility of the applicant.
(2) That all key employee qualifiers individually qualify under the standards of section 1317 of the act.
(3) The integrity of all financial backers, investors, mortgagees, bondholders, and holders of indentures, notes or other evidences of indebtedness, either in effect or proposed, which bears any relationship to the applicant.
(4) The suitability of the applicant and all key employee qualifiers of the applicant based on the satisfactory results of:
(i) A background investigation of all owners, officers, board of directors and key employees or their equivalent in other jurisdictions.
(ii) A current tax clearance review performed by the Department.
(iii) A current unemployment compensation tax clearance review and a workers compensation tax clearance review performed by the Department of Labor and Industry.
(c) The applicant, licensee, holding affiliate, intermediary or subsidiary company thereof, or an officer, director or key employee thereof, is prohibited from making a contribution of money or in-kind contribution to a candidate for nomination or election to a public office in this Commonwealth or to a political committee or State party in this Commonwealth or to a group, committee or association organized in support of a candidate, political committee or State party, as set forth in section 1513 of the act (relating to political influence).
(d) Neither the applicant nor a person directly related to the applicant may be a party in an ongoing civil proceeding in which the applicant is seeking to overturn or otherwise challenge a decision or order of the Board or Commissions, pertaining to the approval, denial or conditioning of a license to conduct thoroughbred or harness horse race meetings respectively with pari-mutuel wagering, or to operate slot machines in this Commonwealth.
§ 427.3. Alternative manufacturer licensing standards.
(a) The Board may, upon written request of a manufacturer license applicant, issue a manufacturer license to an applicant who holds a similar license in another jurisdiction within the United States if:
(1) The Board determines, after investigation, that the licensing standards in a jurisdiction in which the applicant is licensed are similarly comprehensive, thorough and provide equal, if not greater, safeguards as provided in the act and that granting the petition is in the public interest.
(2) A completed application has been filed by the applicant.
(3) The applicant has otherwise met all statutory requirements for licensure.
(4) The applicant has provided current, updated information to the Board associated with a similar license in a jurisdiction related to its financial viability and suitability.
(5) The applicant has no administrative or enforcement actions pending in another jurisdiction.
(6) There are no pending or ongoing investigations of possible material violations by the applicant in another jurisdiction.
(b) This section may not be construed to waive fees associated with obtaining a license through the application process in this Commonwealth.
CHAPTER 431. SUPPLIER LICENSES Sec.
431.1. Supplier license requirements. 431.2. Supplier licensing standards and application. 431.3. Supplier requirements and prohibitions. § 431.1. Supplier license requirements.
(a) In determining whether an applicant will be licensed as a supplier under this section, the Board will consider whether the person satisfies the criteria listed in this section, whether the person sells, leases, offers or otherwise provides, distributes or services slot machines or associated equipment at a licensed gaming facility which:
(1) Are specifically designed for use in the conduct of slot machine gaming.
(2) Are needed to conduct slot machine gaming.
(3) Have the capacity to affect the outcome of the play of a slot machine.
(4) Have the capacity to affect the calculation, storage, collection or control of gross receipts.
(b) An applicant for or holder of a supplier license shall have a continuing duty to do all of the following:
(1) Notify the Board of a material change in the information, materials, and documents submitted in the license application or renewal application submitted by the applicant or licensee or a change in circumstances that may render the applicant or licensee ineligible, unqualified or unsuitable to hold the license under the licensing standards and requirements of the act.
(2) Provide information requested by the Board or the Bureau relating to licensing or regulation; cooperate with the Board in investigations, hearings, and enforcement and disciplinary actions; and comply with all conditions, restrictions, requirements, orders, and rulings of the Board in accordance with the act.
(c) In accordance with section 1317 of the act (relating to supplier and manufacturer licenses application), a person, its affiliates, intermediary, subsidiary or holding companies, who has applied for or who holds a manufacturer's license or a slot machine license is not eligible to apply for or hold a supplier license.
(d) Slot monitoring computer systems, casino management computer systems, player tracking computer systems, slot accounting computer systems, ticket-in/ticket-out computer systems, bonusing computer systems, wide-area progressive computer systems, and all computer systems and associated computer system equipment are excluded from a requirement that they be provided through a licensed supplier as set forth in this part. Persons or entities providing these computer systems to slot machine licensees, including manufacturers, may employ individuals to service and repair computer systems and associated computer system equipment.
§ 431.2. Supplier licensing standards and application.
(a) The standards and requirements for qualification for a supplier license are set forth as follows and in section 1317 of the act (relating to supplier and manufacturer licenses application). The applicant shall submit:
(1) A nonrefundable application processing fee.
(2) An original and seven copies of the Manufacturer/Supplier Application and Disclosure Information Form for the applicant that has applied for the license under this part.
(3) A plan of the diversity goals in the ownership, participation and operation of licensed entities in this Commonwealth, as set forth in section 1212 of the act (relating to diversity goals of board) and Chapter 481 (relating to general provisions), signed by the chief executive officer of the applicant.
(4) An application from every key employee qualifier as specified by the Manufacturer/Supplier Application and Disclosure Form or as determined by the Board, which shall consist of the following:
(i) An original and one copy of the Multi-Jurisdictional Personal History Disclosure Form with a nonrefundable deposit of $5,000 per application for each key employee qualifier, as defined in § 401.4 (relating to definitions).
(ii) The applicant may be subject to additional charges based on the actual expenses incurred by the Board in conducting the background investigation.
(5) Copies of all filings required by the United States Securities and Exchange Commission including all annual reports filed with the United States Securities Exchange Commission, under sections 13 or 15D of the Securities Exchange Act of 1934 (15 U.S.C.A. §§ 78m and 78o-6), quarterly reports filed with the United States Securities Exchange Commission, under sections 13 or 15D of the Securities Exchange Act of 1934, current reports filed with the United States Securities Exchange Commission, under sections 13 or 15D of the Securities Exchange Act of 1934, proxy statements issued by the applicant during the 2 immediately preceding fiscal years.
(6) All properly executed forms for Consents to Inspections, Searches and Seizures; Waivers of Liability for Disclosures of Information and Consents to Examination of Accounts and Records in forms as prescribed by the Board.
(7) The applicant, or its affiliate, intermediary, subsidiary or holding company shall affirm that it does not hold a direct or indirect ownership interest in a manufacturer or slot machine license applicant or licensee, or employs, directly or indirectly, an officer, director, supervisory or principal employee of a manufacturer or slot machine license applicant or licensee.
(8) Other information or documentation required by the Board.
(b) Each application for a supplier's license shall include the production of financial books, records, information, documentation and assurances to satisfy the Board of:
(1) The financial stability, good character, honesty, integrity and responsibility of the applicant.
(2) That all key employee qualifiers individually qualify under the standards of section 1317 of the act.
(3) The integrity of all financial backers, investors, mortgagees, bondholders, and holders of indentures, notes or other evidences of indebtedness, either in effect or proposed, which bears a relationship to the applicant.
(4) The suitability of the applicant and all key employee qualifiers of the applicant based on the satisfactory results of:
(i) A background investigation of all owners, officers, board of directors and key employees or their equivalent in other jurisdictions.
(ii) A current tax clearance review performed by the Department.
(iii) A current unemployment compensation tax clearance review and a workers compensation tax clearance review performed by the Department of Labor and Industry.
(c) The applicant, licensee, holding affiliate, intermediary or subsidiary company thereof, or an officer, director or key employee thereof, is prohibited from making a contribution of money or in-kind contribution to a candidate for nomination or election to a public office in this Commonwealth or to a political committee or State party in this Commonwealth or to a group, committee or association organized in support of a candidate, political committee or state party, as set forth in section 1513 of the act (relating to political influence).
(d) Neither the applicant nor a person directly related to the applicant may be a party in an ongoing civil proceeding in which the applicant is seeking to overturn or otherwise challenge a decision or order of the Board or Commissions, pertaining to the approval, denial or conditioning of a license to conduct thoroughbred or harness horse race meetings respectively with pari-mutuel wagering, or to operate slot machines in this Commonwealth.
§ 431.3. Supplier requirements and prohibitions.
A licensed supplier shall be the sole and exclusive authorized source of slot machines or associated equipment, as provided in section 1317 of the act (relating to supplier and manufacturer licenses application), that are sold, leased, offered or otherwise provided for use or play, distributed, serviced or repaired at a licensed gaming entity. Every licensed supplier shall:
(1) Establish a principal place of business in this Commonwealth within 1 year of the Board's approval of the supplier license and maintain a principal place of business throughout the period during which the license is held.
(2) Only employ technicians that have been approved by a licensed manufacturer.
(3) Maintain at all times an adequate inventory of replacement parts and supplies for slot machine operation and support.
(4) At the time of licensure, have assets or available lines of credit to support the sale, financing, servicing and repair of all slot machines to be placed in service by the supplier. The assets and available lines of credit shall be from sources independent of slot machine manufacturers and licensed gaming entities.
(5) Upon request of the Board, submit to the Board for review an agreement with a licensed manufacturer or with a licensed gaming entity and detailed business plans. The Board's review may include all financing arrangements, inventory requirements, warehouse requirements, warehouse space, technical competency, compensative agreements and other terms or conditions to ensure the financial independence of the licensed supplier from the licensed manufacturer and licensed gaming entity.
CHAPTER 433. LICENSE RENEWAL Sec.
433.1. Renewal of manufacturer and supplier license. § 433.1. Renewal of manufacturer and supplier license.
(a) A license issued under this part shall be valid for 1 year and for all subsequent renewals. An application for renewal shall be filed by a licensed entity, conducting business on a regular or continuing basis, no later than 60 days prior to the expiration of the license.
(b) The licensed entity shall complete and file an original and seven copies of a Manufacturer/Supplier License Renewal Application Form which shall, without limitation, disclose all changes in ownership of the licensed entity, and the new owner shall be required to submit an application for licensure and evidence that he is qualified for licensure.
(1) The licensed entity shall disclose all changes in personnel who are to be qualified by the Board.
(2) The licensed entity shall pay a license renewal fee when the Renewal Application Form is filed.
(3) Once a Renewal Application Form has been filed and the renewal fee has been paid, the original license shall remain in effect until the Board has determined that the licensed entity has complied with all conditions of licensure as originally provided by the Board, or the Board has determined that an adverse material change in a condition of the original license has occurred which shall result in the nonrenewal of the license.
CHAPTER 435. EMPLOYEES Sec.
435.1. General provisions. 435.2. Key employee qualifier license. 435.3. Key employee license. 435.4. Occupation permit. § 435.1. General provisions.
(a) The issuance or renewal of a license or permit by the Board is a revocable privilege. No individual holding a license or permit under this part will be deemed to have a property interest in the license or permit.
(b) It shall be the affirmative responsibility of each individual applying for a license or permit under this part to establish his individual qualifications. All information provided to the Board must be true and complete. If there is a change in the information provided to the Board, an applicant shall promptly file a written amendment in a manner prescribed by the Board. An individual who fails to cooperate with the Board in its review of an application under this part will not be granted a license or permit.
(c) An individual applying for a license or permit under this part shall provide all information required by the act and this part and satisfy all requests for information pertaining to qualification in a form required by the Board. An individual who fails to provide information, documentation and disclosures required by this part or the Board or who fails to reveal a fact material to qualification will not be granted a license or permit under this part. An applicant shall waive liability as to the Board, its employees, the Commonwealth and its instrumentalities for damages resulting from disclosure or publication in a manner, other than a willfully unlawful disclosure or publication, or material or information acquired during an investigation of the individual.
(d) An individual applying for a license or permit under this part shall have the continuing duty to provide assistance or information required by the Board or the Bureau, and to cooperate in an inquiry, investigation or hearing conducted by the Board or the Bureau. If, upon issuance of a formal request for information, evidence or testimony, an applicant, licensee or permittee refuses to comply with requests for assistance or information, the application, license or permit will be denied or revoked by the Board.
(e) An individual who receives a license or permit under this part shall have the continuing duty to report an arrest or conviction for an offense under 18 Pa.C.S. (relating to Crimes and Offenses), of an offense under 75 Pa.C.S. § 3802 (relating to driving under influence of alcohol or controlled substance) or of a comparable offense in other United States or foreign jurisdictions to the Board.
(f) An individual may not be employed by a slot machine licensee, manufacturer licensee or supplier licensee in any capacity unless the individual is a citizen of the United States or can demonstrate that he holds a current and valid work authorization and is not restricted from working in the capacity for which employment is sought or held. Authorization to work in the United States may be demonstrated by submitting one of the following:
(1) A permanent resident alien card.
(2) A temporary employment authorization card.
(3) A document which the Board deems to be sufficient evidence or authorization.
(g) No applicant, licensee or permittee may give or provide, or offer to give or provide, compensation or reward or a percentage or share of the money or property played or received through gaming in consideration for obtaining a license or permit to participate in gaming operations.
(h) An individual regulated by this part shall have a duty to inform the Board and the Bureau of an action which the individual believes would constitute a violation of the act. No person who so informs the Board or the Bureau will be discriminated against by an applicant, licensee or person for supplying the information.
(i) An individual who submits a document under this part in a language other than English to the Board or the Pennsylvania State Police with an application for a license or permit or in response to a request for information from the Board or the Pennsylvania State Police shall also submit an English translation of the non-English language document. The translation shall include the signature, printed name, address and telephone number of the translator and a verification by the translator of the truth and accuracy of the translation.
(j) Sixty days prior to the expiration of a license or permit under this part, a licensee or permittee may submit a renewal application to the Board. If the renewal application meets all the requirements of this part, the Board may renew the license. A new background investigation is not required unless ordered by the Board. All licensees and permittees shall provide an updated photograph at least every 2 years.
(k) If the Board receives a complete renewal application but fails to act upon the application prior to the expiration of the license or permit, the license or permit shall continue in effect until acted upon by the Board.
(l) A reference to a slot machine licensee, manufacturer licensee or supplier licensee under this chapter includes an applicant for a slot machine license, manufacturer license or supplier license in addition to a person who is already licensed.
(m) The Board will maintain a list of all individuals who have applied for a license or permit under this part as well as a record of all actions taken with respect to each applicant.
§ 435.2. Key employee qualifier license.
(a) An individual employed by a person who is a slot machine licensee, a manufacturer licensee, or a supplier licensee as a key employee qualifier, as defined in § 401.4 (relating to definitions), shall obtain a key employee qualifier license from the Board.
(b) An application for licensure as a key employee qualifier shall be on a form prescribed by the Board and include the following:
(1) The name and address of the individual to include the home address and history of residence and all current business addresses.
(2) Daytime and evening telephone numbers.
(3) Date of birth.
(4) Physical description.
(5) Social Security number.
(6) Citizenship, resident alien status or authorization to work in the United States.
(7) Marital history.
(8) Military history.
(9) Employment history, including gaming-related employment.
(10) Verification of an applicant's employment or an offer of employment from a slot machine licensee or a supplier.
(11) A description of the employment responsibilities of the individual and their relationship to the operation of the slot machine licensee, manufacturer licensee or supplier licensee and of all education, training and experience that qualifies the individual for the position.
(12) Consent to a background investigation, including a signed, dated and notarized release authorization necessary to obtain information from governmental agencies and other institutions.
(13) The individual's criminal history records information and arrests or criminal charges brought against the individual.
(14) A photograph from the Commonwealth Photo Imaging Network.
(15) A set of fingerprints consistent with section 1802 of the act (relating to submission of fingerprints).
(16) A list of civil judgments consistent with section 1310(b) of the act (relating to slot machine license application character requirements).
(17) Details relating to a similar license obtained in another jurisdiction.
(18) A tax clearance certificate from the Department.
(19) The appropriate filing fee.
(20) Information required by the Board.
(c) In addition to the information under subsection (b), the Board may require letters of reference under section 1310(b) of the act.
(d) After review of the information submitted under subsection (b), including the background investigation, the Board may issue a key employee qualifier license if the individual applicant has proven by clear and convincing evidence that he is a person of good character, honesty and integrity and is qualified to hold a key employee qualifier license.
(e) A license under this chapter will be nontransferable.
(f) An individual who receives a license under this chapter need not obtain an additional license as a key employee.
§ 435.3. Key employee license.
(a) An individual employed by a slot machine licensee, manufacturer licensee or supplier licensee as a key employee as defined by the act shall obtain a key employee license from the Board.
(b) An application for licensure as a key employee shall be on a form prescribed by the Board and include the following:
(1) The name and address of the individual, to include the home address and history of residence and all business addresses.
(2) Daytime and evening telephone numbers.
(3) Date of birth.
(4) Physical description.
(5) Social Security number.
(6) Citizenship, resident alien status or authorization to work in the United States.
(7) Marital history.
(8) Military history.
(9) Employment history, including gaming related employment.
(10) Verification of an applicant's employment or an offer of employment from a slot machine licensee, manufacturer licensee or a supplier licensee.
(11) A description of the employment responsibilities of the individual and a statement of all education, training and experience that qualifies the individual for the position.
(12) Consent to a background investigation, including a signed, dated and notarized release authorization necessary to obtain information from governmental agencies and other institutions.
(13) The individual's criminal history records and arrests or criminal charges brought against the individual.
(14) A photograph from the Commonwealth Photo Imaging Network.
(15) A set of fingerprints consistent with section 1802 of the act (relating to submission of fingerprints).
(16) A list of civil judgments consistent with section 1310(b) of the act (relating to slot machine license application character requirements).
(17) Details relating to a similar license obtained in another jurisdiction.
(18) A tax clearance certificate from the Department.
(19) The appropriate filing fee.
(20) Information required by the Board.
(c) In addition to the information under subsection (b), the Board may require letters of reference from law enforcement agencies under section 1310(b) of the act.
(d) After review of the information submitted under subsection (b), including the background investigation, the Board may issue a key employee license if the individual applicant has proven by clear and convincing evidence that he is a person of good character, honesty and integrity and is qualified to hold a license as a key employee.
(e) A license under this chapter will be nontransferable.
§ 435.4. Occupation permit.
(a) An individual employed by a slot machine licensee or a supplier licensee as a gaming employee as defined by section 1103 of the act (relating to definitions) and § 401.4 (relating to definitions) shall apply for and receive an occupation permit from the Board.
(b) An application for an occupation permit shall be on a form prescribed by the Board and include the following:
(1) The name and address of the individual, to include the home address and residence history and all business addresses.
(2) Daytime and evening telephone numbers.
(3) Date of birth.
(4) Physical description.
(5) Social security number.
(6) Citizenship, and, if applicable, resident alien status, including employment authorization.
(7) Marital history.
(8) Military history.
(9) Employment history, including gaming-related employment.
(10) Verification of an applicant's employment or an offer of employment from a slot machine licensee or a supplier licensee.
(11) A description of the employment responsibilities of the individual and a statement of all education, training and experience that qualifies the individual for the position.
(12) Consent to a background investigation by the Board, including a signed, dated and notarized release authorization necessary to obtain information from governmental agencies and other institutions.
(13) The individual's criminal history record, and arrests or criminal charges brought against the individual.
(14) A photograph from the Commonwealth Photo Imaging Network.
(15) Fingerprints consistent with section 1802 of the act (relating to submission of fingerprints).
(16) Details relating to a similar license obtained in another jurisdiction.
(17) A tax clearance certificate from the Department.
(18) The appropriate filing fee.
(19) Information required by the Board.
(c) In addition to the information under subsection (b), the Board may require letters of reference from law enforcement agencies under section 1310(b) of the act (relating to slot machine license application character requirements).
(d) After review of the information submitted under subsection (b), including a background investigation, the Board may issue a permit if the individual has proven that he is a person of good character, honesty and integrity and is qualified to hold an occupation permit.
(e) An individual who wishes to receive an occupation permit under this chapter may provide the slot machine licensee or supplier with written authorization to file the application on the individual's behalf.
(f) A license under this chapter will be nontransferable.
Subpart C. RECORDKEEPING Chap.
451. LICENSEE RECORDKEEPING REQUIREMENTS
CHAPTER 451. LICENSEE RECORDKEEPING REQUIREMENTS Sec.
451.1. Recordkeeping generally. § 451.1. Recordkeeping generally.
(a) All manufacturer, supplier and slot machine licensees shall maintain in a place secure from theft, loss or destruction, adequate records of business operations which shall be made available to the Board upon request. These records shall include:
(1) All correspondence with the Board and other governmental agencies on the local, state and Federal level.
(2) All correspondence concerning gaming equipment with a licensed slot machine operator or other licensed entity.
(3) Copies of all promotional material and advertising.
(4) A personnel file on each employee of the licensee, including sales representatives.
(5) Financial records of all transactions concerning gaming equipment with a licensed slot machine operator or other licensed entity.
(6) Copies of all tax returns, reports and other tax documents filed with a taxing entity of the Federal government as well as a state or local taxing entity for 7 years or a longer period as prescribed by the taxing entity.
(b) Except as provided in subsection (a)(6) (relating to tax documents), the records listed in subsection (a) will be held for at least 5 years.
Subpart D. SLOT MACHINE TESTING AND CERTIFICATION Chap.
461. SLOT MACHINE TESTING AND CERTIFICATION REQUIREMENTS
CHAPTER 461. SLOT MACHINE TESTING AND CERTIFICATION REQUIREMENTS Sec.
461.1. Protocol requirements. 461.2. Testing and certification generally. § 461.1. Protocol requirements.
In accordance with section 1324 of the act (relating to protocol information), all licensed slot machine manufacturers and suppliers shall be required to enable all slot machine terminals to communicate with the Department's Central Control Computer for the purpose of transmitting auditing program information and activating and disabling slot machine terminals.
§ 461.2. Testing and certification generally.
(a) In accordance with section 1320 of the act (relating to slot machine testing and certification standards), all slot machine terminals to be deployed in this Commonwealth shall be tested and certified prior to operation and use in a licensed facility in this Commonwealth.
(b) All slot machines operated in this Commonwealth must be approved by the Board.
(c) The Board has the authority to require either of the following procedures with respect to testing and certifying a slot machine:
(1) Accept other gaming jurisdiction certification under section 1320 of the act.
(2) Utilize the services of a slot machine testing and certification facility to conduct the testing.
(d) Within 3 years, the Board will establish a slot machine testing and certification facility, through an assessment paid by manufacturer licensees.
(e) The Board will require payment of all costs for the testing and certification of all slot machines through procedures prescribed by the Board.
(f) The Board will require the licensee seeking approval of the slot machine to pay all costs of transportation, inspection and testing.
Subpart E. FEES Chap.
471. FILING FEES
CHAPTER 471. FILING FEES Sec.
471.1. Fees generally. 471.2. Obligation to pay fees; nonrefundable nature of fees. 471.3. Schedule of fees for manufacturer and supplier licenses. § 471.1. Fees generally.
(a) In accordance with section 1208 of the act (relating to collection of fees and fines), the Board has the power and duty to levy and collect fees from various applicants, licensees and permittees to fund the operations of the Board.
(b) A pleading or other document for which a filing fee is required to be charged will be received, but will not be deemed filed, until the filing fee, bond letter of credit or other cost that may be required by statute or regulation has been paid.
(c) The fees collected by the Board will be deposited into the State Gaming Fund as established in section 1403 of the act (relating to establishment of State Gaming Fund and net slot machine revenue distribution).
(d) Fees shall be paid by money order or check made payable to the ''Commonwealth of Pennsylvania.'' Cash will not be accepted by the Board.
§ 471.2. Obligation to pay fees; nonrefundable nature of fees.
(a) A fee obligation arising in accordance with the act or this part shall be due and payable notwithstanding the withdrawal or abandonment of an application or the termination in a manner of an existing license.
(b) Except as otherwise provided in section 1209 of the act (relating to slot machine license fee), amounts actually paid by the applicant, licensee or permittee in accordance with the act and this part are not refundable.
§ 471.3. Schedule of fees for manufacturer and supplier licenses.
(a) In accordance with section 1208 of the act (relating to collection of fees and fines), the Board has the power and duty to levy and collect fees from applicants for manufacturer's licenses and supplier's licenses. The licensing fee schedule shall be as follows:
(1) Manufacturer's license fee schedule. The fees for obtaining and renewing a manufacturer's license are as follows:
(i) Initial application fee: $2,500.
(ii) License issuance fee: $50,000.
(iii) Annual renewal fee: $25,000.
(2) Supplier's license fee schedule. The fees for obtaining and renewing a supplier's license are as follows:
(i) Initial application fee: $2,500.
(ii) License issuance fee: $25,000.
(iii) Annual renewal fee: $10,000.
(b) To recover the cost of the investigation and consideration of license and permit applications by manufacturers and suppliers, each application for a manufacturer license or a supplier license must be accompanied by a nonrefundable fee of $5,000 per key employee and key employee qualifier. If the cost of the background investigations exceeds $5,000, the Board will require the manufacturer or supplier applicant to pay additional costs associated with the investigations.
(c) On or after July 5, 2006, and annually thereafter, the Board may increase the fees imposed under this section by an amount not to exceed an annual cost-of-living adjustment calculated as set forth in section 1208(2) of the act.
Subpart F. MINORITY AND WOMEN'S BUSINESS ENTERPRISES Chap.
481. GENERAL PROVISIONS
CHAPTER 481. GENERAL PROVISIONS Sec.
481.1. Statement of purpose and policy. 481.2. Definitions. 481.3. Diversity participation. 481.4. Establishment of diversity plan required. 481.5. Report of participation. § 481.1. Statement of purpose and policy.
(a) This part establishes and prescribes the procedures for promoting and ensuring that licensed entities, licensed facilities, and applicants for licensure foster participation and diversity in all aspects of their gaming operations in this Commonwealth.
(b) It is the policy of the Board to promote and ensure that licensed entities, licensed facilities and applicants for licensure conduct all aspects of their operations in a manner that assures diversity of opportunity as follows:
(1) In the ownership, participation and operation of licensed entities and licensed facilities in this Commonwealth.
(2) Through the ownership, participation and operation of business enterprises associated with or utilized by licensed entities and licensed facilities.
(3) Through the provision of goods and services utilized by licensed entities and licensed facilities.
(c) It is further the policy of the Board to promote and ensure diversity in employment and contracting by a licensed entity, licensed facility or an applicant for a license and its contractors, subcontractors, assignees, lessees, agents, vendors and suppliers.
§ 481.2. Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise.
Diversity plan--A plan developed by a licensed entity, licensed facility or an applicant for a license which promotes and ensures diversity in ownership, participation and operation of licensed facilities or licensed entities; and in employment and contracting by a licensed facility and licensed entity.
Minority--The ethnic/racial categories identified in employer survey reports that are required by the United States Equal Opportunity Commission and the Office of Federal Contract Compliance Programs of the United States Department of Labor under section 709 of Title VII of the Civil Rights Act of 1964 (42 U.S.C.A. § 2000(e)-8) or by subsequent amendments to that Federal act.
Participation plan--An obligation imposed by a licensed entity, licensed facility or applicant as part of its contract with a contractor that requires the contractor to perform the contract through the utilization of minority or women owned business enterprises for a specified minimum percentage of the value of the contract.
§ 481.3. Diversity participation.
(a) The Board will compile a list of the minority and women's business enterprises that are certified by the Bureau of Minority and Women's Business Enterprises of the Department of General Services under 68 Pa.C.S. Part I (relating to Commonwealth Procurement Code) and will make the list available to all licensed entities, licensed facilities and applicants for licensure. The list developed by the Board will be reviewed annually to determine that each minority business enterprise and women's business enterprise continue to remain eligible for participation as minority and women's business enterprises.
(b) The list of minority business enterprises and women's business enterprises compiled by the Board may be relied upon by a licensed entity, licensed facility or applicant to establish the eligibility of the enterprise as a minority or women's business enterprise for the purpose of promoting and ensuring minority and women's business participation.
§ 481.4. Establishment of diversity plan required.
(a) Each licensed entity, licensed facility or applicant in its application for licensure, shall include a diversity plan that establishes a separate goal of diversity in the ownership, participation, and operation of, and employment at, the licensed entity or licensed facility or by the applicant. The Board will determine whether the stated goals set forth in each diversity plan are reasonable and represent a good faith effort to assure that all persons are accorded equality of opportunity in contracting and employment by a licensed entity, licensed facility or an applicant for a license, and its contractors, subcontractors, assignees, lessees, agents, vendors and suppliers.
(b) A licensed entity, licensed facility or applicant may achieve its diversity goals through one of the following:
(1) Contracting or transacting directly with minority and women's business enterprises.
(2) Contracting with a nonminority business enterprise under terms and conditions that establish a participation plan.
(c) Onsite audits may be performed on an annual basis or at the discretion of the Board to ensure compliance with this subpart.
§ 481.5. Report of participation.
(a) As part of an application to renew a license under the act and this part, each licensed entity or licensed facility shall file a report with the Board concerning the performance of its diversity plan. The report shall contain all of the following:
(1) Employment data, including information on minority and women representation in the workforce in all job classifications; salary information; and information on recruitment and training, including executive and managerial level recruitment and training; and retention and outreach efforts.
(2) The total number and value of all contracts or transactions awarded for goods and services.
(3) The total number and value of all contracts or transactions awarded to minority and women's business enterprises.
(4) The total number and value of all contracts awarded that contain a participation plan.
(5) The total number and value of all subcontracts to be awarded to minority and women's business enterprises under contracts containing a participation plan.
(6) An identification of each subcontract actually awarded to a minority or women's business enterprise under contracts containing a participation plan during each calendar quarter and the actual value of each such subcontract.
(7) An identification of each contract or transaction awarded to a minority or women's business enterprise.
(8) A comprehensive description of all efforts made by the licensed entity, licensed facility or applicant to monitor and enforce the participation plan.
(9) Information on minority and women investment, equity ownership, and other ownership or management opportunities initiated or promoted by the licensed entity or licensed facility.
(10) Other information deemed necessary by the Board to ensure compliance with the act and this part.
(b) The Board will use the report required under subsection (a) to monitor compliance with this part. The Board may request that the Bureau of Minority and Women's Business Enterprises, of the Department of General Services, assist the Board in determining whether the licensed entity, licensed facility or applicant complies with the requirements of this part.
Subpart G. PRACTICE AND PROCEDURE Chap.
491. GENERAL RULES OF PRACTICE 495. DOCUMENTARY FILINGS 497. TIME 499. REPRESENTATION BEFORE THE BOARD
CHAPTER 491. GENERAL RULES OF PRACTICE Sec.
491.1. Office of the Clerk. 491.2. Filing generally. § 491.1. Office of the Clerk.
(a) The Board will have within its organization an Office of the Clerk whose duties will be as follows:
(1) Provide information as to practice and procedure before the Board, under this subpart.
(2) Receive and docket applications and pleadings and other documents filed with the Board. Receipt and transmission of the information may be by electronic means, only under a policy established by the Board.
(b) All filings and requests for practice and procedure information should be directed to:
Office of the Clerk
Pennsylvania Gaming Control Board
P. O. Box 69060
Harrisburg, Pennsylvania 17106-9060(c) The Clerk will maintain a docket of all proceedings, and each proceeding as initiated will be assigned an appropriate designation. The docket will be available for inspection and copying by the public during the Board's office hours.
§ 491.2. Filing generally.
(a) Pleadings and other documents filed with the Board must clearly designate the docket number or similar identifying symbols, if any, employed by the Board, and set forth a short title. The identity of the individual making the submission, including name, mailing address, and status (for example--party, attorney for a party, and the like) shall appear on the document.
(b) Pleadings, including documents filed under this chapter, must also comply with Chapter 495 (relating to documentary filings).
(c) In a proceeding when, upon inspection, the Board is of the opinion that a pleading tendered for filing does not comply with this subpart or this title or, if it is an application or similar document, does not sufficiently set forth required material or is otherwise insufficient, the Board may decline to accept it for filing and may return it without filing, or the Board may accept it for filing and advise the person tendering it of the deficiency and require that the deficiency be corrected.
(d) The Board may order redundant, immaterial, obscene or otherwise inappropriate comments stricken from documents filed with it.
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