RULES AND REGULATIONS
Title 58--RECREATION
PENNSYLVANIA GAMING CONTROL BOARD
[58 PA. CODE CHS. 401, 405, 423 AND 461]
Enforcement, Hearings and Slot Machine Testing
[37 Pa.B. 1968]
[Saturday, April 28, 2007]Under the Pennsylvania Gaming Control Board's (Board) Resolutions No. 2005-3-REG and 2005-5-REG, the Board has the authority to amend the temporary regulations adopted on June 16, 2005, and September 28, 2005, as it deems necessary in accordance with the purpose of 4 Pa.C.S. Part II (relating to gaming) enacted by the act of July 5, 2004 (P. L. 572, No. 71) (Act 71), as amended by the act of November 1, 2006 (P. L. 1243, No. 135) and to further the intent of Act 71. To respond to changes in the Board's enforcement, hearings and slot machine testing requirements, the Board has decided to make changes to the temporary regulations, dated June 16, 2005, and September 28, 2005, as deposited with the Legislative Reference Bureau (Bureau) and published at 35 Pa.B. 4045 (July 16, 2005) and 35 Pa.B. 6407 (November 19, 2005).
Therefore, the Board has deposited with the Bureau amendments to Chapters 401, 405, 423 and 461. The amendments are effective as of March 27, 2007.
The temporary regulations of the Board in Chapters 401, 405, 423 and 461 are amended by amending §§ 401.4, 405.1 and 405.7 and by adding §§ 423.7 and 461.24 to read as set forth in Annex A.
Order
The Board, acting under the authorizing statute, orders that:
(a) The Board, acting under the authority of the Act 71, adopts the amendments to the temporary regulations adopted by resolution at the March 27, 2007, public meeting. The amendments to the temporary regulations pertain to enforcement, hearings and slot machine testing.
(b) The temporary regulations of the Board, 58 Pa. Code Chapters 401, 405, 423 and 461, are amended by amending §§ 401.4, 405.1 and 405.7 and by adding §§ 423.7 and 461.24 to read as set forth in Annex A, with ellipses referring to the existing text of the regulations.
(c) The amendments are effective March 27, 2007.
(d) The amendments to the temporary regulations shall be posted in their entirety on the Board's website and published in the Pennsylvania Bulletin.
(e) The Chairperson of the Board shall certify this order and deposit the amendments to the temporary regulations with the Bureau as required by law.
THOMAS A. DECKER,
ChairpersonFiscal Note: 125-67. 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:
* * * * * Arrest--Detaining, holding or taking into custody by police or other law enforcement authorities to answer for an alleged commission of an offense.
* * * * * Charge--An indictment, complaint, information, summons or other notice of an alleged commission of an offense.
* * * * * Offense--Felonies, crimes, high misdemeanors, misdemeanors, disorderly persons offenses, petty disorderly offenses, driving while intoxicated/impaired, motor vehicle offenses and violations of probation or any other court order.
* * * * *
CHAPTER 405. BUREAU OF INVESTIGATIONS AND ENFORCEMENT § 405.1. General duties and powers.
The Bureau has the powers and duties set forth in section 1517 of the act (relating to enforcement) including:
(1) The investigation and review of all applicants seeking a license, permit or registration.
(2) The investigation of licensees, permittees, registrants and other persons for potential violations of the act, including potential violations referred to the Bureau by the Board or other persons.
(3) The monitoring of slot machine operations to ensure compliance with the act and the integrity of gaming, including internal controls, exclusion list enforcement, underage gaming and drinking, individual complaints, information systems, integrity and security issues.
(4) The inspection and examination of licensed entities as provided in section 1517(e) of the act. Inspections may include the review and reproduction of any document or record.
(5) The conduct of audits of a licensed entity as necessary to ensure compliance with the act and this part. An audit may include, but is not limited to, reviews, examinations and inspections of:
(i) Accounting, administrative and financial records and procedures utilized by the licensed entity.
(ii) Internal control procedures and management control procedures.
(iii) Security and surveillance departments.
(iv) Corrective action taken by the licensee to resolve reported deficiencies.
(v) Reports issued by an independent certified public accountant or independently registered public accounting firm pertaining to the adequacy of the licensee's system of internal controls over financial reporting.
(vi) The licensee's responses, if any, to the reports noted in subparagraph (v).
(vii) Other matters required by the Board or the Bureau.
(6) The referral of possible criminal violations under the act to the Pennsylvania State Police.
§ 405.7. Enforcement action.
(a) Upon a determination by the Office of Enforcement Counsel that sufficient facts exist to support enforcement action against a person holding a license, permit, certification or registration issued by the Board, the Office of Enforcement Counsel will file a formal complaint in accordance with § 493.2 (relating to complaints), including a proposed order for an enforcement action and serve such complaint in accordance with § 491.3 (relating to service by the Board).
(b) The complaint for an enforcement action will include a statement of the facts, the statute, regulation or statement of conditions that the person is being charged with violating and the remedy sought. The proposed order will be accompanied by a certificate of service demonstrating the date of service.
(c) Within 15 days from the date of service of complaint for an enforcement action, the person may file a notice of defense in accordance with § 493.2(d) and serve a copy of the request on the Office of Enforcement Counsel. Failure to file a notice of defense for an enforcement action complaint within 15 days will be deemed:
(1) A waiver by the person of any right to an administrative hearing before the Board.
(2) An admission by the person of all matters and facts alleged in the proposed order for enforcement action.
(3) Consent by the person to the entry of a final order by the Board disposing of the enforcement matter.
(d) Upon the person's failure to request a hearing within the prescribed 15 days, the Office of Enforcement Counsel will present the proposed enforcement order to the Board. The Board may, by resolution, adopt the proposed enforcement order.
(e) The Clerk will send a copy of the Board's final order to the person by certified mail.
Subpart B. LICENSING, REGISTERING, CERTIFYING AND PERMITTING
CHAPTER 423. APPLICATIONS § 423.7. Recommendations for denial.
When a recommendation for denial of an application for a license, permit, certification or registration is made, the applicant for the license, permit, certification or registration may request a hearing. The hearing will be conducted under the procedures in Chapter 494 (relating to hearing procedure).
Subpart E. SLOT MACHINES AND ASSOCIATED EQUIPMENT
CHAPTER 461. SLOT MACHINE TESTING AND CONTROL § 461.24. Testing and software installation on the live gaming floor.
(a) Prior to the testing of slot machines, associated equipment and displays on a live gaming floor during a slot machine licensee's normal hours of operation, the slot machine licensee shall notify the Board's Gaming Lab in writing at least 72 hours prior to the test date, in a form and manner prescribed by the Board. The notification must include the following:
(1) A detailed narrative description of the type of testing to be conducted, including the reason for the testing, a list of individuals conducting the testing and the slot machine licensee's procedures for conducting the testing.
(2) The date, time and approximate duration of the testing.
(3) The model, slot machine location number and asset number of the slot machine or machines to be tested.
(4) The location within the licensed facility where the testing will occur.
(b) A slot machine licensee shall notify the Board's Gaming Lab at least 72 hours prior to the installation of any new software or the installation of any change in previously approved software, in a form and manner prescribed by the Board, for:
(1) Automated gaming voucher and coupon redemption machines.
(2) Wide area progressive systems.
(3) Slot monitoring systems.
(4) Casino management systems.
(5) Player tracking systems.
(6) External bonusing systems.
(7) Cashless funds transfer systems.
(8) Server supported slot systems.
(9) Server based slot systems.
(10) Automated jackpot payout machines.
(c) The notification required under subsection (b) must include:
(1) A description of the reasons for the new installation or change in previously approved software.
(2) A list of the computer components and programs or versions to be modified or replaced.
(3) A description of any screens, menus, reports, operating processes, configurable options or settings that will be affected.
(4) The method to be used to complete the proposed installation.
(5) The date that the proposed modification will be installed and the estimated time for completion.
(6) The name, title and employer of the persons performing the installation.
(7) A diagrammatic representation of the proposed hardware design change.
(8) Restrictions on ''update'' access to the production code to the person implementing the installation.
(9) Procedures to ensure that user and operator manuals are updated to reflect changes in policies and procedures resulting from the proposed installation.
[Pa.B. Doc. No. 07-740. Filed for public inspection April 27, 2007, 9:00 a.m.]
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