RULES AND REGULATIONS
Title 58--RECREATION
PENNSYLVANIA GAMING CONTROL BOARD
[ 58 PA. CODE CHS. 501, 501a, 503 AND 503a ]
Compulsive and Problem Gambling; Self-Exclusion
[37 Pa.B. 5744]
[Saturday, October 27, 2007]The Pennsylvania Gaming Control Board (Board), under its general authority in 4 Pa.C.S. § 1202(b)(30) (relating to general and specific powers) and the specific authority in 4 Pa.C.S. §§ 1509 and 1516 (relating to compulsive and problem gambling program; and list of persons self excluded from gaming activities), rescinds Chapters 501 and 503 and adopts Chapters 501a and 503a (relating to compulsive and problem gambling requirements; and self-exclusion) to read as set forth in Annex A.
Purpose of the Final-Form Rulemaking
Under the authority granted to the Board under 4 Pa.C.S. § 1203 (relating to temporary regulations), the Board initially adopted Chapter 501 at 35 Pa.B. 4543 (August 6, 2005) and Chapter 503 at 36 Pa.B. 2902 (June 10, 2006). Under 4 Pa.C.S. § 1203(b), the temporary regulations expired on July 5, 2007.
The Board is adopting Chapters 501a and 503a to replace the Board's temporary regulations with the permanent regulations.
Explanation of Chapters 501a and 503a
Chapter 501a requires slot machine licensees to file a comprehensive compulsive and problem gaming plan with the Board for Board approval. The regulations list: the specific items that must be included in a plan; the elements that must be included in employee training programs; slot machine licensee reporting requirements; signage requirements; and provisions governing check cashing.
Chapter 503a addresses self-exclusion requirements. It specifies: definitions used in this chapter; how a person may request self-exclusion; maintenance and distribution of the self-exclusion list by the Board; duties and responsibilities of the slot machine licensees and their employees; how a person may request removal from the self-exclusion list; and limited exceptions for individuals on the self-exclusion list whose jobs require them to be on the gaming floor.
Comment and Response Summary
Notice of proposed rulemaking was published at 37 Pa.B. 416 (January 27, 2007).
The Board did not receive any public comments during the public comment period. After the close of the public comment period, the Board received comments from the Pennsylvania Chapter of the National Association of Social Workers (NASW-PA) and the Independent Regulatory Review Commission (IRRC) forwarded a copy of a comment it received from Samuel Knapp. On March 22, 2007, Representative Paul Clymer, Republican Chairperson of the House Gaming Oversight Committee, submitted comments on the proposed rulemaking and on March 28, 2007, comments on the proposed rulemaking were received from IRRC.
The Board adopted a final-form version of this rulemaking on June 5, 2007. Subsequent to that adoption, additional comments were received from IRRC and Representatives Harold James and Paul Clymer, the Chairperson of the House Gaming Oversight Committee. On July 16, 2007, the Board withdrew the June 5 final-form regulations to consider these additional comments.
The comments noted previously were reviewed by the Board and are discussed in detail as follows.
In § 501a.1 (relating to definitions), Representative Clymer, IRRC, NASW-PA and Samuel Knapp all commented that the definition of ''qualified treatment professional'' was too broad and that more specific requirements should be added.
The Board has deleted the definition of ''qualified treatment professional'' because the term is no longer used in this chapter. The Board has eliminated the referral provisions that were in § 501a.2(d)(3)(v) (relating to compulsive and program gambling plan) where this term was used.
IRRC also noted a number of sections where similar phrases are used and suggested that the phrase ''qualified treatment professional'' be used in those sections.
The Board has deleted this term from § 501a.2(d)(3)(v). In the other sections cited by IRRC, the Board intended to use the different terms.
IRRC also suggested that the Board add definitions for the terms ''compulsive gambling'' and ''problem gambling.''
The Board has elected not to add definitions of these terms. These terms are used as part of the phrase ''compulsive and problem gambling'' which is used in the act and is a well understood term in the gaming industry. Adding separate definitions for these terms may create more confusion as to the meaning of ''compulsive and problem gambling.''
In § 501a.2, IRRC recommended that more detail be included in subsection (a) relating to approval and amendment of compulsive and problem gaming plans.
The review of a compulsive and problem gaming plan has two phases. The initial review phase occurs during the application process during which the Board will review the plan as one component of an application for a slot machine license.
The second phase occurs when a slot machine applicant's application is approved. At that point, the Director of Office of Complusive and Program Gambling (OCPG) will conduct an in-depth review of the plan and will notify the slot machine applicant of any deficiencies in the plan and work with the applicant to resolve the deficiencies.
Subsection (a) has been split into two subsections to better reflect the actual review process. No specific time frames have been included in the new subsection (b) because the process is an iterative, on-going dialogue between the slot machine applicant and the Director of OCPG and the applicant may not commence operations until its plan has been approved.
IRRC had a number of questions and concerns relating to subsection (d). First, it questioned what would be required to be included in a plan under subsection (d)(3)(iii) to address the ''responsibility of patrons with respect to responsible gaming.''
The Board has placed a number of duties on slot machine licensees to protect the welfare of their patrons. However, patrons also bear some responsibility for their own behavior. This provision requires the slot machine licensees to have a statement of policy as to what they view as the responsibilities of patrons.
In subsection (d)(3)(vi), IRRC questioned how the public is protected if a slot machine licensee does not have a duty to refer suspected or known compulsive and problem gamblers to qualified treatment professionals.
The Board has revised the language in subsection (d)(3)(v) and (vi) to limit the responsibility of slot machine licensees to just providing information. In the proposed regulations, the Board had placed a responsibility on slot machine licensees to make referrals and had provided limited liability protection from civil suits that might occur as a result of making or not making referrals. Because those liability provisions have been deleted in the final-form regulation, the Board believes it is unreasonable to require slot machine licensees to be required to make referrals. Instead, slot machine licensees will only be required to provide general information regarding treatment options.
In subsection (d)(12), IRRC asked for clarification of the intent of ''outreach programs.''
Outreach programs are programs offered to employees and groups other than the slot machine licensee's employees. Examples would include providing speakers to community groups or providing financial support to agencies that deal with compulsive and problem gamblers. This section has been rewritten to more clearly reflect this meaning.
In subsection (d)(13), IRRC asked what process and criteria would be used to approve signs containing gambling treatment referral information.
The phrase ''Board-approved'' has been deleted from this section and additional language relating to the approval process has been added to § 501a.5 (relating to signage requirements) which is cross-referenced in this paragraph.
In subsection (e), IRRC asked what ''other policies and procedures'' must be included in the plan and suggested some clarifying language.
The intent of this requirement was to have slot machine licensees submit any additional policies or procedures they intend to use beyond what is included in the minimum requirements in subsection (d). Therefore, the language in this subsection has been split off into a new subsection (e) which also incorporates the clarifying language suggested by IRRC.
In subsection (g), IRRC suggested that the time frames for the review of amendments to the plan be added to the regulation.
In response to IRRC's suggestion, the Board has revised subsection (g) and added new subsections (h) and (i) which lay out the time frames and process for reviewing amendments in greater detail.
In § 501a.3 (relating to employee training program), IRRC had a number of concerns. In subsection (a)(10), IRRC asked what the basis was for the 90-day time period and why this subsection was not cross-referenced in § 503a.4 (relating to duties of slot machine licensees).
The 90-day period was initially selected to allow ample time for a slot machine licensee to modify marketing programs which the slot machine licensee may have contracted out to a third party. However, based on the Board's experience to date, such a long lead time is not necessary. Therefore, the time period for compliance has been reduced to 5 days and has been tied to the mailing of any advertisement since the slot machine licensee can not control when it is actually received. The Board has also added a cross-reference to this subsection in § 503a.4 as suggested by IRRC.
In subsection (b), IRRC recommended that the timetables for completion of training be included in the regulation.
The Board agrees and has replaced the ''timetables'' requirement with the requirement that employees receive this training as part of their employee orientation.
In subsection (d), IRRC suggested that a specific time period be established for reinforcement training and that the manner of recording this training be added to the section.
The Board concurs with these suggestions and has added language which requires reinforcement training every year starting with the year following an employee's hiring. The date of completion of this training must be recorded in the employee's personnel file so that compliance can be monitored by the Board.
In subsection (g), IRRC asked how Internet-based training would be reviewed and why in-house programs were not also included in the review process.
Training programs, whether in-house or Internet-based, are reviewed under § 501a.2(d)(5) as part of the plan approval process. The intent of this subsection was to simply allow the use of Internet-based programs as part of a slot machine licensee's training program. Therefore, the last sentence in subsection (g) has been deleted.
In § 501a.5 (relating to liability), IRRC asked what the Board's statutory authority is for this provision and how it is consistent with the legislative intent of 4 Pa.C.S. § 1102(10) (relating to legislative intent). Representatives James and Clymer expressed similar concerns.
The Board proposed these provisions under its general rulemaking authority under 4 Pa.C.S. §§ 1202(b)(30) and 1516. These provisions were intended to encourage slot machine licensees to be more proactive while discouraging frivolous lawsuits against both the Board and slot machine licensees. However, the Board recognizes that the act does not contain language specifically authorizing all of these provisions. For this reason, the Board has deleted § 501a.5 entirely.
In proposed § 501a.6 (relating to signage requirements), IRRC suggested that more detail be added to the regulation regarding the approval of signs that must be posted in a licensed facility and the language that must be included in marketing materials.
The actual text may vary by slot machine licensee; some licensees have proprietary phrases that they have previously developed for use in other jurisdictions. To allow some flexibility, the Board will not require all slot machine licensees to use the same language. To review a slot machine licensee's materials, the approval process for signs and marketing materials will be the same as the process for approval of amendments to the plan. Accordingly a cross-reference to that process has been added to both subsections (a) and (b).
Representative Clymer suggested the Board reduce the 50 foot distance applicable to the location of signs and require a minimum number of signs.
The Board has not adopted either of these suggestions. The suggestion to reduce the 50 foot requirement was not adopted because the 50 foot distance is established by 4 Pa.C.S. § 1509(c). A minimum number of signs was not added as a requirement because licensed facilities will vary significantly in size and design. Therefore, what may be an appropriate number of signs in some facilities may be insufficient for other facilities. Instead, the plan for posting signs will be reviewed under § 501a.2(d)(13) for each individual facility.
In proposed § 501a.7 (relating to check cashing), IRRC questioned how a slot machine licensee would be able to determine if a check was being cashed ''to enable the individual to take part in gaming'' and suggested that this phrase be deleted or replaced with the phrase ''for a patron.''
The Board has adopted IRRC's suggested revised language.
In § 503a.2(a) (relating to request for self-exclusion), Representative Clymer and IRRC suggested that applications for self-exclusion be taken at all Board offices and licensed facilities.
Currently, the Board has been accepting walk-in applications at Board offices and licensed facilities whenever a trained Board employee is present. To facilitate this process, the regulation has been amended to allow applicants to schedule an appointment at any Board office or licensed facility. Walk-in applications will continue to be accepted if a trained employee is present, but if a trained employee is not present, the applicant will be able to request that an appointment be set up.
In §§ 503a.2(a) and 503a.4(i) and § 503a.5(b) (relating to removal from self-exclusion list), IRRC suggested that the phrases ''form and manner prescribed by the Board'' and ''form prescribed by the Board'' be deleted or additional details be added.
The phrases noted previously have been deleted and more detailed information has been added. For example, in § 503a.4(i) notice of the discovery of a self-excluded person on the gaming floor must be provided to the Director of OCPG within 24 hours.
In subsection (c), IRRC asked how an individual on the self-exclusion list would report changes in their information to the Board.
To provide guidance, this section has been amended by adding the form name, where the form can be obtained and the address to which changes are to be sent.
In subsection (e)(3), IRRC asked why the phrase ''problem gambler'' is used instead of ''compulsive and problem gambler.''
The phrase ''problem gambler'' is used in this provision because that is the term used in 4 Pa.C.S. § 1516(a). Also, the intent of this provision is for the individual to acknowledge that they are a problem gambler irrespective of whether or not they meet the clinical definition of a compulsive gambler.
In subsection (e)(6), IRRC questioned the Board's statutory authority for subparagraphs (iii) and (iv) and how these subparagraphs protect citizens from the negative effects of gambling and encourage them to participate in the self-exclusion program. Representatives James and Clymer expressed similar concerns.
The Board proposed these subparagraphs under the Board's general rulemaking authority under 4 Pa.C.S. § 1202(b)(30). These provisions were intended to encourage slot machine licensees to be more proactive in disseminating information to prevent self-excluded individuals from gambling and to protect the Board and slot machine licensees from frivolous lawsuits. However, upon further consideration, the Board agrees that the proposed language is too broad. Accordingly, subparagraphs (iii) and (iv) have been deleted.
In § 503a.3 (relating to self-exclusion list), IRRC asked how soon the Board would notify slot machine licensees of additions to or removals from the self-exclusion list and recommended that the notice be made within 24 hours.
The Board has added a provision stating that the notice will be provided to slot machine licensees within 5 days of the verification of the information in the request. While in most cases the Board expects to make the notification very quickly, the 5-day period gives the Board some flexibility.
In subsection (g) (and in § 503a.4(i)), IRRC asked what is meant by ''gaming activity'' and suggested that this term be defined.
The term ''gaming activity'' is a well understood term within the gaming industry involving any activities involving or related to the play of slot machines. However, since this chapter is targeted at individuals, as well as slot machine licensees, the Board agrees with IRRC and has added a definition of this term.
In § 503a.4(a)(1)(ii), IRRC asked who the ''designated representatives of the Board'' would be and how and when they would be notified.
Revisions were made in this subsection to require immediate notice to the BIE agents at the licensed facility. The method of this notice has not been prescribed because the quickest way to provide notice will depend on the circumstances. The Board wants slot machine licensees to use the quickest means available.
In subsection (b), IRRC asked what the process is and the time frames are for approval of the training procedures and materials.
To address these concerns, the Board extensively revised subsections (b) and (c) and added new subsections (d) and (e) to lay out the process for review and approval of procedures and materials and any amendments thereto.
Finally, IRRC asked what the approval process would be or minimum requirements would be for the signs required by subsection (f).
To clarify this process, language was added to subsection (f) to set forth that the process for review of signs would be the same as the process for reviewing procedures and training materials under subsection (b).
In § 503a.6 (relating to exceptions to the prohibition from being on the gaming floor for individuals on the self-exclusion list), Representative Clymer suggested that the words ''all of'' be inserted before the words ''the following apply.'' The Board agrees that this language will add clarity to this section and has amended this section as suggested.
Additional Revisions
In addition to the revisions discussed previously, the Board has made several additional revisions.
In § 501a.1, a definition of ''OCPG'' (Office of Compulsive and Problem Gambling) was added.
In §§ 501a.2(d)(3)(ii) and 501a.3(c), (d) and (e), the phrase ''Key employees and gaming employees'' has been replaced with ''Employees'' to pull in nongaming and noncredentialed employees who will be required to receive the training required under this section.
In § 501a.3(e), the last sentence regarding immunity from liability has been deleted.
In § 503a.1, the phrase ''or slot system operator'' has been added to the definitions of the terms ''fully executed gaming transaction'' and ''winnings'' to reflect the fact that the slot system operator, rather than the slot machine licensee, may be responsible for the payout of a wide area progressive jackpot.
In § 503a.2, subsection (a) was deleted because it repeats portions of subsection (b).
In § 503a.3(f), the phrase ''operated by affiliated licensed gaming entities'' in the last sentence was deleted to clarify that the ''limited purpose'' language applies to disclosures to affiliated and nonaffiliated entities.
In § 503a.3(h), the phrase ''and deposited in the Compulsive and Problem Gambling Treatment Fund'' has been replaced with ''to support compulsive and problem gambling programs of the Board.'' This change will allow the Board to retain these funds to support the Board's in-house compulsive and problem gambling programs.
In § 503a.4(a)(2), ''Immediately'' was added to clarify when notice must be provided to the Pennsylvania State Police when a self-excluded individual is found on the gaming floor.
In § 503a.5, details were added relating to where and how requests for removal from the self-exclusion list will be processed.
Affected Parties
This final-form rulemaking imposes requirements on slot machine licensees and persons who are seeking to be added to or removed from the self-exclusion list.
Fiscal Impact
Commonwealth
This final-form rulemaking will impose costs on the Board related to the review of slot machine licensees' compulsive and problem gaming plans and administration of the self-exclusion program.
Political Subdivisions
This final-form rulemaking will have no significant fiscal impact on political subdivisions of this Commonwealth.
Private Sector
Slot machine licensees will experience costs related to developing compulsive and problem gaming programs, training of employees, posting signs and compliance with the requirements of the self-exclusion program.
General Public
Individuals seeking to be added to or removed from the self-exclusion list will experience some minor costs associated with the application process.
Paperwork requirements
This final-form rulemaking requires slot machine licensees to file a comprehensive compulsive and problem gaming plan with the Board for its approval and to submit amendments to the plan to the Board. A slot machine licensee is also required to submit its procedures for implementing the self-exclusion program.
Individuals seeking to be added to or removed from the self-exclusion list will have to complete the appropriate forms.
Effective Date
The final-form rulemaking will become effective upon publication in the Pennsylvania Bulletin.
Contact Person
The contact person for questions about this final-form rulemaking is Richard Sandusky, Director of Regulatory Review, (717) 214-8111.
Regulatory Review
Under sections 5(a) and (f) of the Regulatory Review Act (71 P. S. §§ 745.5(a) and (f)), on January 17, 2007, the Board submitted a copy of the proposed rulemaking, published at 37 Pa.B. 416 (January 27, 2007), and a copy of the Regulatory Analysis Form to the Independent Regulatory Review Commission (IRRC). On February 12, 2007, the Board submitted a copy of the proposed rulemaking and a copy of the Regulatory Analysis Form to the Chairpersons of the House Gaming Oversight Committee and the Senate Committee on Community, Economic and Recreational Development for review and comment.
Under section 5(c) of the Regulatory Review Act (71 P. S. § 745.5(c)), IRRC and the Committees were provided with copies of the comments received during the public comment period, as well as other documents when requested. In preparing the final-form rulemaking, the Board has considered all comments received from IRRC and the public.
Under section 5.1(j.2) of the Regulatory Review Act (71 P. S. § 745.5a(j.2)), on September 19, 2007, the final-form rulemaking was deemed approved by the House Gaming Oversight Committee and the Senate Committee on Community, Economic and Recreational Development. Under section 5.1(e) of the Regulatory Review Act (71 P. S. § 745.5a(e)), IRRC met on September 20, 2007, and approved the final-form rulemaking.
Findings
The Board finds that:
(1) Public notice of intention to adopt these chapters was given under sections 201 and 202 of the act of July 31, 1968 (P. L. 769, No. 240) (45 P. S. §§ 1201 and 1202) and the regulations thereunder, 1 Pa. Code §§ 7.1 and 7.2.
(2) The final-form rulemaking is necessary and appropriate for the administration and enforcement of the act.
Order
The Board, acting under the act orders that:
(a) The regulations of the Board, 58 Pa. Code Part VII, are amended by deleting §§ 501.1--501.8 and 503.1--503.6 and by adding §§ 501a.1--501a.6 and 503a.1--503a.6 to read as set forth in Annex A.
(b) The Chairperson of the Board shall certify this order and Annex A and deposit them with the Legislative Reference Bureau as required by law.
(c) This order shall take effect upon publication in the Pennsylvania Bulletin.
MARY DIGIACOMO COLINS,
Chairperson(Editor's Note: For the text of the order of the Independent Regulatory Review Commission, relating to this document, see 37 Pa.B. 5447 (October 6, 2007).)
Fiscal Note: Fiscal Note 125-54 remains valid for the final adoption of the subject regulations.
Annex A
TITLE 58. RECREATION
PART VII. GAMING CONTROL BOARD
Subpart I. COMPULSIVE AND PROBLEM GAMBLING
CHAPTER 501. (Reserved) §§ 501.1--501.8. (Reserved).
CHAPTER 501a. COMPULSIVE AND PROBLEM GAMBLING REQUIREMENTS Sec.
501a.1. Definitions. 501a.2. Compulsive and problem gambling plan. 501a.3. Employee training program. 501a.4. Reports. 501a.5. Signage requirements. 501a.6. Check cashing. § 501a.1. Definitions.
The following term, when used in this chapter, has the following meaning, unless the context clearly indicates otherwise:
OCPG--The Office of Compulsive and Problem Gambling.
§ 501a.2. Compulsive and problem gambling plan.
(a) An applicant for a slot machine license shall submit a compulsive and problem gambling plan to the Board for review at the time of submission of the application. The plan must, at a minimum, contain the elements listed in subsection (d).
(b) The compulsive and problem gambling plan of an applicant for a slot machine license who has been approved to receive a slot machine license must be approved by the Director of OCPG. An applicant for a slot machine license who has been approved to receive a slot machine license will be notified in writing of any deficiencies in the plan and may submit revisions to the plan to the Director of OCPG. A slot machine licensee may not commence operations until the Director of OCPG approves the plan.
(c) Compliance with the plan approved under this chapter will be a condition of license renewal.
(d) A compulsive and problem gambling plan must include the following:
(1) The goals of the plan and procedures and timetables to implement the plan.
(2) The identification of the individual who will be responsible for the implementation and maintenance of the plan.
(3) Policies and procedures including the following:
(i) The commitment of the licensee to train appropriate employees.
(ii) The duties and responsibilities of the employees designated to implement or participate in the plan.
(iii) The responsibility of patrons with respect to responsible gambling.
(iv) Procedures to identify patrons and employees with suspected or known compulsive and problem gambling behavior.
(v) Procedures for providing information to individuals regarding community, public and private treatment services, gamblers anonymous programs and similar treatment or addiction therapy programs designed to prevent, treat, or monitor compulsive and problem gamblers and to counsel family members.
(vi) Procedures for responding to patron requests for information regarding community, public and private treatment services, gamblers anonymous programs and similar treatment or addiction therapy programs designed to prevent, treat, or monitor compulsive and problem gamblers and to counsel family members. The provisions of this subsection do not create a duty for a slot machine licensee or its employees to refer compulsive and problem gamblers to qualified treatment professionals.
(4) The provision of printed material to educate patrons about compulsive and problem gambling and to inform them about treatment services available to compulsive and problem gamblers and their families. The slot machine licensee shall provide examples of the materials to be used as part of its plan, including signs required under § 501a.5 (relating to signage requirements), brochures and other printed material and a description of how the material will be disseminated.
(5) An employee training program as required under § 501a.3 (relating to employee training program), including training materials to be utilized and a plan for periodic reinforcement training.
(6) A certification process established by the slot machine licensee to verify that each employee has completed the training required by the plan.
(7) An estimation of the cost of development, implementation and administration of the plan.
(8) A list of community, public and private treatment services, gamblers anonymous programs and similar treatment or addiction therapy programs designed to prevent, treat, or monitor compulsive and problem gamblers and to counsel family members.
(9) Procedures to prevent underage gambling as required under § 513a.3(b) (relating to responsibilities of licensees, permittees, registrants and certification holders).
(10) Procedures to prevent excluded persons from gambling.
(11) Procedures to prevent intoxicated patrons from gambling.
(12) Details of outreach programs which the slot machine licensee intends to offer to employees and individuals who are not employees of the slot machine licensee.
(13) The plan for posting signs required under § 501a.5 within the licensed facility, containing gambling treatment information.
(e) A slot machine licensee shall also submit other policies and procedures the slot machine licensee intends to use beyond what is required under subsection (d) to prevent and raise awareness of compulsive and problem gambling.
(f) The Board may provide the plan submitted by the slot machine licensee to the Department of Health for evaluation. The Department of Health may provide comments and recommendations to the Board relating to the plan.
(g) A slot machine licensee shall submit amendments to the compulsive and problem gambling plan to the Director of OCPG for review and approval at least 30 days prior to the intended implementation date of the amendments. The slot machine licensee may implement the amendments on the 30th calendar day following the filing the amendments unless the slot machine licensee receives a notice under subsection (h) objecting to the amendments.
(h) If during the 30-day review period the Director of OCPG determines that the amendments may not promote the prevention of compulsive and problem gambling or assist in the proper administration of responsible gaming programs, the Director of OCPG may, by written notice to the slot machine licensee, object to the amendments. The objection will:
(1) Specify the nature of the objection and, when possible, an acceptable alternative.
(2) Direct that the amendments not be implemented until approved by the Director of OCPG.
(i) When amendments have been objected to under subsection (h), the slot machine licensee may submit revised amendments within 30 days of receipt of the written notice from the Director of OCPG. The slot machine licensee may implement the revised amendments on the 30th calendar day following the filing of the revision unless it receives written notice under subsection (h) objecting to the amendments.
§ 501a.3. Employee training program.
(a) The employee training program required under § 501a.2(d)(5) (relating to compulsive and problem gaming plan) must include instruction in the following:
(1) Characteristics and symptoms of compulsive behavior, including compulsive and problem gambling.
(2) The relationship of compulsive and problem gambling to other addictive behavior.
(3) The social and economic consequences of compulsive and problem gambling, including debt, treatment costs, suicide, criminal behavior, unemployment and family counseling.
(4) Techniques to be used when compulsive and problem gambling is suspected or identified.
(5) Techniques to be used to discuss compulsive and problem gambling with patrons and advise patrons regarding community, public and private treatment services.
(6) Procedures designed to prevent serving alcohol to visibly intoxicated gaming patrons.
(7) Procedures designed to prevent persons from gaming after having been determined to be visibly intoxicated.
(8) Procedures for the dissemination of written materials to patrons explaining the self-exclusion program.
(9) Procedures for removing an excluded person, an underage individual or a person on the self-exclusion list from a licensed facility including, if necessary, procedures that include obtaining the assistance of appropriate law enforcement personnel.
(10) Procedures for preventing an excluded person or a person on the self-exclusion list from being mailed any advertisement, promotion or other target mailing no later than 5 business days after receiving notice from the Board that the person has been placed on the excluded person or self-exclusion list.
(11) Procedures for preventing an individual under 21 years of age from receiving any advertisement, promotion or other target mailing.
(12) Procedures to prevent an excluded person, an individual under 21 years of age or a person on the self-exclusion list from having access to or from receiving complimentary services, or other like benefits.
(13) Procedures to prevent an excluded person, an individual under 21 years of age or a person on the self-exclusion list from cashing checks.
(b) Training for employees shall be conducted by a person with specialized knowledge, skill, training and experience in responsible gaming employee training programs as part of the employee's orientation.
(c) Employees who have received training shall be certified by the slot machine licensee under § 501a.2(d)(6) upon completion of the training.
(d) Employees are required to receive periodic reinforcement training at least once every calendar year starting with the year following the year in which the employee was hired. The date of the reinforcement training shall be recorded in the employee's personnel file.
(e) Employees shall report suspected or identified compulsive or problem gamblers to a designated key employee or other supervisory employee.
(f) The identity of an individual suspected of known compulsive or problem gambling shall be confidential except as provided under § 503a.3(f) (relating to self-exclusion list) and section 1516(d) of the act (relating to list of persons self-excluded from gaming activities).
(g) Slot machine licensees may collaborate with a person with specialized knowledge, skill, training and experience in responsible gaming employee training programs to develop an in-house or Internet-based employee training program to provide the training and reinforcement training required by this chapter.
§ 501a.4. Reports.
A slot machine licensee shall submit an annual summary of its compulsive and problem gambling program with its application for renewal of the slot machine license.
§ 501a.5. Signage requirements.
(a) Under section 1509(c) of the act (relating to compulsive and problem gambling program), each slot machine licensee shall post signs that include a statement that is similar to the following: ''If you or someone you know has a gambling problem, help is available. Call (toll-free telephone number).'' The complete text of the sign shall be submitted for approval to the Director of OCPG utilizing the process contained in § 501a.2(g) (relating to compulsive and problem gambling plan). The signs shall be prominently posted at the following locations:
(1) Within 50 feet of each entrance and exit of the facility.
(2) Within 50 feet of each ATM, cash dispensing or change machine in each facility.
(b) Each slot machine and junket licensee shall print a statement related to obtaining compulsive or problem gambling on all marketing or advertising materials that are offered to the general public by a slot machine or junket licensee, including signs, billboards, print, radio or television advertisements. The text and font size of the statement shall be submitted for approval to the Director of OCPG utilizing the process contained in § 501a.2(g).
§ 501a.6. Check cashing.
(a) Except as permitted in subsection (b), holders of a license, certification or registration from the Board or persons acting on behalf of a holder of a license, certification or registration from the Board, may not cash a check payable to an individual, including Social Security, unemployment insurance, disability payment, public assistance payment or payroll check for a patron.
(b) A holder of a license, certification or registration from the Board or any employee authorized by a holder of a license, certification or registration from the Board may accept a personal check, wire transfer or cash equivalent, such as a recognized traveler's check, cashier's check or money order.
CHAPTER 503. (Reserved) §§ 503.1--503.6. (Reserved).
CHAPTER 503a. SELF-EXCLUSION Sec.
503a.1. Definitions 503a.2. Request for self-exclusion 503a.3. Self-exclusion list 503a.4. Duties of slot machine licensees 503a.5. Removal from self-exclusion list 503a.6. Exceptions to the prohibition from being on the gaming floor for individuals on the self-exclusion list. § 503a.1. Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:
Fully executed gaming transaction--An activity involving a slot machine or associated equipment which occurs on the gaming floor of a licensed facility and which results in an individual obtaining any money or thing of value from, or being owed any money or thing of value by, a slot machine licensee or slot system operator.
Gaming activity--An activity involving or related to the play of slot machines including player club memberships or promotional activities.
OCPG--Office of Compulsive and Program Gambling.
Self-excluded person--A person whose name and identifying information is included, at the person's own request, on the self-exclusion list maintained by the Board.
Self-exclusion list--A list of names and identifying information of persons who, under this chapter, have voluntarily agreed to be excluded from the gaming floor and all gaming activities at a licensed facility and to be prohibited from collecting any winnings, recovering any losses or accepting complimentary gifts or services or any other thing of value at a licensed facility.
Winnings--Any money or thing of value received from, or owed by a slot machine licensee or slot system operator as a result of a fully executed gaming transaction.
§ 503a.2. Request for self-exclusion.
(a) A person requesting placement on the self-exclusion list shall submit, in person, a completed Request for Voluntary Self-exclusion from Gaming Activities Form to the Board. The submission may be made by scheduling an appointment at the Board's Harrisburg office, one of the Board's other offices or at a licensed facility. To make an appointment, a person may contact the OCPG at (717) 346-8300.
(b) A request for self-exclusion must include the following identifying information:
(1) Name, including any aliases or nicknames.
(2) Date of birth.
(3) Address of current residence.
(4) Telephone number.
(5) Social Security number, when voluntarily provided in accordance with section 7 of the Privacy Act of 1974 (5 U.S.C. § 552a).
(6) Physical description of the person, including height, weight, gender, hair color, eye color and any other physical characteristic that may assist in the identification of the person.
(c) The information provided in subsection (c) shall be updated by the self-excluded person within 30 days of a change. Updated information shall be submitted on a Change of Information Form to the following address. A copy of the form can be obtained by calling the OPCG at (717) 346-8300 or by writing to:
PENNSYLVANIA GAMING CONTROL BOARD
OFFICE OF COMPULSIVE AND PROBLEM GAMBLING
P. O. BOX 69060
HARRISBURG, PA 17106-9060(d) The length of self-exclusion requested by a person must be one of the following:
(1) One year (12 months).
(2) Five years.
(3) Lifetime.
(e) A request for self-exclusion must include a signed release which:
(1) Acknowledges that the request for self-exclusion has been made voluntarily.
(2) Certifies that the information provided in the request for self-exclusion is true and accurate.
(3) Acknowledges that the individual requesting self-exclusion is a problem gambler.
(4) Acknowledges that a person requesting a lifetime exclusion is prohibited from requesting removal from the self-exclusion list and that a person requesting a 1-year or 5-year exclusion will remain on the self-exclusion list until a request for removal under § 503a.5 (relating to removal from self-exclusion list) is approved.
(5) Acknowledges that if the individual is discovered on the gaming floor or engaging in gaming activities at any licensed facility, that the individual will be subject to removal and will be subject to arrest for criminal trespass under 18 Pa.C.S. § 3503 (relating to criminal trespass).
(6) Releases, indemnifies, holds harmless and forever discharges the Commonwealth, the Board, and all slot machine licensees from any claims, damages, losses, expenses or liability arising out of, by reason of or relating to the self-excluded person or to any other party for any harm, monetary or otherwise, which may arise as a result of one or more of the following:
(i) The failure of a slot machine licensee to withhold gaming privileges from or restore gaming privileges to a self-excluded person.
(ii) Otherwise permitting or not permitting a self-excluded person to engage in gaming activity in a licensed facility while on the list of self-excluded persons.
(f) Self-exclusions for 1 or 5 years remain in effect until the self-excluded person requests removal from the Board's self-exclusion list under § 503a.5.
(g) A person submitting a self-exclusion request shall be required to present a government-issued photo identification containing the person's signature and photograph when the person submits the request.
(h) A person requesting self-exclusion under this chapter shall be required to have a photograph taken by the Board, or agent thereof, upon the Board's acceptance of the request to be on the list.
§ 503a.3. Self-exclusion list.
(a) The Board will maintain the official self-exclusion list and notify each slot machine licensee of additions to or deletions from the list within 5 business days of the verification of the information received under § 503a.2 (relating to request for self-exclusion) by first class mail or by transmitting the self-exclusion list electronically directly to each slot machine licensee.
(b) The notice provided to slot machine licensees by the Board will include the following information concerning a person who has been added to the self-exclusion list:
(1) Name, including any aliases or nicknames.
(2) Date of birth.
(3) Address of current residence.
(4) Telephone number.
(5) Social Security number, when voluntarily provided by the person requesting self-exclusion under section 7 of the Privacy Act of 1974 (5 U.S.C. § 552a).
(6) Physical description of the person, including height, weight, gender, hair color, eye color and other physical characteristic, that may assist in the identification of the person.
(7) A copy of the photograph taken by the Board under § 503a.2(i).
(c) The notice provided to slot machine licensees by the Board concerning a person whose name has been removed from the self-exclusion list will include the name and date of birth of the person.
(d) A slot machine licensee shall maintain a copy of the self-exclusion list and establish procedures to ensure that the copy of the self-exclusion list is updated and that all appropriate employees and agents of the slot machine licensee are notified of any addition to or deletion from the list within 5 business days after the day notice is mailed to each slot machine licensee or transmitted electronically under subsection (a).
(e) Information furnished to or obtained by the Board under this chapter will be deemed confidential and will not be disclosed except in accordance with this chapter.
(f) Slot machine licensees, employees or agents thereof may not disclose the name of, or any information about, a person who has requested self-exclusion to anyone other than employees and agents of the slot machine licensee whose duties and functions require access to the information. Notwithstanding the foregoing, a slot machine licensee may disclose the identity of a self-excluded person to appropriate employees of other slot machine licensees in this Commonwealth or affiliated gaming entities in other jurisdictions for the limited purpose of assisting in the proper administration of responsible gaming programs.
(g) A self-excluded person may not collect in any manner or in any proceeding any winnings or recover any losses arising as a result of any gaming activity for the entire period of time that the person is on the Board's self-exclusion list.
(h) Winnings incurred by a self-excluded person shall be remitted to the Board to support compulsive and problem gambling programs of the Board.
(i) For the purposes of this section, winnings issued to, found on or about, or redeemed by a self-excluded person shall be presumed to constitute winnings subject to remittance to the Board.
§ 503a.4. Duties of slot machine licensees.
(a) A slot machine licensee shall train its employees and establish procedures that are designed to:
(1) Identify a self-excluded person when present in a licensed facility and, upon identification, immediately notify the following persons:
(i) Employees of the slot machine licensee whose duties include the identification and removal of self-excluded persons.
(ii) BIE agents at the licensed facility.
(2) Immediately notify the Pennsylvania State Police when a self-excluded person is discovered on the gaming floor or engaging in gaming activities.
(3) Refuse wagers from and deny gaming privileges to a self-excluded person.
(4) Deny check cashing privileges, player club membership, complimentary goods and services, junket participation and other similar privileges and benefits to a self-excluded person.
(5) Ensure that self-excluded persons do not receive, either from the slot machine licensee or any agent thereof, junket solicitations, targeted mailings, telemarketing promotions, player club materials or other promotional materials relating to gaming activities at its licensed facility as required under § 501a.3(a)(10) (relating to employee training program).
(6) Comply with § 503a.3(d) (relating to self-exclusion list).
(7) Disseminate written materials to patrons explaining the self-exclusion program.
(b) A slot machine licensee shall submit a copy of its procedures and training materials established under subsection (a) to the Director of OCPG for review and approval at least 30 days prior to initiation of gaming activities at the licensed facility. The slot machine licensee will be notified in writing of any deficiencies in the procedures and training materials and may submit revisions to the procedures and training materials to the Director of OCPG. A slot machine licensee may not commence operations until the Director of OCPG approves the procedures and training.
(c) A slot machine licensee shall submit amendments to the procedures and training materials required under subsection (b) to the Director of OCPG for review and approval at least 30 days prior to the intended implementation date of the amendments. The slot machine licensee may implement the amendments on the 30th calendar day following the filing of the amendments unless the slot machine licensee receives a notice under subsection (d) objecting to the amendments.
(d) If during the 30-day review period the Director of OCPG determines that the amendments to the procedures and training materials may not promote the prevention of gaming by self-excluded individuals or assist in the proper administration of the self-exclusion program, the Director of OCPG may, by written notice to the slot machine licensee, object to the amendments. The objection will:
(1) Specify the nature of the objection and, when possible, an acceptable alternative.
(2) Direct that the amendments not be implemented until approved by the Director of OCPG.
(e) When the amendments to the procedures and training materials have been objected to under subsection (d), the slot machine licensee may submit revised amendments within 30 days of receipt of the written notice from the Director of OCPG. The slot machine licensee may implement the amendments on the 30th calendar day following the filing of the revisions unless it receives written notice under subsection (d) objecting to the amendments.
(f) A slot machine licensee shall post signs at all entrances to a licensed facility indicating that a person who is on the self-exclusion list will be subject to arrest for trespassing under 18 Pa.C.S. § 3503 (relating to criminal trespass) if the person is on the gaming floor or engaging in gaming activities. The text and font size of the signs shall be submitted for approval to the Director of OCPG under the procedures specified in subsection (b).
(g) The list of self-excluded persons is confidential, and any distribution of the list to an unauthorized source constitutes a violation of the act.
(h) Under section 1516 of the act (relating to list of persons self excluded from gaming activities), slot machine licensees and employees thereof may not be liable for damages in any civil action, which is based on the following:
(1) Failure to withhold gaming privileges from or restore gaming privileges to a self-excluded person.
(2) Permitting or not permitting a self-excluded person to gamble.
(3) Good faith disclosure of the identity of a self-excluded person to someone, other than those authorized by this chapter, for the purpose of complying with this chapter.
(i) A slot machine licensee shall report the discovery of a self-excluded person on the gaming floor or engaging in gaming activities to the Director of OCPG within 24 hours.
§ 503a.5. Removal from self-exclusion list.
(a) A self-excluded person may, upon the expiration of the period of self-exclusion, request removal of the person's name from the self-exclusion list by submitting a completed request for removal as required by subsections (b) and (c). The submission may be made by scheduling an appointment at the Board's Harrisburg office or one of the Board's other offices. To make an appointment, a person may contact the OCPG at (717) 346-8300.
(b) A request for removal from the self-exclusion list must include:
(i) The identifying information specified in § 503a.2(b)(1)--(6) (relating to request for self-exclusion).
(ii) The signature of the person requesting removal from the self-exclusion list indicating acknowledgment of the following statement:
''I certify that the information that I have provided above is true and accurate. I am aware that my signature below constitutes a revocation of my previous request for self-exclusion, and I authorize the Board to permit all slot machine licensees of the Commonwealth of Pennsylvania to reinstate my gaming privileges at licensed facilities.''(c) A person submitting a request for removal from the self-exclusion list shall be required to present a valid government-issued photo identification containing the person's signature when the request is submitted. No sooner than 5 business days after the request is submitted, the person submitting the request shall:
(1) Return to the Board office where the request was filed.
(2) Present a valid government-issued photo identification containing the person's signature.
(3) Sign the request a second time.
(d) Within 5 business days after the request is signed for a second time, the Board will delete the name of the person requesting removal from the self-exclusion list and notify each slot machine licensee of the removal.
§ 503a.6. Exceptions to the prohibition from being on the gaming floor for individuals on the self-exclusion list.
The prohibition against allowing self-excluded persons to be on the gaming floor does not apply to an individual who is on the self-exclusion list if all of the following apply:
(1) The individual is carrying out the duties of employment or incidental activities related to employment.
(2) The slot machine licensee's security department and the Board's office located at the licensed facility have received prior notice.
(3) Access to the gaming floor is limited to the time necessary to complete the individual's assigned duties.
(4) The individual does not otherwise engage in any gaming activities.
[Pa.B. Doc. No. 07-1980. Filed for public inspection October 26, 2007, 9:00 a.m.]
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