[35 Pa.B. 4045]
[Continued from previous Web Page] § 435.4. Occupation permit.
(a) All gaming employees 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 of the applicant.
(5) Social Security number.
(6) Citizenship, and, if applicable, resident alien status, including employment authorization.
(7) Marital status.
(8) Military history.
(9) Employment history, including gaming-related employment and contact information for prior employers.
(10) Education history.
(11) Family and marital history, including any current court orders relating to alimony, spousal support or child support.
(12) Credit history.
(13) History of insurance claims relating to the business activities of the applicant or its affiliate, intermediary, subsidiary or holding company.
(14) Information relating to any health-related issues involving alcohol or controlled substances.
(15) A list of at least five references, to include contact information for each.
(16) Verification of the applicant's employment or an offer of employment from a slot machine licensee or a supplier licensee.
(17) A description of the employment responsibilities of the individual and their relationship to the operation of the slot machine licensee or supplier licensee and of all education, training and experience that qualifies the individual for the position.
(18) A signed, dated and notarized release authorization necessary to obtain information from governmental agencies and other institutions about the applicant.
(19) A description of the individual's criminal history records information and arrests or criminal charges brought against the individual.
(20) A photograph that meets the requirements prescribed by the Board.
(21) A set of fingerprints taken by the Pennsylvania State Police or a criminal justice agency designated by the Pennsylvania State Police and transmitted to the Pennsylvania State Police.
(22) A list of civil judgments consistent with section 1310(b) of the act (relating to slot machine license application character requirements).
(23) Details relating to any similar licenses obtained in other jurisdictions.
(24) A tax clearance and lien review from the Department.
(25) A nonrefundable application processing fee.
(26) Any additional information requested 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 subsections (b) and (c), 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 issued under this section shall be nontransferable.
(g) An individual who is employed by a licensed manufacturer that is specifically excluded from the supplier requirement shall be required to obtain a permit under this section.
(h) The Board may issue, renew or deny a permit under this section, consistent with 18 Pa.C.S. § 9124 (relating to use of records by licensing agencies). If the Board provides an individual with the opportunity to demonstrate rehabilitation, the individual shall provide certification from the Pennsylvania Board of Probation and Parole or the County Probation and Parole Office, whichever is applicable, that all obligations for restitution, fines and penalties have been met. The Board will provide notice to the district attorney of the individual's county of residence of the individual's request for a determination of rehabilitation. The district attorney shall have 15 days from receipt of the notice to provide input into the determination.
(i) Nothing in subsection (h) shall be construed to authorize the issuance of an occupation permit to an applicant who has been convicted of an offense under 18 Pa.C.S. (relating to crimes and offenses) or the criminal laws of any other jurisdiction which conviction indicates that the issuance of the occupation permit to the applicant would be inimical to the public policy of the act or this part.
Subpart C. (Reserved).
Subpart D. 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 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 slot machine licensee or other licensed entity.
(3) Copies of all promotional material and advertising.
(4) A personnel file on each employee of the licensee.
(5) Financial records of all transactions concerning slot machines and associated equipment with a 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.
(7) Copies of all general accounting records.
(b) Except as provided in subsection (a)(6) regarding tax documents, the records listed in subsection (a) shall be held for at least 5 years.
Subpart E. 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 manufacturer licensees and supplier licensees 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), the Board will determine the manner and scope in which slot machine terminals are to 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 one or more 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 until a slot machine testing and certification facility is created by the Board.
(d) On or before July 5, 2007, the Board will establish and maintain an independent slot machine testing and certification facility. The cost of establishment and operation of the facility shall be paid by each manufacturer licensee in accordance with a schedule adopted by the Board.
(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 a manufacturer licensee seeking approval of a slot machine to pay all costs of transportation, inspection and testing.
Subpart F. 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. § 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 required under the act or this part shall be due and payable notwithstanding the withdrawal or abandonment of an application or the termination 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.
(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 licenses and supplier licenses. The licensing fee schedule shall be published by the Board in the Pennsylvania Bulletin and available on the Board's website.
(b) In order 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 to be set by the Board and provided in a fee schedule for each key employee and key employee qualifier to be licensed. The applicant may be subject to additional fees based on the actual expenses incurred by the Board in conducting the background investigation.
(c) On or after July 5, 2006, and annually thereafter, the Board may increase the fees listed in the fee schedule by an amount not to exceed an annual cost-of-living adjustment calculated as set forth in section 1208(2) of the act.
Subpart G. 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 and applicants for licensure foster participation and diversity in all aspects of their operations in this Commonwealth.
(b) It is the policy of the Board to promote and ensure that licensed entities 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 in this Commonwealth.
(2) Through the ownership, participation and operation of business enterprises associated with or utilized by licensed entities.
(3) Through the provision of goods and services utilized by licensed entities.
(c) It is further the policy of the Board to promote and ensure diversity in employment and contracting by each licensed entity or 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 part, have the meanings given to them in this section, unless the context clearly indicates otherwise.
Diversity plan--A plan developed by a licensed entity or an applicant for a license which promotes and ensures diversity in ownership, participation and operation of licensed entities; and in employment and contracting by a 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 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 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.
§ 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 62 Pa.C.S. Part I (relating to Commonwealth Procurement Code) and will make the list available to all licensed entities 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 continues 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 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 applicant shall include a diversity plan in its application for licensure that establishes a separate goal of diversity in the ownership, participation and operation of, and employment at, the proposed licensed entity or by the applicant in this Commonwealth. 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 or an applicant for a license, and its contractors, subcontractors, assignees, lessees, agents, vendors and suppliers.
(b) A licensed entity 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 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 recruitment and training information, 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 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 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.
(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 or applicant complies with the requirements of this part.
Subpart H. 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 should clearly designate the docket number or similar identifying symbols, if any, employed by the Board, and should 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) If the Board is of the opinion that a pleading tendered for filing does not comply with this subpart 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.
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 must 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) Pleadings shall be endorsed with an address and phone number where papers may be served in connection with the pending proceedings. Endorsement with a fax number shall constitute endorser's agreement to accept papers connected with the proceeding by fax. Notation of counsel's current Supreme Court identification number issued by the Court Administrator of Pennsylvania constitutes proof of the right to practice in the Commonwealth.
(e) 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 (relating to formal proceedings), 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 schedule of fees payable to the Board).
(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) Subsection (a) supersedes 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 authorized 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)--(c) are identical to 1 Pa. Code § 33.11 (relating to execution).
§ 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 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 runs until the end of the next day which is neither a Saturday, Sunday or 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 runs until the next preceding day which is neither a Saturday, Sunday or 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 will 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 part 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. The requests shall be submitted at least 5 days prior to the hearing date. Only for good cause shown will requests for continuance be considered.
(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, will 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:
(1) As stated in §§ 499.1 and 499.2 (relating to appearance in person; and appearance by attorney).
(2) As 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 appear 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 states 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) and (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 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).
[Pa.B. Doc. No. 05-1374. Filed for public inspection July 15, 2005, 9:00 a.m.]
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