Title 58--RECREATION
PENNSYLVANIA GAMING CONTROL BOARD
[58 PA. CODE CHS. 401, 423, 427, 433, 441, 443, 495 AND 501]
Amendment to Temporary Regulations
[35 Pa.B. 5619] Under the Pennsylvania Gaming Control Board's (Board) Resolution No. 2005-3 REG, entitled Adoption of Temporary Regulations, dated June 16, 2005, and Resolution No. 2005-4, entitled Adopting of Draft Regulations as Temporary Regulations for the General Licensing Standards for Slot Machine License Applicants Temporary Regulations, dated July 21, 2005, the Board has the authority to amend the temporary regulations, adopted on June 16, 2005, and July 21, 2005, as it deems necessary in accordance with the purpose of the act of July 5, 2004 (P. L. 572, No. 71) and to further the intent of Act 71. Therefore the Board has decided to make editorial changes to the temporary regulations, dated June 16, 2005, and July 21, 2005, as deposited with the Legislative Reference Bureau (Bureau) and published at 35 Pa.B. 4045 (July 15, 2005) and 35 Pa.B. 4828 (August 6, 2005).
Therefore, the Board has deposited with the Bureau amendments to §§ 401.4, 423.1, 427.1, 427.2, 433.1, 441.4, 443.2, 443.3, 461, 495.7 and 501.8. The Board amended the title of Subchapter H. The amendments are effective as of September 28, 2005.
The temporary regulations of the Board, Chapters 401, 423, 427, 433, 441, 443, 461, 495 and 501, are amended by amending §§ 401.4, 423.1, 427.1, 427.2, 433.1, 441.4, 443.2, 443.3, 461, 495.7 and 501.8 to read as set forth in Annex A, with ellipses referring to the existing text of the regulations.
THOMAS A. DECKER,
ChairpersonFiscal Note: 125-4. No fiscal impact; (8) recommends adoption.
Annex A
TITLE 58. RECREATION
PART VII. GAMING CONTROL BOARD
Subpart A. GENERAL PROVISIONS
CHAPTER 401. PRELIMINARY PROVISIONS § 401.4. Definitions.
The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise:
* * * * * Key employee qualifier--Officers; directors; persons who directly or indirectly hold any beneficial interest in or ownership of the securities of an applicant or licensee; a person who has the ability to control the applicant or licensee, has a controlling interest in the applicant or licensee, elects a majority of the board of directors of the applicant or licensee, or otherwise has the ability to control the applicant or licensee; a lender, other than a bank or lending institution which makes a loan or holds a mortgage or other lien acquired in the ordinary course of business; an underwriter; a financial backer; and an employee of a slot machine applicant or licensee, manufacturer applicant or licensee or supplier applicant or licensee required to be licensed by the Board.
* * * * *
Subpart B. LICENSING, REGISTERING AND PERMITTING
CHAPTER 423. APPLICATIONS § 423.1. General requirements.
(a) For the purposes of this section, a reference to an applicant includes the applicant's affiliates, intermediaries, subsidiaries and holding companies.
(b) Every application shall be submitted on forms supplied or approved by the Board and shall contain all information and documents as required by the Board.
(c) The applicant shall file with the application all supplemental forms provided by the Board. The forms require full disclosure of all details relative to the applicant's suitability to conduct business in this Commonwealth under the act.
(d) Upon request of the Board, the applicant shall further supplement any information provided in the application. The applicant shall provide all requested documents, records, supporting data and other information within the time period specified in the request, or if no time is specified, within 30 days of the date of the request. If the applicant fails to provide the requested information within the required time period as set forth in the request, the Board may deny the application.
(e) An applicant shall submit evidence to the Board of the applicant's financial fitness, integrity and responsibility. The Board's review will include, but not be limited to: the applicant's bank references, business and personal income and disbursement schedules, annual financial statements and tax returns, whether the applicant has adequate financing available to pay all current obligations, and whether the applicant is likely to be able to adequately cover all existing and foreseeable obligations in the future.
(f) All information provided to the Board shall be true and complete. If there is any change in the information provided to the Board, the applicant shall promptly file a written amendment in a form prescribed by the Board.
(g) The application and any amendments or supplements must be sworn to or affirmed by the applicant before a notary public.
(h) The Board will automatically deny the application of any applicant that refuses to submit to a background investigation or provide requested information as required under the act.
(i) An applicant that submits a document to the Board which is in a language other than English shall also submit an English translation of the non-English language document. The translation must 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. At its discretion, the Board may accept an English summary of a document in lieu of a complete translation of the document.
CHAPTER 427. MANUFACTURER LICENSES § 427.1. Manufacturer license requirements.
(a) In determining whether an applicant will be licensed as a manufacturer under this section, the Board will consider whether the applicant satisfies the criteria listed in this section and whether the applicant manufactures, builds, rebuilds, fabricates, assembles, produces, programs, designs or otherwise makes modifications to slot machines or associated equipment at a licensed facility which meet one or more of the following criteria:
(1) Are specifically designed for use in the operation of a slot machine.
(2) Are needed to conduct an authorized game.
(3) Have the capacity to affect the outcome of the play of a game.
(4) Have the capacity to affect the calculation, storage, collection, or control of gross terminal revenue.
* * * * * § 427.2. Manufacturer licensing standards and application.
(a) The standards and requirements for qualification for a manufacturer license are as follows and in section 1317 of the act (relating to supplier and manufacturer licenses application). The applicant shall submit:
* * * * * (2) An original and three copies of the Manufacturer Application and Disclosure Information Form for the applicant that has applied for the license under this part.
* * * * * (4) An application from every key employee and key employee qualifier as specified by the Manufacturer Application and Disclosure Information Form or as determined by the Board, which shall consist of the following:
(i) An original and three copies of the Multi Jurisdictional Personal History Disclosure Information Form with a nonrefundable deposit to be set by the Board and provided in a fee schedule for each key employee and key employee qualifier.
* * * * *
CHAPTER 433. LICENSE RENEWAL § 433.1. Renewal of manufacturer and supplier license.
* * * * * (b) The licensed entity shall complete and file an original and three copies of a Manufacturer 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 it is qualified for licensure.
* * * * *
Subpart C. SLOT MACHINE LICENSING
CHAPTER 441.SLOT MACHINE LICENSES § 441.4. Slot machine license application.
(a) To be eligible for a slot machine license, an applicant shall submit an application which includes the following:
(1) An original and three copies of the slot machine license Application and Disclosure Information Form.
* * * * * (3) A license application for each key employee qualifier and key employee under Chapter 435 (relating to employees), unless granted a waiver under § 435.2(g) or § 435.3(f), including an original and three copies of the Multi Jurisdictional Personal History Disclosure Form, the Pennsylvania Supplement and a nonrefundable background investigation deposit to be set by the Board and provided in a fee schedule for each key employee qualifier and each key employee. An additional charge may be assessed upon the applicant by the Board based on the actual expenses incurred in order to conduct the background investigation required by the act.
* * * * *
CHAPTER 443. CATEGORIES OF LICENSURE § 443.2. Alternative Category 1 licensing standards.
* * * * * (b) The Board may use the abbreviated process if:
* * * * * (3) The Board has received a copy of the completed application, all renewal applications and all accompanying documents filed in the other jurisdiction.
* * * * * § 443.3. Conditional Category 1 licenses.
* * * * * (b) An application for a Conditional Category 1 license shall include the following information:
* * * * * (4) A copy of the applicant's audited financial statements for the last 5 years, unless otherwise requested by the Board.
* * * * * (7) An original and three copies of the Multi Jurisdictional Disclosure Form for each key employee qualifier and key employee and a consent form from each of these individuals authorizing the Board to conduct a background investigation and a release signed by each key employee qualifier and key employee identified under paragraph (6) of all information required to complete the investigation, unless subject to waiver under § 435.2(g) or § 435.3(f).
* * * * *
Subpart E. SLOT MACHINE TESTING, CERTIFICATION AND CONTROL
Subpart H. PRACTICE AND PROCEDURE
CHAPTER 495. DOCUMENTARY FILINGS § 495.7. Number of copies.
(a) An original and three 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.
* * * * *
Subpart I. COMPULSIVE AND PROBLEM GAMBLING
CHAPTER 501. COMPULSIVE AND PROBLEM GAMBLING REQUIREMENTS § 501.8. Prohibition on check cashing.
* * * * * (b) Notwithstanding the provisions of subsection (a), a licensed gaming entity may accept a recognized traveler's check, cashier's check, money order, wire transfer check, personal check or other cash equivalent.
[Pa.B. Doc. No. 05-1888. Filed for public inspection October 7, 2005, 9:00 a.m.]
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