[37 Pa.B. 4068]
[Saturday, July 28, 2007]
[Continued from previous Web Page] § 465a.21. Wire transfers.
(a) A wire transfer accepted by a slot machine licensee on behalf of a patron under § 501.7 (relating to prohibition on check cashing) to enable a patron to take part in gaming shall be recorded in the slot machine licensee's cashiers' cage accountability no later than the next gaming day.
(b) Prior to commencing acceptance of wire transfers for gaming purposes, a slot machine licensee shall establish a comprehensive system of internal controls addressing the acceptance, verification, accounting for and sending of wire transfers. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).
(c) The internal control procedures developed and implemented by the slot machine licensee under subsection (b) must include:
(1) A cashiers' cage log to record the following information with regard to wire transfers accepted:
(i) A sequential number assigned by the slot machine licensee to the wire transfer transaction.
(ii) The date and time of notification.
(iii) The name of the financial institution and account number to which the funds were transferred.
(iv) The amount of funds transferred.
(v) The name of the patron for whose benefit the funds were transferred.
(vi) The name and address of the financial institution from which the funds were transferred and the account number from which the funds were debited.
(vii) The method by which the slot machine licensee was notified of the receipt of the wire transfer and, if noticed by telephone, the name and title of the person providing notice.
(viii) The signature of the cashiers' cage employee receiving and recording the information required by this subsection.
(ix) A notation that the wire transfer has been reversed under subsection (d), when applicable.
(2) A requirement that a cashiers' cage supervisor other than the cashiers' cage employee who initially documented receipt of the wire transfer verify receipt of the wire transfer.
(3) A requirement that the cashiers' cage supervisor verifying receipt of the wire transfer document the verification process performed in the log required under paragraph (1) including:
(i) The method by which the receipt of the wire transfer was verified and, if verified by telephone, the name and title of the person providing the verification.
(ii) The date and time of verification.
(iii) The signature of the cashiers' cage supervisor verifying receipt of the wire transfer.
(4) The procedures used to:
(i) Establish, verify and document the identity of the patron.
(ii) Make the wire transfer proceeds available to the patron at the cashiers' cage
(iii) Adjust the cashiers' cage accountability.
(5) A cashiers' cage log to record the following information with regard to wire transfers sent on behalf of a patron:
(i) The name of the patron.
(ii) The date of the transaction.
(iii) The amount of funds transferred.
(iv) The source of funds transferred (cash, cash equivalent, jackpot payout).
(v) The name and address of the financial institution to which the funds will be transferred and the account number to which the funds will be credited.
(vi) The signature of the patron if the request to send a wire transfer is made in person at the cashiers' cage.
(vii) Documentation supporting the receipt of a request by the slot machine licensee to send a wire transfer on behalf of a patron if the request was not made in person at the cashiers' cage.
(viii) The signature of the cashiers' cage employee receiving and recording the information required by this subsection.
(ix) The signature of the cashiers' cage supervisor or accounting department supervisor authorizing the wire transfer.
(6) When sending a wire transfer on behalf of a patron, the procedures used to:
(i) Verify and document the identity of the patron.
(ii) Adjust the cashiers' cage accountability.
(d) A slot machine licensee, on the next gaming day, shall take all steps necessary to return to a patron by wire transfer an amount initially accepted by wire transfer if, at the expiration of 14 gaming days following the deposit into its operating account of a wire transfer which has no documented business purpose other than having been accepted to enable a patron to take part in gaming, both of the following circumstances exist:
(1) The wired funds remain in a slot machine licensee's operating account or cashiers' cage accountability.
(2) The patron has engaged in minimal or no slot play.
(e) The wire transfer returned under subsection (d) shall be sent to the financial institution from which the funds were debited. This reversal of the wire transfer shall be recorded in the wire transfer log maintained under subsection (c)(1).
§ 465a.22. Cash equivalents.
(a) Prior to accepting cash equivalents for gaming purposes as permitted under § 501.7 (relating to prohibition on check cashing), a slot machine licensee shall establish a comprehensive system of internal controls addressing the acceptance and verification of cash equivalents. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).
(b) The internal control procedures developed and implemented by the slot machine licensee under subsection (a) must include:
(1) A requirement that cashiers' cage employees perform the specific verification procedures required by the issuer of each cash equivalent accepted. The slot machine licensee shall retain adequate documentation evidencing the verification of each cash equivalent.
(2) A requirement that cashiers' cage employees examine each cash equivalent for counterfeiting, forgery or alteration.
(3) When a slot machine licensee elects to incorporate into its verification procedures a level of reliance on previously accepted cash equivalents, the procedures must articulate the general parameters governing the reliance.
(4) Criteria for cashiers' cage supervisor involvement in the verification process.
(5) Procedures for verifying any patron signature on the cash equivalent. Signature verification must be accomplished in accordance with the signature verification procedures in § 465a.20 (relating to personal check cashing). The slot machine licensee shall retain adequate documentation evidencing how each signature was verified.
§ 465a.23. Customer deposits.
(a) At the request of a patron, a slot machine licensee may hold cash, funds accepted by means of wire transfer in accordance with § 465a.21 (relating to wire trans- fers) or cash equivalents accepted in accordance with § 465a.22 (relating to cash equivalents) for a patron's subsequent use for gaming purposes. For the purposes of this section, after complying with this chapter for acceptance and verification, noncash items shall be considered converted to cash and deposited as cash for credit to the patron in a customer deposit account maintained in the cashiers' cage.
(b) Prior to agreeing to hold a patron's cash, funds accepted by means of wire transfer in accordance with § 465a.21 or cash equivalents accepted in accordance with § 465a.22 for a patron's subsequent use for gaming purposes, each slot machine licensee shall establish a comprehensive system of internal controls addressing the receipt and withdrawal of a customer deposit. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).
(c) The internal control procedures developed and implemented by the slot machine licensee under subsection (b) must include:
(1) A requirement that customer deposits be accepted at the cashiers' cage.
(2) A requirement that customer deposits be withdrawn by the patron at the cashiers' cage or upon receipt by the slot machine licensee of a written request for withdrawal whose validity has been established.
(3) A requirement that the patron receive a receipt for any customer deposit accepted reflecting the total amount deposited, the date of the deposit and the signature of the cashiers' cage employee accepting the customer deposit.
(4) Procedures for verifying the identity of the patron at the time of withdrawal. Signature verification must be accomplished in accordance with the signature verification procedures under § 465a.20 (relating to personal check cashing). The slot machine licensee shall maintain adequate documentation evidencing the patron identification process and how the signature was verified.
§ 465a.24. Count room characteristics.
(a) A slot machine licensee shall have adjacent or proximate to the cashiers' cage a room, to be known as a count room, specifically designated, designed and used for counting the contents of slot cash storage boxes.
(b) The count room shall be designed and constructed to provide maximum security for the materials housed therein and for the activities conducted therein. Each slot machine licensee shall design and construct a count room with the following security measures:
(1) A metal door installed on each entrance and exit equipped with an alarm device which audibly signals the surveillance department monitoring room and the security department whenever a door to the count room is opened at times other than those times for which the slot machine licensee has provided prior notice under § 465a.25 (relating to counting and recording of slot cash storage boxes).
(2) Each entrance and exit door must be equipped with two separate locks, the keys to which must be different from each other and different from the lock securing the contents of each slot cash storage box. The keys shall be maintained and controlled as follows:
(i) The key to one of the locks shall be maintained and controlled by the security department.
(ii) The key to the other lock shall be maintained and controlled by finance.
(iii) Sign-out and sign-in procedures shall be established for both keys.
(c) The following must be located within the count room:
(1) A table constructed of clear glass or similar material for the emptying, counting and recording of the contents of slot cash storage boxes.
(2) Surveillance cameras capable of video monitoring of:
(i) The entire count process.
(ii) The interior of the count room, including any storage cabinets or trolleys used to store slot cash storage boxes and any Board-approved trolley storage area located adjacent to the count room.
§ 465a.25. Counting and recording of slot cash storage boxes.
(a) A slot machine licensee shall file with the Board a schedule setting forth the specific times during which the contents of slot cash storage boxes are to be counted and recorded. Any deviation from the schedule shall be noticed to the Board at least 48 hours in advance.
(b) Computerized equipment utilized to count and strap currency, gaming vouchers and coupons must:
(1) Automatically provide two separate counts of the funds at different stages of the count process and, if the separate counts are not in agreement, document the discrepancy.
(2) Be capable of determining the value of a gaming voucher or coupon by independently examining information printed on the gaming voucher or coupon. The information is used by the counting equipment to either calculate the value internally or obtain the value directly from the gaming voucher system or coupon system in a secure manner. If the gaming voucher system is utilized to obtain the value of a gaming voucher or coupon, the gaming voucher system must perform a calculation or integrity check to ensure that the value has not been altered in the system in any manner since the time of issuance.
(c) Persons accessing the count room when uncounted funds are present shall wear clothing without any pockets or other compartments with the exception of representatives of the Board, the Department, the Pennsylvania State Police, the security department and the internal audit department.
(d) Persons present in the count room may not:
(1) Carry a handbag or other container unless it is transparent.
(2) Remove their hands from or return them to a position on or above the count table or counting equipment unless the backs and palms of the hands are first held straight out and exposed to the view of other members of the count team and a surveillance camera.
(e) Immediately prior to the commencement of the count, a count room employee shall notify the surveillance department that the count is about to begin to facilitate the recording, under § 465a.9(e) (relating to surveillance system; surveillance department control; surveillance department restrictions), of the entire count process.
(f) Prior to commencing gaming operations, a slot machine licensee shall establish a comprehensive system of internal controls addressing the opening, counting and recording of the contents of slot cash storage boxes. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).
(g) The internal controls developed and implemented by the slot machine licensee under subsection (f) must include a description of all computer equipment used in the counting and recording process and other systems, if any, that communicate with that computer equipment for purposes related to the counting of gross terminal revenue.
(h) A gaming voucher or coupon deposited in a slot cash storage box shall be counted and included in the calculation of gross terminal revenue without regard to the validity of the gaming voucher or coupon.
(i) A coupon which has not already been canceled upon acceptance or during the count shall be canceled prior to the conclusion of the count.
(j) Any variance between the value of cash gaming vouchers and coupons in a slot cash storage box as determined in the count room and the value for that particular slot cash storage box recorded on corresponding reports generated by the gaming voucher system or coupon system shall be disclosed to the Board in a detailed written report citing each variance, the reason for the variance and the corrective action taken. This variance report shall be filed by the slot machine licensee with the Board within 72 hours of the count that is the subject of the comparison.
§ 465a.26. Jackpot payouts.
(a) Prior to commencing gaming operations, a slot machine licensee shall establish a comprehensive system of internal controls addressing jackpot payouts that are not paid directly from a slot machine. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).
(b) The internal control procedures developed and implemented by the slot machine licensee under subsection (a) must include:
(1) A request for jackpot payout document or, in the alternative, an electronic entry into a slot computer system generating jackpot payouts, by a slot attendant or slot supervisor, evidencing the observation by the slot attendant or slot supervisor of the winning combination of characters on the slot machine and a determination of the amount of the jackpot payout based on the observed winning combinations.
(2) A requirement that the preparer of the request for jackpot payout document or, in the alternative, the employee performing the electronic entry into the slot computer system, be a slot supervisor if the hand paid jackpot is $10,000 or more.
(3) A requirement that the following information be on the request for jackpot payout document or electronically entered into the slot computer system and maintained in stored data:
(i) The date and time of the jackpot.
(ii) The asset number of the slot machine on which the jackpot was registered.
(iii) The winning combination of characters constituting the jackpot or a code corresponding to the winning combination of characters constituting the jackpot.
(iv) The amount of the jackpot payout.
(v) The method of payment requested by the patron.
(vi) The signature or identification code of the preparer.
(vii) The following additional signatures or identification codes shall be required if the slot machine or the progressive meter is reset prior to the patron being paid or if payment is made directly to the patron by a slot cashier:
(A) The signature or identification code of a security department member or slot attendant other than the preparer attesting to the winning combination of characters constituting the jackpot and the amount of the jackpot payout.
(B) The signature or identification code of the slot shift manager attesting to the winning combination of characters constituting the jackpot and the amount of the jackpot payout when the jackpot amount is $25,000 or more.
(4) A requirement that following preparation the request for jackpot payout document be immediately transported by the preparer, or the information made available by the slot computer system, to the cashiers' cage where it will serve to authorize the preparation of a jackpot payout document.
(5) A requirement that if the winning patron will not be paid before the slot machine or progressive meter is reset, the preparer of the request for jackpot payout document or the employee performing the electronic entry required by paragraph (1) shall also prepare a two-part receipt document containing the following information:
(i) The date and time of the jackpot.
(ii) The asset number of the slot machine on which the jackpot was registered.
(iii) The winning combination of characters constituting the jackpot or a code corresponding to the winning combination of characters constituting the jackpot.
(iv) The amount of the jackpot payout.
(v) The signature of the winning patron on the original form only.
(vi) The signature of the preparer attesting that the information on the receipt document is correct and agrees with the information on the request for jackpot payout document or in stored data.
(6) A requirement that the receipt document be distributed as follows:
(i) The original shall be immediately delivered to the slot cashier by the preparer, security department member or verifying slot attendant along with the request for jackpot payout document if manually generated in accordance with paragraph (1).
(ii) The duplicate shall be immediately presented to the winning patron who shall be required to present the duplicate receipt document before being paid the jackpot in accordance with the procedures set forth in this section.
(7) A requirement that the following information be on any jackpot payout document generated by the slot computer system:
(i) The asset number of the slot machine on which the jackpot was registered.
(ii) The winning combination of characters constituting the jackpot or a code corresponding to the winning combination of characters constituting the jackpot.
(iii) The date on which the jackpot occurred.
(iv) The amount that is to be paid from cashiers' cage funds. However, this amount may, in the slot machine licensee's discretion, be rounded up to the nearest whole dollar.
(v) The date, time and method of payment.
(vi) The signature or identification code of the preparer.
(8) A requirement that the data in paragraph (7)(i)--(vi) not be susceptible to change or removal by any personnel after preparation of a jackpot payout document.
(9) A requirement that whenever the winning patron is paid directly by the slot cashier the following procedures be followed:
(i) A jackpot payout document be generated by the slot computer system in accordance with paragraph (7).
(ii) If a one-part request for jackpot payout document is involved and a security department member or verifying slot attendant other than the preparer has not signed the one-part request for jackpot payout document, the slot cashier shall summon a security department member or slot attendant other than the preparer of the request for jackpot payout document and provide that employee with the request for jackpot payout document. The security department member or verifying slot attendant shall proceed to the slot machine identified on the request for jackpot payout document and sign the request for jackpot payout document attesting that the winning combination of characters on the slot machine and the amount to be paid match those which appear on the request for jackpot payout document. If the jackpot amount is $25,000 or more, a slot shift manager shall also sign the request for jackpot payout document attesting that the winning combination of characters on the slot machine and the amount to be paid match those which appear on the request for jackpot payout document. The request for jackpot payout document shall be immediately returned to the slot cashier.
(iii) After the slot cashier determines that the required signatures verifying the winning combination of characters on the slot machine and the amount to be paid have been placed on the one-part request for jackpot payout document, if the amount being paid is less than $10,000, the slot cashier shall pay the winning patron in the presence of the preparer of the request for jackpot payout document. If the amount being paid is $10,000 or more but less than $25,000, the slot cashier shall pay the winning patron in the presence of the slot attendant supervisor who prepared the request for jackpot payout document. If the amount being paid by the cashier is $25,000 or more, the slot cashier shall pay the winning patron in the presence of the slot attendant supervisor and slot shift manager who prepared the request for jackpot payout document in accordance with this subsection. Personnel required by this subsection to witness the payment shall sign the duplicate jackpot payout document attesting to the accuracy of the information on the duplicate jackpot payout document and the disbursement of the payment to the patron.
(iv) If a receipt document under paragraph (5) was issued, the duplicate receipt document shall be signed by the patron in the presence of the slot cashier. The slot cashier shall compare the signature on the duplicate receipt document to that on the original receipt document and make the payment only if the signatures are in agreement.
(v) Once the required signatures are obtained and payment has been made, the slot cashier shall give the duplicate jackpot payout document to a security department member or slot attendant who shall expeditiously deposit it into a locked accounting box.
(vi) The slot cashier shall attach the request for jackpot payout document, if applicable, the original and duplicate receipt document, if applicable, to the original copy of the jackpot payout document. All documents shall be forwarded by the end of the gaming day to the main bank for reimbursement.
(10) A requirement that whenever a winning patron is paid by a slot attendant or slot attendant supervisor, the following procedures shall be followed:
(i) A jackpot payout document be generated by the slot computer system in accordance with paragraph (7).
(ii) The slot cashier shall disburse the cash or slot licensee check to a slot attendant or slot attendant supervisor if the amount of the jackpot is less than $10,000 and to a slot attendant supervisor if the amount of the jackpot is $10,000 or more. The employee receiving the payment shall verify the amount received and sign the original and duplicate of the jackpot payout document attesting to the accuracy of the information on the jackpot payout document and the receipt of the payment from the slot cashier. The slot cashier shall retain the original jackpot payout document and the duplicate jackpot payout document shall be transported with the payment to the slot machine.
(iii) If a one-part request for jackpot payout document is involved and a security department member or verifying slot attendant other than the preparer has not signed the one-part request for jackpot payout document, the slot attendant or slot attendant supervisor shall provide the duplicate jackpot payout document to the security department member or verifying slot attendant other than the preparer at the slot machine who shall verify that the winning combination of characters on the slot machine and the amount to be paid match those which appear on the duplicate jackpot payout document. If the jackpot amount is $25,000 or more, and the slot shift manager has not signed the request document, the slot shift manager shall similarly verify that the winning combination of characters on the slot machine and the amount to be paid match those which appear on the duplicate jackpot payout document.
(iv) When the verifications required by subparagraph (iii) have been completed, if the payment is less than $10,000, the slot attendant or slot attendant supervisor shall pay the winning patron in the presence of the security department member or second slot attendant who verified the winning combination of characters on the slot machine and the amount to be paid. If the payment is $10,000 or more, but less than $25,000, the payment shall be made by a slot attendant supervisor in the presence of the security department member or verifying slot attendant who verified the winning combination of characters on the slot machine and the amount to be paid. If the payment is $25,000 or more, the payment shall be made by a slot attendant supervisor in the presence of the security department member or verifying slot attendant and the slot shift manager who verified the winning combination of characters on the slot machine and the amount to be paid. Once the patron has been paid, the personnel required by subparagraph (iii) to witness the payment shall sign the duplicate jackpot payout document attesting that the winning combination of characters on the slot machine and the amount to be paid match those which appear on the duplicate jackpot payout document and the disbursement of the payment to the winning patron.
(v) If a receipt document under paragraph (5) was issued, the slot cashier shall give the slot attendant or slot attendant supervisor the original receipt document along with the duplicate jackpot payout document to be transported with the payment. The patron shall be required to sign the duplicate receipt document in the presence of the slot attendant or slot attendant supervisor. The slot attendant or supervisor shall compare the signature on the duplicate receipt document to that on the original receipt document and shall make the payment only if the signatures are in agreement.
(vi) When payment has been made and the required signatures obtained, the security department member or slot attendant shall expeditiously deposit the duplicate jackpot payout document into a locked accounting box.
(vii) The slot attendant or slot attendant supervisor shall immediately return the original and duplicate receipt document, if applicable, to the cashiers' cage.
(viii) The slot cashier shall attach the request for jackpot payout document, if applicable, the original and duplicate receipt document, if applicable, to the original copy of the jackpot payout document. All documents shall be forwarded by the end of the gaming day to the main bank for reimbursement.
(11) A requirement that the slot machine licensee's accounting department perform, at the conclusion of each gaming day, income control audit procedures over the issuance of jackpot payouts including adequate comparisons to gaming voucher system data.
(12) Details with regard to processing of system overrides or adjustments.
(c) Nothing in this section precludes the use of a slot computer system, approved by the Board, that electronically records the information required on a request for jackpot payout document or facilitates through the slot computer system the verifications and comparisons as to winning combination of characters on the slot machine or amount to be paid required under this section.
(d) Nothing in this section precludes a slot machine licensee from implementing procedures by which a slot attendant, in the presence of a member of the security department, utilizes an imprest inventory of funds secured in a pouch or wallet to pay a jackpot of less than $1,200 that is not totally and automatically paid directly from a slot machine.
(e) Prior to the payment of a jackpot payout under subsection (d), each slot machine licensee shall establish a comprehensive system of internal controls addressing this method of jackpot payout, the replenishment of the imprest pouch and the attendant reconciliation process. The internal controls shall be submitted to and approved by the Board under § 465a.2.
§ 465a.27. Annuity jackpots.
(a) A slot machine licensee offering an annuity jackpot payable over 10 years or more may offer a winning patron the option to be paid in a single cash payout, in lieu of the annuity jackpot, in an amount that is equal to the present value of the face amount of the jackpot payout as calculated in subsection (b).
(b) A slot machine licensee may offer a cash payment option. The present value of the cash payout option on an annuity shall be determined by applying a discount rate to each of the future annuity jackpot payments, taking into consideration the number of years until each jackpot payment would otherwise have been received and adding to that amount the amount of the first cash payment that would otherwise have been received. For the purposes of this subsection, the discount rate must equal the United States Treasury constant maturity rate for 20 year United States government securities for the week ending prior to the date of the jackpot, as identified in the applicable H.15 Statistical Release issued by the Federal Reserve Board plus 0.5%.
(c) A slot machine licensee may not offer an annuity jackpot payout unless:
(1) The terms and conditions of the annuity jackpot, including the effect on the calculation of the theoretical payout percentage, comply with the act, this subpart and technical standards on jackpot payouts approved by the Board and published in the Pennsylvania Bulletin and posted on the Board's website.
(2) The Board has approved the specific offer of the annuity jackpot.
(d) A cash payout made in connection with an annuity jackpot must be made in accordance with § 465a.26 (relating to jackpot payouts).
(e) Prior to the payment of an annuity jackpot, each slot machine licensee shall establish a comprehensive system of internal controls addressing the payment of an annuity jackpot. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).
(1) The internal control procedures developed and implemented by the slot machine licensee must include:
(i) Procedures to be followed by a winning patron to exercise a cash payout option.
(ii) Procedures with regard to the administration of the trust agreement established to insure the future cash payments due under the annuity jackpot award.
(iii) A requirement that the trustee for the trust fund established by the trust agreement be a slot machine licensee or, for a wide area progressive system offering an annuity jackpot, the slot system operator for that wide area progressive system.
(2) A slot machine licensee may not offer an annuity jackpot until its supporting trust agreement and the internal controls required under this section have been approved in writing by the Board under § 465a.2.
§ 465a.28. Merchandise jackpots.
(a) A slot machine licensee may not offer a merchandise jackpot payout unless:
(1) The terms and conditions of the merchandise jackpot, including the effect on the calculation of the theoretical payout percentage, comply with the act, this subpart and technical standards on jackpot payouts approved by the Board and published in the Pennsylvania Bulletin and posted on the Board's website.
(2) The Board has approved the specific offer of the merchandise jackpot. To obtain Board approval, a slot machine licensee shall file an Amendment Waiver and Request Form containing all of the details related to the merchandise jackpot payout.
(b) A cash payout made in connection with a merchandise jackpot shall be made in accordance with § 465a.26 (relating to jackpot payouts).
(c) Prior to the payment of a merchandise jackpot, each slot machine licensee shall establish a comprehensive system of internal controls addressing the payment of a merchandise jackpot. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).
§ 465a.29. Automated teller machines.
Automated teller machines may be placed at any location within the licensed facility.
§ 465a.30. Waiver of requirements.
(a) The Board may, on its own initiative, waive one or more of the requirements of this chapter or technical standards applicable to accounting and internal controls adopted by the Board and published in the Pennsylvania Bulletin and posted on the Board's website upon a determination that the nonconforming control or procedure nonetheless meets the operational integrity requirements of the act, this subpart and technical standards adopted by the Board and published in the Pennsylvania Bulletin and posted on the Board's website.
(b) A slot machine licensee may submit a written request to the Board for a waiver for one or more of the requirements in this chapter or the technical standards applicable to accounting and internal controls adopted by the Board and published in the Pennsylvania Bulletin and posted on the Board's website. The request must be filed on a Amendment Waiver and Request Form and include supporting documentation demonstrating how the accounting and internal controls for which the waiver has been requested will still meet the operational integrity requirements of the act, this subpart and technical standards adopted by the Board and published in the Pennsylvania Bulletin and posted on the Board's website.
§ 465a.31. Gaming day.
(a) The beginning and ending times of the gaming day will be determined by the Board and will be uniform for all slot machine licensees for the purposes of determining gross terminal revenue.
(b) Prior to commencing gaming operations, each slot machine licensee shall submit to the Board, in writing, its hours of operation, which times must correspond to the portion of its gaming day it will be open to the public for the purpose of gaming activities. A slot machine licensee may not commence gaming operations until its hours of operation are approved by the Board.
(c) Any change in a slot machine licensee's hours of operation shall be noticed to the Board at least 72 hours in advance of the change in writing.
§ 465a.32. Signature.
An employee signature may be in either of the following formats:
(1) The employee's first initial, last name and Board license number, written by the employee, immediately adjacent to or above the clearly printed or preprinted title of the employee.
(2) The employee's unique identification number or other computer identification code issued to the employee by the slot machine licensee, if the document to be signed is authorized by the Board to be generated by a slot computer system and the method of signature is approved or required by the Board.
CHAPTER 465b. TECHNICAL STANDARDS--STATEMENT OF POLICY Sec.
465b.1. Digital video recording formats. § 465b.1. Digital video recording formats.
(a) Any digital video recording system utilized by a slot machine licensee must:
(1) Be capable of recording, and thereafter being viewed, at a minimum of 30 frames or images per second, full screen, in real time.
(2) Have a visual resolution of 640 x 480 pixels or greater unless the Board expressly determines that an alternative visual resolution can achieve the clarity required to meet the purposes of this section.
(3) Be capable of retaining for at least 30 days all images obtained from all approved video cameras.
(4) Have a failure notification system that provides an audible, as well as a visual notification, of any failure in the surveillance system or the digital video recording media storage system.
(5) Have a media storage system that is configured so that a failure of any single component will not result in the loss of any data from the media storage system.
(6) Have no more than eight of the cameras utilized to satisfy the coverage requirements in § 465a.9(c)(1) (relating to surveillance system; surveillance department control; surveillance department restrictions), be in the first stage of concentration, unless the slot machine licensee has a fault tolerant or redundant system so there is no loss of data in the event of a failure of a single first stage concentrator.
(b) Remote access to a digital surveillance system from any location outside the surveillance monitoring room may not be permitted without the approval of the Board.
(c) Digital video disks or other storage media produced from the digital video recording system must contain the date and time of recording superimposed thereon, clearly identify the type of media player and software prerequisite to viewing the digital images and identify the video verification encryption code or watermark.
(d) Details with regard to the digital video recording system's video verification encryption code or watermark shall be provided to the Board, at no cost to the Board, prior to the inspection and approval of the system.
(e) The slot machine licensee's contingency plan required under § 465a.9(f) must expressly provides that any failure in a digital video recording media storage system must be repaired or replaced within 8 hours of the failure.
(f) The Board may waive one or more of the requirements or technical standards applicable to a surveillance system upon a determination that the nonconforming surveillance system nonetheless provides for adequate and effective surveillance of activities inside and outside the licensed facility.
CHAPTER 466. (Reserved) § 466.1. (Reserved).
CHAPTER 466a. SLOT COMPUTER SYSTEMS Sec.
466a.1. Slot computer systems generally. 466a.2. Waiver of requirements. § 466a.1. Slot computer systems generally.
(a) All aspects of a slot machine licensee's slot computer system shall be located within the licensed facility in accordance with technical standards under § 466b.1 (relating to slot computer systems).
(b) For the purposes of this section, a slot computer system includes all aspects of a computer system which the act, this subpart or technical standards under § 466b.1 either require or permit to be utilized by a slot machine licensee in the conduct of, or monitoring of, slot machine operations including hardware, software and network interfaces used in connection with the operation of a slot monitoring system, casino management system, player tracking system, external bonusing system, cashless funds transfer system and gaming voucher system. A slot computer system will not be construed to include the following:
(1) A slot machine or bill validator.
(2) A wide area progressive slot system.
(3) Other computer systems or applications that the Board determines are not slot computer systems.
§ 466a.2. Waiver of requirements.
(a) The Board may, on its own initiative, waive one or more of the requirements of this chapter or the technical standards under § 466b.1 (relating to slot computer systems) upon a determination that the nonconforming system protocols nonetheless meet the integrity requirements of the act, this subpart and technical standards under § 466b.1.
(b) A slot machine licensee may submit a written request to the Board for a waiver for one or more of the requirements in this chapter or the technical standards under § 466b.1. The request must be filed on a Amendment Waiver and Request Form and include supporting documentation demonstrating how the nonconforming system protocols for which the waiver has been requested will still meet the operational integrity requirements of the act, this subpart and technical standards under § 466b.1.
CHAPTER 466b. TECHNICAL STANDARDS--STATEMENT OF POLICY Sec.
466b.1. Slot computer systems. § 466b.1. Slot computer systems.
(a) Definitions. The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:
Computer access or logical access--The ability of a person or process to obtain information from, or execute an action in, a slot computer system in accordance with privileges established by a slot machine licensee. The privileges shall be specified by an approved level of computer access.
Firewall--
(i) Dedicated computer hardware, software and the related security policy that protects a slot computer system, its software and data from access by other computer systems and users not specifically authorized to access the slot computer system, its software or data through procedures such as monitoring and analyzing all data packets on a real-time basis and automatically rejecting all unauthorized communications.
(ii) The term includes, without limitation, logging and reporting, automatic alarms and a user interface for controlling the firewall.
Level of computer access--
(i) The particular privileges granted to a person in a slot computer system by a slot machine licensee, such as read, modify and execute.
(ii) The privileges shall vary by slot computer system program, process, library or directory, according to the following:
(A) Position title and job code, for an employee of the slot machine licensee.
(B) Responsibilities and functions authorized to be performed, for any person not employed by the slot machine licensee.
Slot computer system--All aspects of a computer system which the act, this part or any technical standards adopted by the Board either require or permit to be utilized by a slot machine licensee in the conduct of, or monitoring of, slot machine operations including hardware, software and network interfaces used in connection with the operation of a slot monitoring system, casino management system, player tracking system, external bonusing system, cashless funds transfer system and gaming voucher system. A slot computer system may not be construed to include the following:
(i) A slot machine or bill validator.
(ii) A wide area progressive slot system.
(iii) A computer system that does not constitute a slot computer system and is connected to a slot computer system in accordance with subsection (f) and through a firewall which has the ability to:
(A) Maintain a list of each device, person or process authorized to obtain computer access to the slot computer system.
(B) Generate daily monitoring logs to inform the slot machine licensee of any unsuccessful attempts by a device, person or process to obtain computer access to the slot computer system.
(C) Authenticate the identity of each device, person and process from which communication is recorded before granting computer access to the slot computer system to the device, person or process.
(iv) Other computer systems or applications that the Board determines are not slot computer systems.
(b) Authorized locations.
(1) All aspects of a slot machine licensee's production slot computer system shall be located within the licensed facility. For the purposes of this section, a ''production slot computer system'' shall be defined as the slot machine licensee's primary slot computer system comprised of a collection of hardware and software used to process or monitor, in real time, slot machine activity. A production slot computer system includes any segregated testing component.
(2) With the written approval of the Board, a slot machine licensee's back-up slot computer system, or any portion thereof, may reside in a computer located in a secure location, referred to as a ''remote computer,'' under the custody and control of an affiliate, intermediary, subsidiary or holding company licensed by the Board, referred to as a ''host entity.'' For the purposes in this section, a back-up system may consist of either a mirrored back-up system which duplicates the production system by recording all slot related operations on a real time basis and is designed to become the production system whenever needed or a periodic back-up system which consists of regularly scheduled recording of selected data which may include a complete image of the production system or any portion thereof. At a minimum, a slot machine licensee requesting authorization to allow a back up slot computer system to reside outside the licensed facility shall establish that:
(i) Communications between the remote computer and the slot machine licensee's slot computer system occur using a dedicated and secure communication medium, such as a leased line.
(ii) The remote computer automatically performs the following functions:
(A) Generates daily monitoring logs and real time alert messages to inform the slot machine licensee and host entity of any system performance problems and hardware problems.
(B) Generates daily monitoring logs and real time alert messages to inform the slot machine licensee of any software errors.
(C) Generates daily monitoring logs to inform the slot machine licensee of any unsuccessful attempts by a device, person or process to obtain computer access.
(D) Authenticates the identity of every device, person and process from which communications are received before granting computer access to the device, person or process.
(E) Ensures that data sent through a transmission is completely and accurately received.
(F) Detects the presence of corrupt or lost data and, as necessary, rejects the transmission.
(3) Unless a remote computer is used exclusively to maintain the slot computer system of the slot machine licensee, it shall be partitioned in a manner approved by the Board and include the following:
(i) A partition manager that complies with the following requirements:
(A) The partition manager must be comprised of hardware or software, or both, and perform all partition management tasks for a remote computer, including creating the partitions and allocating system resources to each partition.
(B) The slot machine licensee and host entity shall jointly designate and each shall identify the security officer who shall be responsible for administering the partition manager and maintaining access codes to the partition manager. The security officer shall be an employee of the slot machine licensee or host entity and shall be licensed as a key employee in this Commonwealth.
(C) Special rights and privileges in the partition manager such as administrator shall be restricted to the information technology director and the security officer of the slot machine licensee or host entity who shall be licensed as key employees in this Commonwealth.
(D) Access to the partition manager shall be limited to employees of the information technology departments of the slot machine licensee and host entity.
(E) Software-based partition managers contained in a remote computer shall be functionally limited to performing partition management tasks for the remote computer, while partition managers using hardware and software that are not part of a remote computer may be utilized to perform other functions for a remote computer that are approved by the Board.
(ii) A separate and distinct partition established for the slot machine licensee's slot computer system that complies with the following requirements:
(A) The partition shall be limited to maintaining the software and data of the slot machine licensee for which the partition has been established.
(B) The security officer of the slot machine licensee for which the partition has been established shall be licensed as a key employee in this Commonwealth and shall be responsible for maintenance of access codes to the partition.
(C) Special rights and privileges in the partition such as administrator shall be restricted to the security officer and the information technology director of the slot machine licensee for which the partition has been established.
(iii) Separate and distinct operating system software, application software and computer access controls for the partition manager and each separate partition.
(c) The Board may permit a slot machine licensee to establish a partition, within a computer that contains its slot computer system, for its affiliate, intermediary, subsidiary or holding company provided that:
(1) A partition manager comprised of hardware or software, or both, is utilized to perform all partition management tasks, including creating the partitions and allocating system resources to each partition.
(2) A security officer is designated within the information technology department of the slot machine licensee to be responsible for administering the partition manager and maintaining access codes to the partition manager. Special rights and privileges in the partition manager such as administrator shall be restricted to the security officer and the information technology director of the slot machine licensee.
(3) Special rights and privileges in any partition which has been established for the benefit of an affiliate, intermediary, subsidiary or holding company shall be restricted to the security officer and information technology director of the affiliate, intermediary, subsidiary or holding company.
(d) The Board may permit a slot machine licensee to maintain back-up or duplicate copies of the software and data of its slot computer system, or any portion thereof, in removable storage media devices, such as magnetic tapes or disks, in a secure location within a licensed facility or other secure location outside the licensed facility as approved by the Board for the purposes of disaster recovery.
(e) Notwithstanding the provisions of subsection (b), upon the declaration of a disaster affecting the slot computer system by the chief executive officer of the slot machine licensee and with the prior written approval of the Board, a slot machine licensee may maintain the software and data of its slot computer system, or any portion thereof, in a computer located in a secure location outside the licensed facility.
(f) A slot machine licensee may locate software or data not related to a slot computer system, such as food and beverage related software or data, in a computer located outside the licensed facility. With the written approval of the Board, a slot machine licensee may connect the computer to a slot computer system, provided that:
(1) Logical access to computer software and data of the slot computer system is appropriately limited.
(2) Communications with all portions of the slot computer system occur using a dedicated and secure communications medium, such as a leased line.
(3) The slot machine licensee complies with other connection specific requirements required by the Board.
(g) The Board may waive one or more of the technical requirements applicable to slot computer systems adopted by the Board upon a determination that the nonconforming system protocols nonetheless meet the integrity requirements of the act, this part and technical standards adopted by the Board.
CHAPTER 467. (Reserved) §§ 467.1 and 467.2. (Reserved).
CHAPTER 467a. COMMENCEMENT OF SLOT OPERATIONS Sec.
467a.1. Gaming floor plan. 467a.2. Commencement of slot operations generally. § 467a.1. Gaming floor plan.
(a) An applicant for, or holder of a slot machine license, shall submit to the Board a floor plan of its gaming floor and the restricted areas servicing the slot operation. A floor plan must be:
(1) Drawn to 1/8 inch scale, unless another scale is approved by the Board.
(2) Certified by an architect licensed to practice in this Commonwealth and depict the following:
(i) The gaming floor with notations as to:
(A) Proposed total square footage.
(B) The perimeter of the gaming floor.
(C) A clearly delineated route for underage persons to transverse the gaming floor.
(ii) Each slot machine area on the gaming floor and each slot machine location within each slot machine area. Slot machine locations shall be identified by number in accordance with § 463a.3 (relating to slot machine location).
(iii) The number of slot machines on the gaming floor in compliance with section 1210 of the act (relating to number of slot machines), in total and by slot area.
(iv) Each slot seat on the gaming floor in compliance with § 461a.7(t) (relating to slot machine minimum design standards).
(v) Each surveillance camera installed in compliance with § 465a.9(a) (relating to surveillance system; surveillance department control, surveillance department restrictions), noting its type and camera number.
(vi) The cashiers' cage and any satellite cashiers' cage, inclusive of each cashiers' cage window and window number, ancillary offices and areas.
(vii) Each count room and any trolley storage area.
(viii) Each automated bill breaker, gaming voucher redemption, coupon redemption and jackpot payout machine.
(ix) Each automated teller machine.
(x) Each area designated for the storage or repair of slot machines.
(xi) Vault and armored car bay locations.
(xii) Additional documentation requested by the Board relating to the floor plan for the gaming floor.
(b) A slot machine licensee may not commence slot operations until the floor plan depicting its gaming floor and all restricted areas servicing the slot operation has been approved in writing by the Board. The approval by the Board will expressly authorize the maximum square footage of gaming floor and maximum number of slot machines which may be operated by the slot machine licensee.
(c) A slot machine licensee may not change or revise the square footage of its gaming floor or the number, configuration or location of slot machines on the floor plan approved under subsection (b) without prior written approval of the Board.
§ 467a.2. Commencement of slot operations generally.
(a) Prior to the commencement of slot operations at a licensed facility a slot machine licensee shall demonstrate that:
(1) The licensed facility, including the gaming floor and restricted areas servicing the slot operation, complies in all respects with the act, this subpart and technical standards adopted by the Board and published in the Pennsylvania Bulletin and posted on the Board's website.
(2) Slot machines and associated equipment installed in the licensed facility and utilized in the conduct of slot machine operations have been tested and approved by the Board in compliance with the act, this subpart and technical standards adopted by the Board and published in the Pennsylvania Bulletin and posted on the Board's website.
(3) The gaming floor plan required under § 467a.1(a) (relating to gaming floor plan) has been approved by the Board in compliance with the act, this subpart and technical standards adopted by the Board and published in the Pennsylvania Bulletin and posted on the Board's website.
(4) The slot machine licensee's proposed site plan and internal control systems and audit protocols have been approved by the Board in compliance with the act, this subpart and technical standards adopted by the Board and published in the Pennsylvania Bulletin and posted on the Board's website.
(5) The slot machine licensee is prepared to implement necessary management controls, surveillance and security precautions to insure the efficient conduct of slot operations.
(6) The slot machine licensee's employees are licensed or permitted by the Board and trained in the performance of their responsibilities.
(7) The slot machine licensee has complied with any conditions prerequisite to commencement of slot operations contained in the Statement of Conditions executed under § 423.6 (relating to license, permit, registration and certification issuance and statement of conditions).
(8) The licensed facility is prepared in all respects to receive the public.
(9) The slot machine licensee has successfully completed a test period.
(10) For Category 1 licensees, the slot machine licensee has a written live racing agreement as required under section 1303(d) of the act (relating to additional category 1 slot machine license requirements).
(b) Upon a slot machine licensee's successful demonstration of the criteria enumerated in subsection (a), the Board may authorize the date and time at which the slot machine licensee may commence slot operations at the licensed facility and will fix the maximum square footage of gaming floor and maximum number of slot machines which may be operated by the slot machine licensee pursuant to that authorization.
[Pa.B. Doc. No. 07-1345. Filed for public inspection July 27, 2007, 9:00 a.m.]
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