PROPOSED RULEMAKING
PENNSYLVANIA GAMING CONTROL BOARD
[ 58 PA. CODE CHS. 435a, 461a, 465a, 467a AND 501a ]
Employee Credentials, Design Standards and Internal Controls
[39 Pa.B. 6073]
[Saturday, October 17, 2009]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. §§ 1207(3), (5), (9) and (11) and 1322 (relating to regulatory authority of the Board; and slot machine accounting controls and audits), proposes to amend Chapters 435a, 461a, 465a, 467a and 501a to read as set forth in Annex A.
Purpose of the Proposed Rulemaking
The proposed rulemaking revises the Board's requirements for the display of Board issued credentials, permits the use of nonfixed seating and makes a number of other changes related to internal controls which improve the clarity of the current requirements and make revisions which will simplify, improve the effectiveness of or add some additional flexibility to existing provisions.
Explanation of Amendments to Chapters 435a, 461a, 465a, 467a and 501a
In § 435a (relating to employees), subsection (c) has been amended to relax the existing requirement that all of a slot machine licensee's employees display their Board credentials when they are working in the licensed facility. Employees whose jobs require them to be on the gaming floor or in restricted areas will continue to be required to display their Board credentials, but employees who are not required to be on the gaming floor or in a restricted area will only have to carry their credential. This will allow employees not working in sensitive areas, for whom the display of their credential may interfere with job performance, to just carry their credential. Also, to give slot machine licensees some additional flexibility, food and beverage employees working on the gaming floor will be allowed to just carry their Board credential if their employer issued access badge displays a unique employee identification number. This will ensure that the surveillance department and the Board's casino compliance representatives will still have a means to visually verify the identity of these individuals.
In § 461a.7 (relating to slot machine minimum design standards), subsection (s) has been amended to give slot machine licensees the option to use fixed or nonfixed seating for slot machines. Currently, slot machine licensees must use fixed seating unless they file a petition asking for a waiver of the fixed seating requirement. Under this revision, slot machine licensees will be allowed to use nonfixed seating if the slot machine licensee provides a 48-inch minimum aisle width and submits, to the Bureau of Gaming Operations, a certification from local building and fire safety officials or a certification from an architect registered in this Commonwealth that the use of nonfixed seating complies with all building and fire safety codes.
In § 461a.10 (relating to automated gaming voucher and coupon redemption machines), subsections (g), (i) and (o) that relate to internal controls have been deleted and relocated to the new § 465a.34 (relating to automated gaming voucher and coupon redemption machine accounting controls). Since Chapter 461a deals mainly with equipment standards and Chapter 465a contains internal control requirements, the internal control requirements related to automated gaming voucher redemption machines, automated coupon redemption machines, bill breakers or some combination thereof are more appropriately placed in Chapter 465a. Similarly, § 461a.11 (relating to automated gaming voucher and coupon redemption machines: accounting controls) has been deleted in its entirety and the provisions in § 461a.11 have been moved to § 465a.34.
Also in § 461a.10, in subsection (t)(4)(iv) and (v), the word ''dispensed'' has been replaced with ''accepted.'' This correction reflects the fact that the gaming voucher, coupon and currency storage box contains the currency that has been inserted into the automated gaming voucher and coupon redemption machine, and has nothing to do with the currency that is dispensed by the automated gaming voucher and coupon redemption machine. Additionally, subparagraphs (vi), (viii) and (x) have been deleted. The information listed in these subparagraphs is captured by the software for the automated gaming voucher and coupon redemption machine and is found on the other reports. Therefore, there is no need for this information to also be provided as part of the gaming voucher, coupon and currency storage box report.
In § 461a.19 (relating to remote system access), subsection (c) has been revised to require that a slot machine licensee must establish and obtain Board approval of internal controls that will be used to protect the integrity of the slot machine licensee's computer systems and related data before the slot machine licensee may allow a licensed manufacturer's employee to have remote access to its computer systems when there is an emergency. Because it would be difficult for the slot machine licensee to monitor what the manufacturer's employee is doing in this situation, it is imperative that the slot machine licensee have adequate protocols in place to prevent any unauthorized access to systems that are unaffected by the emergency. Requiring that these protocols be included in a slot machine licensee's internal controls will provide a mechanism for the Board to make sure that adequate protections are in place.
In §§ 465a.9 and 465a.33 (relating to surveillance system; surveillance department control; surveillance department restrictions; and access to areas containing central computer control equipment), the information required to be recorded in the access log books for the surveillance room and the areas containing central computer control equipment has been revised so that these requirements are the same for both log books. Making these formats the same should make compliance easier for the slot machine licensees.
In § 465a.18 (relating to transportation of slot cash storage boxes to and from bill validators; storage), subsection (d)(2), relating to slot cash storage boxes not contained in a bill validator, is being revised to make the key control requirements consistent with the key control requirements for slot cash storage boxes that are in bill validators. The existing key control requirements in subsection (d)(2) are unnecessarily more restrictive. The revised language will make the requirements in subsection (d)(2) the same as the requirements in subsection (c)(1)(ii).
In § 465a.33, a number of changes have been made to improve the clarity of this section and ensure that the operator of the central computer control system and the casino compliance representatives are notified whenever someone is going to enter the areas that contain the central computer control equipment. Also, as noted earlier, the log book requirements in this section and in § 465a.9 have been revised to match each other. This should make compliance easier for the slot machine licensees.
In § 467a.1 (relating to gaming floor plan), the citation in subsection (a)(2)(iv) has been updated to read ''461a.7(s).'' The subsections in § 461a.7 were previously amended but this citation was not changed as part of that amendment.
In § 501a.6 (relating to check cashing), subsection (b) has been revised to allow a slot machine licensee to cash checks for patrons that have been issued by the slot machine licensee. Currently, if a slot machine licensee issues a check to a patron, which frequently happens when the patron wins a large jackpot, the slot machine licensee can not cash that check for the patron later. However, the slot machine licensee may accept that check to establish a customer deposit, which the customer can then close and receive cash. This change will eliminate the need to open a customer deposit just to cash a check that the slot machine licensee has issued to the patron.
Affected Parties
Slot machine licensees will benefit from the additional operating flexibility some of these amendments provide. Slot machine licensees who allow remote access to their computer systems will also be required to submit internal controls governing that access and will be required to notify the Board's casino compliance agents and the Department of Revenue's contractor whenever access is being provided to the areas housing the central computer control equipment.
Fiscal Impact
Commonwealth
The Board does not anticipate that there will be any significant costs or savings to the Board or any other Commonwealth agency as a result of this rulemaking.
Political Subdivisions
This proposed rulemaking will have no fiscal impact on political subdivisions of the Commonwealth.
Private Sector
This proposed rulemaking may result in some small savings or additional costs to slot machine licensees. However, the Board does not expect that these savings or costs will be significant.
General Public
This proposed rulemaking will have no fiscal impact on the general public.
Paperwork requirements
This proposed rulemaking will simplify the log book requirements and reduce the need for slot machine licensees to file petitions with the Board relating to the use of nonfixed seating or display of Board credentials. It will also make it easier for patrons to cash checks issued by a slot machine licensee as payment for jackpot winnings.
Effective Date
The proposed rulemaking will become effective upon final-form publication in the Pennsylvania Bulletin.
Public Comments
Interested persons are invited to submit written comments, suggestions or objections regarding the proposed rulemaking, within 30 days after the date of publication in the Pennsylvania Bulletin to Richard Sandusky, Director of Regulatory Review, Pennsylvania Gaming Control Board, P. O. Box 69060, Harrisburg, PA 17106-9060, Attention: Public Comment on Regulation #125-106.
Contact Person
The contact person for questions about this proposed 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 October 6, 2009, the Board submitted a copy of this proposed rulemaking and a copy of the Regulatory Analysis Form to the Independent Regulatory Review Commission (IRRC) and to the House Gaming Oversight Committee and the Senate Community, Economic and Recreational Development Committee. A copy of this material is available to the public upon request and is available on the Board's web site at www.pgcb. state.pa.us.
Under section 5(g) of the Regulatory Review Act, IRRC may convey any comments, recommendations or objections to the proposed rulemaking within 30 days of the close of the public comment period. The comments, recommendations or objections must specify the regulatory review criteria which have not been met. The Regulatory Review Act specifies detailed procedures for review, prior to final publication of the rulemaking, by the Board, the General Assembly and the Governor of comments, recommendations or objections raised.
GREGORY C. FAJT,
ChairpersonFiscal Note: 125-106. No fiscal impact; (8) recommends adoption.
Annex A
TITLE 58. RECREATION
PART VII. GAMING CONTROL BOARD
Subpart B. LICENSING, PERMITTING, CERTIFICATION AND REGISTRATION
CHAPTER 435a. EMPLOYEES § 435a.6. Board credentials.
* * * * * (c) A State employee required to obtain a Board credential shall carry the Board credential on his person at all times while engaged in the performance of his duties on the premises of a licensed facility. An individual who is not a State employee, who is required to obtain a Board credential and whose duties do not require the individual to be on the gaming floor or in a restricted area, shall carry the Board credential on his person at all times while engaged in the performance of his duties on the premises of a licensed facility. An individual who is not a State employee, who is required to obtain a Board credential and whose duties require the individual to be on the gaming floor or in a restricted area, shall display the Board credential on his person at all times while engaged in the performance of his duties on the premises of a licensed facility. A food and beverage employee of a slot machine licensee who is required to obtain a Board credential and whose duties require the individual to be on the gaming floor may carry, instead of display, the Board credential if:
(1) The employee displays the access badge required under § 465a.12 (relating to access badges and temporary access credentials).
(2) The access badge displays a unique identification number that has been assigned to that employee.
* * * * *
Subpart E. SLOT MACHINES AND ASSOCIATED EQUIPMENT
CHAPTER 461a. SLOT MACHINE TESTING AND CONTROL § 461a.7. Slot machine minimum design standards.
* * * * * (s) Seating made available by a slot machine licensee for use during slot play [must] may be fixed and stationary [in nature] or nonfixed. [Slot] When fixed and stationary seating is used, it must be installed in a manner that effectively precludes its ready removal by a patron but permits controlled removal, for example for American With Disabilities Act of 1990 (ADA) (42 U.S.C.A. §§ 12101—12213) purposes, by slot operations department personnel. When nonfixed seating is used, the slot machine licensee shall:
(1) Maintain a minimum aisle width of 48 inches, measured from the seat back to seat back when the nonfixed seating is vacant and is touching or is as close as possible to the slot machine at which the nonfixed seating is being used.
(2) Provide to the Bureau of Gaming Operations copies of a certification obtained from the local building code or fire safety officials or a certification from an architect registered in this Commonwealth that the use of the nonfixed seating complies with applicable building and fire safety code requirements.
* * * * * § 461a.10. Automated gaming voucher and coupon redemption machines.
* * * * * (g) An automated gaming voucher and coupon redemption machine must have, at a minimum, the following:
(1) One lock securing the compartment housing the storage box and one lock securing the storage box within the compartment, the keys to which must be different from each other. [The key to the lock securing the compartment housing the storage box shall be controlled by the slot operations department. The key to the lock securing the storage box within the compartment shall be controlled by the finance department.]
(2) One lock securing the compartment housing the currency cassettes[, the key to which shall be controlled by the finance department].
(3) One lock securing the contents of the storage box, the key to which must be different from the keys referenced in paragraphs (1) and (2). [This key shall be controlled by an employee of the finance department other than the employee controlling the keys referenced in paragraphs (1) and (2).]
* * * * * (i) An automated gaming voucher and coupon redemption machine's currency cassettes must be designed to preclude access to its interior. [Access to each currency cassette shall be controlled by the finance department.]
* * * * * (o) An automated gaming voucher and coupon redemption machine must detect, display and record electronically the error conditions in paragraphs (1)—(4). These error conditions must disable the automated gaming voucher and coupon redemption machine and prohibit new transactions [and may only be cleared by either the finance department or slot operations department].
* * * * * (t) An automated gaming voucher and coupon redemption machine or ancillary systems, applications and equipment associated with the reconciliation thereof, must be capable of producing the following reports upon request:
* * * * * (4) Gaming voucher, coupon and currency storage box report. The report must be generated, at a minimum, whenever a gaming voucher, coupon and currency storage box is removed from an automated gaming voucher and coupon redemption machine. The report must include the following:
* * * * * (iv) Total value of currency [dispensed] accepted.
(v) Total number of bills [dispensed] accepted by denomination.
(vi) [Total dollar value of gaming vouchers accepted.
(vii)] Total count of gaming vouchers accepted.
[(viii) Total dollar value of coupons accepted.
(ix)] (vii) Total count of coupons accepted.
[(x) Details required to be included in the gaming voucher transaction report required by paragraph (1) and the coupon transaction report required in paragraph (2).]
* * * * * § 461a.11. [Automated gaming voucher and coupon redemption machines: accounting controls] (Reserved).
[Prior to commencing use of an automated gaming voucher redemption machine, an automated coupon redemption machine, bill breaker or some combination thereof, a slot machine licensee shall establish a comprehensive system of internal controls addressing the distribution of currency or coin, or both, to the machines, the removal of gaming vouchers, coupons or currency accepted by the machines and the reconciliations associated therewith. The internal controls shall be submitted to, and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).]
§ 461a.19. Remote system access.
* * * * * (c) [A slot machine licensee authorizing access to a system by a licensed manufacturer under this section shall be responsible for implementing a system of access protocols and other controls over the physical integrity of that system and the remote access process sufficient to insure appropriately limited access to software and the system wide reliability of data.] Prior to granting remote system access, a slot machine licensee shall establish a system of internal controls applicable to remote system access. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols). The internal control procedures submitted by the slot machine licensee shall be designed to protect the physical integrity of the systems listed in subsection (a) and the related data and be capable of limiting the remote access to the system or systems requiring technical support.
CHAPTER 465a. ACCOUNTING AND INTERNAL CONTROLS § 465a.9. Surveillance system; surveillance department control; surveillance department restrictions.
* * * * * (p) Entrances to the surveillance monitoring rooms may not be visible from the gaming floor. A person entering the surveillance monitoring room who is not an employee of the surveillance department assigned to the monitoring room on the particular shift corresponding to the time of entry shall sign a monitoring room entry log upon entering the monitoring room. The monitoring room entry log shall be:
* * * * * (3) Signed by each person entering the monitoring room, with each entry containing the following:
(i) The date and time of [entering the monitoring room] each entry.
(ii) The entering person's name, Board-issued credential number and [his] department or affiliation.
* * * * * § 465a.18. Transportation of slot cash storage boxes to and from bill validators; storage.
* * * * * (d) Slot cash storage boxes not contained in a bill validator, including emergency slot cash storage boxes that are not actively in use, shall be stored in the count room or other secure area outside the count room approved by the Board, in an enclosed storage cabinet or trolley and secured in the cabinet or trolley by a separately keyed, double locking system. The keys shall be maintained and controlled as follows:
* * * * * (2) The key to the second lock shall be maintained and controlled by [a] the security department. Access to the security department's key shall be [limited to a supervisor of that department] controlled, at a minimum, by a sign-out and sign-in procedure.
* * * * * § 465a.33. Access to areas containing central computer control equipment.
(a) A slot machine licensee shall develop and submit to the Board and the Department, as part of the submission required under § 465a.2 (relating to internal control systems and audit protocols), procedures for safeguarding and limiting access to the central control computer (CCC) equipment housed within the licensed facility. At a minimum, these procedures must include the following requirements:
(1) The area containing CCC equipment must:
(i) Be secured with a manual key lock system, the keys to which must be different from any other keys used in the licensed facility.
* * * * * (2) Access to the area containing the CCC system equipment may not be permitted unless prior arrangements have been made with the operator of the CCC system and the casino compliance representatives at the licensed facility.
(3) All keys which access the area containing CCC equipment shall be maintained by the slot machine licensee's security department. [Access to the] The keys may only be [authorized] signed out by the director of security or the security shift manager [with] to employees of the Department or the operator of the CCC system who are on the authorized access list. The authorized access list shall be obtained from the Department and made available to the casino compliance representatives at the licensed facility. A verbal notification shall be made to the surveillance monitoring room, the operator of the CCC system and the casino compliance representatives at the licensed facility prior to signing out the keys.
[(3)](4) The slot machine licensee shall maintain an access log for the area containing CCC equipment. The log shall be maintained in a book with bound numbered pages that cannot be readily removed and placed in close proximity to the CCC equipment. Casino compliance representatives at the licensed facility may review the log upon request. The log shall be stored and retained in accordance with § 465a.6 (relating to retention, storage and destruction of books, records and documents). The following information shall be recorded in a log:
(i) The date and time of each entry [and exit].
(ii) The entering person's name, [and] Board-issued credential number [of each person who initiates, performs or supervises the entry] and department or affiliation.
(iii) The [purpose of entry] reason for entering the area containing CCC equipment.
(iv) The name of the person authorizing the person's entry into the area containing CCC equipment.
(v) The date and time of exiting the area containing CCC equipment.
[(4) The slot machine licensee's security department shall maintain a list of employees who are authorized to have access to the area containing CCC equipment. The list shall be obtained from the Department and made available to the casino compliance representatives at the licensed facility.]
(5) [Emergency access to individuals] Individuals who are not authorized to have access to the area containing CCC equipment may only be granted access for emergency situations requiring environmental adjustments with a security escort. When emergency access is granted, the slot machine licensee shall provide notice to the Department and the casino compliance representatives at the licensed facility [as soon as possible] prior to permitting entry to the area containing CCC equipment.
§ 465a.34. Automated gaming voucher and coupon redemption machine accounting controls.
(a) Prior to commencing use of an automated gaming voucher redemption machine, an automated coupon redemption machine, bill breaker or some combination thereof, a slot machine licensee shall establish a comprehensive system of internal controls. 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 controls required by subsection (a) must include procedures which:
(1) Address the distribution of currency or coin, or both, to the machines, the removal of gaming vouchers, coupons or currency accepted by the machines and the reconciliations associated therewith.
(2) Require that the key to the lock securing the compartment housing the storage box in the automated gaming voucher redemption machine, automated coupon redemption machine, bill breaker or combination thereof shall be controlled by the slot operations or security department and that the key to the lock securing the storage box within the compartment shall be controlled by the finance department.
(3) Require that the key to the lock securing the compartment housing the currency cassettes in the automated gaming voucher redemption machine, automated coupon redemption machine, bill breaker or combination thereof shall be controlled by the finance department.
(4) Require that the lock securing the contents of the storage box in the automated gaming voucher redemption machine, automated coupon redemption machine, bill breaker or combination thereof, the key to which must be different from the keys referenced in paragraphs (1) and (2), be controlled by an employee of the finance department other than the employee controlling the keys referenced in paragraphs (1) and (2).
(5) Require that the keys to the locks securing the contents of the currency cassettes in the automated gaming voucher redemption machine, automated coupon redemption machine, bill breaker or combination thereof be controlled by the finance department.
(6) Require either the finance department or slot operations department to clear the error conditions listed in § 461a.10(o) (relating to automated gaming voucher and coupon redemption machines).
CHAPTER 467a. COMMENCEMENT OF SLOT OPERATIONS § 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:
* * * * * (2) Certified by an architect licensed to practice in this Commonwealth and depict the following:
* * * * * (iv) Each slot seat on the gaming floor in compliance with [§ 461a.7(t)] § 467a.7(s) (relating to slot machine minimum design standards).
* * * * *
CHAPTER 501a. COMPULSIVE AND PROBLEM GAMBLING REQUIREMENTS § 501a.6. Check cashing.
* * * * * (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. A slot machine licensee may accept a check issued to a patron by the slot machine licensee.
[Pa.B. Doc. No. 09-1930. Filed for public inspection October 16, 2009, 9:00 a.m.]
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