RULES AND REGULATIONS
PENNSYLVANIA GAMING CONTROL BOARD
[ 58 PA. CODE CHS. 435a, 441a AND 465a ]
Employees; Slot Machine Licenses; and Accounting and Internal Controls
[38 Pa.B. 6747]
[Saturday, December 13, 2008]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. §§ 1308, 1318 and 1331 (relating to applications for license or permit; occupation permit application; and duty of licensees, key employees and gaming employees), amends Chapters 435a, 441a and 465a (relating to employees; slot machine licenses; and accounting and internal controls) to read as set forth in Annex A.
Purpose of the Final-form Regulations
This final-form regulations expand the list of offenses holders of a license, permit or registration must report to the Board; establishes time periods for the submission of additional documents required when an application is being submitted under SLOTS Link; shifts the issuance of temporary credentials for nongaming employees from the casino compliance representatives at the licensed facilities to the Bureau of Licensing; and broadens the restriction on hiring off-duty law enforcement officers as security personnel.
Explanation of Amendments to Chapters 435a, 441a and 465a
Currently, § 435a.1(c) (relating to general provisions) only requires reporting of offenses under 18 Pa.C.S. (relating to crimes and offenses) or 75 Pa.C.S. § 3802 (relating to driving under influence of alcohol or controlled substance). To better insure continuing oversight of the character and suitability of individuals who hold a license, permit or registration, offenses involving moral turpitude, offenses under 75 Pa.C.S. which are punishable by 1 year or more and offenses under section 13(a) of the Controlled Substances, Drug, Devices and Cosmetic Act (35 P. S. § 780-113(a)) regarding prohibited acts; and penalties have been added to this subsection.
Under § 435a.3 (relating to occupation permit), an applicant may submit an application electronically using SLOTS Link. However, when an application is made using SLOTS Link, there are additional release forms that must be submitted on paper. In a number of cases, licensees have not been submitting this paperwork in a timely manner, which has resulted in delays in the processing of these applications. To reduce these delays, slot machine licensees will be required to submit this paperwork within 5 days of the filing of an application using SLOTS Link. For all other licensees, a 10-day filing period has been established.
In § 435a.9(b) (relating to temporary credentials for nongaming employees), issuance of temporary credentials for nongaming employees will now be done by the Bureau of Licensing instead of the casino compliance representatives at the licensed facilities. Improvements in administrative procedures within the Bureau of Licensing make it more efficient for the Board and the licensed facilities to have the Bureau of Licensing issue the temporary credentials as well as the permanent credentials for nongaming employees.
Section 441a.14(b) (relating to master purchasing and disbursement report), has been revised to reflect current practice. Slot machine licensees electronically transmit the data required by subsection (a) in a format that the Board has prescribed. Therefore, the language requiring a signature no longer applies.
In § 465a.14 (relating to security department minimum staffing), the restriction on hiring off-duty law enforcement officers to provide security in restricted areas or on the gaming floor has been extended to apply to the entire licensed facility. Because incidents that may require investigation by law enforcement officers could occur anywhere in the licensed facility, this revision will help to avoid any actual or appearance of a conflict of interest. Additionally, this will insure that any of a slot machine licensee's security personnel will be able to respond to any incident anywhere in the licensed facility.
Comment and Response Summary
Notice of proposed rulemaking was published at 38 Pa.B. 3505 (June 28, 2008).
The Board received comments from Washington Trotting Association, Inc. (WTA) during the public comment period. On August 27, 2008, the Independent Regulatory Review Commission (IRRC) also filed comments on the proposed rulemaking. All of these comments were reviewed by the Board and are discussed in detail as follows.
In its comments, WTA argued that the prohibition on hiring off-duty law enforcement agents should not be expanded. WTA believes that using off-duty law enforcement agents does not create any conflict of interest or operational problems. IRRC also questioned the need for this expansion.
WTA currently uses off-duty law enforcement agents to provide security in the racing areas of the facility and when the new integrated facility is completed, WTA wishes to continue using these individuals. Additionally, because the existing employees are unionized, compliance with this new requirement could create labor problems.
The Board disagrees with WTA's position. The Board believes that security personnel should be able to respond to incidents anywhere in the licensed facility and that the potential does exist for conflict of interest issues to arise if off-duty law enforcement agents are working in the areas designated as part of the licensed facility.
In response to WTA's concern about continued use of existing employees who are law enforcement agents, the Board notes that WTA will still be able to use these existing employees in other areas such as the pari-mutual areas, parking lots and any other areas that are not part of the actual licensed facility.
IRRC also noted that the term ''Slots Link'' in the proposed text §§ 435a.3 and 435a.5 should be replaced with ''SLOTS Link'' to be consistent with the definition and usage of this term in the existing text.
The Board has made this change so that the term is used consistently throughout the regulations.
Affected Parties
This final-form regulations will affect: all employers of gaming and nongaming employees who submit applications by means of SLOTS Link; all individuals who hold a license, permit or registration; and law enforcement officers who desire to seek part-time employment with a slot machine licensee's security department.
Fiscal Impact
Commonwealth
The final-form regulations will have no fiscal impact on the Board or other agencies of the Commonwealth.
Political Subdivisions
This final-form regulations will have no fiscal impact on political subdivisions of this Commonwealth.
Private Sector
Law enforcement officers, who desire to seek part-time employment with a slot machine licensee, will have fewer options because of the prohibition against working in the slot machine licensee's security department in the areas that make up the licensed facility.
General Public
This final-form rulemaking will have no fiscal impact on the general public.
Paperwork requirements
Holders of a license, permit or registration will have to report a broader range of violations. Beyond that, no new reporting or paperwork requirements are created by this rulemaking.
Effective Date
This 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 at (717) 214-8111.
Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), on June 12, 2008, the Board submitted a copy of the proposed rulemaking, published at 38 Pa.B. 3505 (June 28, 2008), and a copy of the Regulatory Analysis Form to IRRC and to the Chairpersons of the House Gaming Oversight Committee and the Senate Community, Economic and Recreational Development Committee (Committees).
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, the Committees and the public.
Under section 5.1(j.2) of the Regulatory Review Act (71 P. S. § 745.5a(j.2)), the final-form rulemaking was deemed approved by the Committees on November 5, 2008. Under section 5.1(e) of the Regulatory Review Act (71 P. S. § 745.5a(e)), IRRC met on November 6, 2008 and approved the final-form rulemaking.
Findings
The Board finds that:
(1) Public notice of intention to adopt these amendments 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 4 Pa.C.S. Part II (relating to gaming).
Order
The Board, acting under 4 Pa.C.S. Part II, orders that:
(a) The regulations of the Board, 58 Pa. Code Chapters 435a, 441a and 465a, are amended by amending §§ 435a.1, 435a.9, 441a.14 and 465a.14 to read as set forth at 38 Pa.B. 3505, and by amending §§ 435a.3 and 435a.5 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,
ChairpersonFiscal Note: Fiscal Note 125-89 remains valid for the final adoption of the subject regulations.
Annex A
TITLE 58. RECREATION
PART VII. GAMING CONTROL BOARD
Subpart B. LICENSING, PERMITTING, CERTIFICATION AND REGISTRATION
CHAPTER 435a. EMPLOYEES § 435a.3. Occupation permit.
(a) An applicant for an occupation permit shall submit:
(1) An original and three copies of the Gaming Employee Application and Disclosure Information Form or an electronic application using the SLOTS Link system. When an application for an occupational permit is filed using SLOTS Link, the additional documents required, including releases, shall be submitted to the Board:
(i) Within 5 days of the submission of the SLOTS Link application by an applicant for or holder of a slot machine license.
(ii) Within 10 days of the submission of the SLOTS Link application by an applicant for or holder of a manufacturer, manufacturer designee, or supplier license or an applicant for or holder of a vendor certification.
(2) The nonrefundable application fee posted on the Board's web site (www.pgcb.state.pa.us).
(3) Verification of an offer of employment from a licensed entity.
(b) In addition to the materials required under subsection (a), an applicant for an occupation permit shall:
(1) Promptly provide information requested by the Board relating to its application or regulation and cooperate with the Board in investigations, hearings, and enforcement and disciplinary actions.
(2) Comply with the general application requirements in Chapters 421a and 423a (relating to general provisions; and applications).
(c) An applicant for an occupation permit may be required to reimburse the Board for additional costs, based on the actual expenses incurred by the Board, in conducting the background investigation.
(d) After review of the information submitted under subsections (a) and (b), including a background investigation, the Board may issue a permit if the individual has proven that the individual is a person of good character, honesty and integrity and is eligible and suitable to hold an occupation permit.
(e) An individual who wishes to receive an occupation permit under this chapter may authorize an applicant for or holder of a slot machine, management company, manufacturer, manufacturer designee or supplier license or vendor certification to file an application on the individual's behalf.
(f) A permit issued under this section shall be valid for employment with any licensed entity or certified vendor.
§ 435a.5. Nongaming employee registration.
(a) An applicant for a nongaming employee registration shall submit:
(1) An original and three copies of the Nongaming Employee Registration Form or an electronic application using the SLOTS Link system. When an application for a nongaming employee registration is filed using SLOTS Link, the additional documents required, including releases, shall be submitted to the Board:
(i) Within 5 days of the submission of the SLOTS Link application by an applicant for or holder of a slot machine license.
(ii) Within 10 days of the submission of the SLOTS Link application by an applicant for or holder of a manufacturer, manufacturer designee, or supplier license or an applicant for or holder of a vendor certification.
(2) The nonrefundable application fee posted on the Board's web site (www.pgcb.state.pa.us).
(b) In addition to the materials required under subsection (a), an applicant for a nongaming employee registration shall:
(1) Promptly provide information requested by the Board relating to its application or regulation and cooperate with the Board in investigations, hearings, and enforcement and disciplinary actions.
(2) Comply with the general application requirements in Chapters 421a and 423a (relating to general provisions; and applications).
(c) After review of the information required under subsections (a) and (b), the Board may register the individual if the individual has proven that he is eligible and suitable to be registered under this section.
(d) An individual who wishes to receive a nongaming employee registration under this chapter may authorize an applicant for or holder of a slot machine license or a vendor certification to file an application on the individual's behalf.
(e) A registration issued under this section is valid for employment with any licensed entity or certified vendor.
[Pa.B. Doc. No. 08-2232. Filed for public inspection December 12, 2008, 9:00 a.m.]
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