PROPOSED RULEMAKING
PENNSYLVANIA GAMING CONTROL BOARD
[ 58 PA. CODE CHS. 423a, 433a, 435a,
436a AND 513a ]
Employee and Horsemen's Organization Revisions
[41 Pa.B. 1903]
[Saturday, April 9, 2011]The Pennsylvania Gaming Control Board (Board), under the general authority in 4 Pa.C.S. § 1202(b)(14) and (30) (relating to general and specific powers) and specific authority in 4 Pa.C.S. §§ 1308, 1311, 1311.1, 1311.2, 1317.2, 1321, 1406 and 1518(a)(13), proposes to amend Chapters 423a, 433a, 435a, 436a and 513a to read as set forth in Annex A.
Purpose of the Proposed Rulemaking
This proposed rulemaking amends provisions regarding horsemen's organizations and employees to improve the clarity and effectiveness of the Board's regulations.
Explanation of Amendments to Chapters 423a, 433a, 435a, 436a and 513a
In Chapter 423a (relating to applications), proposed amendments to § 423a.4 (relating to deficient and abandoned applications) clarify that Board staff notifies applicants and establishes time periods to cure deficiencies. Subsection (c) would be added to allow the Bureau of Licensing to close an application that has not been completed but that is not recommended for denial. The applications referenced in subsection (c) are most commonly gaming employees who have decided not to accept employment with a licensee. The Board currently has over 200 applications that are stale—in open status but not recommended for denial. The Bureau of Licensing would send notice in accordance with subsection (a). If the applicant did not respond or no longer wished to complete the application process, the application would be closed.
Proposed § 423a.4(d), currently subsection (c), references only applications that have been denied by the Board. The reference to abandoned applications is in proposed subsection (c).
In Chapter 433a (relating to principal licenses), the definition of ''publicly traded'' is proposed in § 433a.1 (relating to definitions) to include classes of securities that are listed on a foreign exchange. There is an inconsistency between the definition of ''controlling interest'' in § 401a.3 (relating to definitions) which acknowledges both domestic and foreign corporations and the definition of ''publicly traded'' which addresses only securities regulated under the Securities Exchange Act of 1934 (15 U.S.C.A. §§ 78a—78nn). This results in different treatment for foreign versus domestically held, publicly traded stock. For instance, if a person passively owns more than 1% but less than 5% of an entity that is required to be licensed and that entity is publicly traded on a domestic exchange, that person would not be required to be licensed. However, if the person had the same interest in a security listed on a foreign exchange, that person would currently be required to be licensed as a principal. This presents practical problems because of the nature of publicly traded stock which is exchanged daily. This amendment will treat domestic and foreign stock exchanges equally, provided that the Bureau of Licensing determines that the foreign exchange has similar listing and reporting requirements as those exchanges regulated under the Securities Exchange Act of 1934. The Bureau of Licensing has reviewed and determined that exchanges in Canada, Australia and Japan have similar listing and reporting requirements as those regulated under the Securities Exchange Act of 1934.
Section 433a.9(b) (relating to principal license term and renewal) is amended so only principals of manufacturers and suppliers, which are eligible for initial licensure, are required to complete an initial annual renewal. Unlike slot machine licensees, licensed manufacturers and suppliers are subject to an initial 1-year renewal. The manufacturer or supplier license, however, can only be renewed if the principals, including the affiliates, intermediaries, subsidiaries, holding companies, officers, directors and owners also apply for renewal and are investigated. If, however, a person is applying for a principal license with a manufacturer or supplier that has already completed that initial 1-year renewal, the principal would not be subject to an initial annual renewal.
In § 435a.1 (relating to general provisions), a number of amendments have been proposed to clarify the existing provisions governing which licensed, permitted or registered individuals are prohibited from engaging in gaming as well as the duration and scope of the limitation. These subsections have been expanded to cover both registered and certified gaming service providers which reflects the changes in the dollar thresholds that were part of the amendments to Chapter 437a (relating to vendor certification and registration). See 40 Pa.B. 975 (February 20, 2010).
Proposed amendments to § 435a.1(k) clarify that the prohibition on gaming applies to holders of a license or permit who are currently employed by a slot machine licensee, licensed manufacturer, manufacturer designee, gaming related gaming service provider, supplier or gaming junket enterprise. The duration of the prohibition is stated in proposed subsection (n).
Proposed amendments to § 435a.1(l) clarify that this subsection applies to registered employees of a slot machine licensee. The 30-day duration of an employee's prohibition is currently stated in subsection (n).
Proposed § 435a.1(m) restricts employees who are not required to obtain a permit or registration from wagering in the licensed facility where they work. They may wager at any other licensed facility or at the same facility where they worked once their employment has ended.
Proposed § 435a.1(n) applies the same wagering restrictions imposed on employees of a registered or certified gaming service provider to qualifiers of registered or certified gaming service provider. Similarly, proposed subsection (o), currently subsection (m), is amended to include holders of an occupation permit or registration. These amendments will make the prohibition on gaming uniform for registered and certified gaming service provider qualifiers and employees.
In § 435a.2 (relating to key employee license), the number of copies required to be submitted as part of an application for a key employee license has been reduced from three to one. Because of changes in the Bureau of Licensing's internal procedures, three copies are no longer needed. Additionally, subsections (g)—(j) regarding waivers of key employee licensing requirements are proposed to be deleted. This provision has never been used. Instead, the Bureau of Licensing has relied on the definition of ''key employee'' to determine whether or not licensure is required.
In § 435a.3 (relating to occupation permit), the number of copies required to be submitted as part of an application for an occupation permit has been reduced from three to one. As previously stated, changes to the Bureau of Licensing's internal procedures now only require one copy of the application. In subsections (a), (e) and (f), the scope has been expanded to cover both registered and certified gaming service providers and certified gaming related gaming service providers.
As was done in §§ 435a.2 and 435a.3, proposed amendments to § 435a.5 (relating to nongaming employee registration) reduce the number of copies required for an application for a nongaming employee registration from three to one and the scope of these provisions has been expanded to cover both registered and certified gaming service providers. The term ''licensed entity'' is replaced with ''slot machine licensee'' because other types of licensed entities, such as manufacturers and suppliers, do not have nongaming employees. Nongaming employees are specific to slot machine licensees and certified and registered gaming service providers.
Proposed amendments to § 435a.8(a) (relating to temporary credentials for principals, key employees and gaming employees) permit the Board to issue temporary credentials to gaming employees as well as principals and key employees. Additionally, the language specifying when the Board may issue a temporary credential has been deleted as there are instances when the investigation has been done but the individual will not be issued a permit. Proposed subsection (d) allows Board staff to add conditions such as restricting the use of a temporary credential for a limited purpose or type of event.
In Chapter 436a (relating to horsemen's organizations), § 436a.1 (relating to definitions) is amended for clarity and to reflect the terms used in the body of the horsemen's organization regulations. The term ''director'' is in the proposed definition of ''officer'' since it is not a separately defined term. In § 436a.2 (relating to horsemen's organization notification), horsemen's organizations may no longer complete a registration application but must file a notification form with the Bureau of Licensing. The organization must be required to file an updated notification form within 30 days of any change in information.
Proposed amendments to § 436a.3 (relating to permitting of officers, representatives and fiduciaries) are made for clarity. The renewal term for permits is amended from 1 year to 3 years in conformity with amendments to 4 Pa.C.S. Part II (relating to gaming).
In § 436a.4 (relating to responsibilities of horsemen's organizations, officers, representatives and fiduciaries), proposed changes are made for clarity. This section is reorganized so all reporting requirements are in proposed subsection (e).
Section 436a.5(6) (relating to fiduciaries), regarding reporting requirements, is deleted. The text is moved to proposed § 436a.4(e).
In Chapter 513a (relating to underage gaming), § 513a.2 (relating to exclusion requirements) is amended so only individuals over 21 years of age are permitted on the gaming floor unless the individual is over 18 years of age and authorized to be on the gaming floor for employment purposes. This proposed amendment is consistent with amendments to 4 Pa.C.S. § 1518(a)(13) (relating to prohibited acts; penalties).
Affected Parties
This proposed rulemaking will affect applicants for and holders of licenses, permits and registrations issued by the Board as well as the horsemen's organizations.
Fiscal Impact
Commonwealth. This proposed rulemaking will not have fiscal impact on the Board or other Commonwealth agencies.
Political subdivisions. This proposed rulemaking will not have direct fiscal impact on political subdivisions of this Commonwealth.
Private sector. Individuals applying for a license, permit or registration will not have to submit as many copies of their applications. The cost and time savings from this amendment is expected to be negligible. Additionally, horsemen's organizations will no longer file a registration application but must file a notification form. The cost savings from this change is $2,000 every 4 years since there is not an application fee associated with the notification form.
General public. This proposed rulemaking will not have fiscal impact on the general public.
Paperwork Requirements
Individuals applying for a license, permit or registration will have to provide only one copy instead of three copies of their applications. Although horsemen's organizations will no longer complete a registration application, they must still complete a notification form and file the necessary statements, so there likely will not be a reduction in the amount of paperwork for horsemen's organizations.
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 Susan Yocum, Assistant Chief Counsel, Pennsylvania Gaming Control Board, P. O. Box 69060, Harrisburg, PA 17106-9060, Attention: Public Comment on Regulation #125-144.
Contact Person
The contact person for questions about this proposed rulemaking is Susan Yocum, Assistant Chief Counsel, (717) 265-8356.
Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), on March 30, 2011, the Board submitted a copy of this proposed rulemaking and a copy of a Regulatory Analysis Form to the Independent Regulatory Review Commission (IRRC) and to the Chairpersons of 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: 125-144. No fiscal impact; (8) recommends adoption.
Annex A
TITLE 58. RECREATION
PART VII. GAMING CONTROL BOARD
Subpart B. LICENSING, PERMITTING, CERTIFICATION AND REGISTRATION
CHAPTER 423a. APPLICATIONS § 423a.4. Deficient and abandoned applications.
(a) If an application is found to be deficient, [the] Board staff will notify the applicant of the deficiencies in the application and permit the applicant to cure the deficiencies within a time period prescribed by [the] Board staff.
(b) Failure to provide the information necessary to cure the deficiencies required under subsection (a) may result in the [immediate] denial of the application or in the application being declared abandoned.
(c) The Bureau of Licensing may close and declare abandoned an incomplete or deficient application which is not recommended for denial. An applicant whose application has been declared abandoned may file a new application at any time.
(d) When an application is denied [or declared abandoned] under subsection (b), the applicant will be given written notice of this action [by the Board]. An applicant whose application is denied will be subject [ot] to the restrictions on filing a new application in § 423a.7 (relating to restriction on application after denial or revocation). [An applicant whose application has been declared abandoned may file a new application at any time.]
CHAPTER 433a. PRINCIPAL LICENSES § 433a.1. Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:
* * * * * Publicly traded—A person, or a subsidiary of a person, that has a class of equity securities listed on an exchange that is regulated under the Securities Exchange Act of 1934 (15 U.S.C.A. §§ 78a—78nn) or on a foreign stock exchange determined by the Bureau of Licensing to have similar listing and reporting requirements to those exchanges that are regulated under the Securities Exchange Act of 1934.
* * * * * § 433a.9. Principal license term and renewal.
* * * * * (b) Notwithstanding subsection (a), a principal of a manufacturer or supplier which is eligible for its initial license shall be subject to an initial annual renewal for each slot machine or table game license held by the manufacturer or supplier. [Renewals] Principal renewals thereafter will be valid for 3 years from the date of the approval of the renewal of the license by the Board.
* * * * *
CHAPTER 435a. EMPLOYEES § 435a.1. General provisions.
* * * * * (k) An individual who holds a license or permit and is currently employed by a slot machine licensee, manufacturer, manufacturer designee, gaming service provider, gaming related gaming service provider, supplier or gaming junket enterprise in a position that requires a license or permit may not wager at any licensed facility in this Commonwealth. The licensed or permitted individual shall wait at least 30 days following the date that the individual is no longer employed in a position that requires a license or permit before the individual may wager at any licensed facility in this Commonwealth.
(l) A registrant [or employee of a slot machine licensee who is not required to obtain a license or permit] employed by a slot machine licensee may not wager at the licensed facility in which the registrant [or employee] is currently employed. The individual shall wait at least 30 days following the date that the individual is no longer employed in a position that requires a registration before the individual may wager at the licensed facility in which the individual was formerly employed.
(m) An employee of a slot machine licensee who is not required to obtain a license, permit or registration may not wager at the licensed facility in which the employee is currently employed.
(n) A qualifier of a gaming junket enterprise, registered or certified gaming service provider or a gaming related gaming service provider may not wager at the licensed facility where the registered or certified gaming service provider or gaming related gaming service provider is currently providing services.
(o) A permittee or registrant who is an employee of a registered or certified gaming service provider [or an employee of a certified gaming service provider who has direct contact with the employees of a licensed facility] may not wager at the licensed facility where the registered or certified gaming service provider is currently providing services.
[(n) A licensed, permitted or registered employee shall wait at least 30 days following the date that the employee either leaves employment with a slot machine licensee or is laid off or terminated from employment with a slot machine licensee before the employee may wager at the licensed facility in which the employee was formerly employed.
(o)] (p) An individual required to obtain a license or permit by this part shall demonstrate that he is current and not in arrears on any financial obligation owed to the Commonwealth or any subdivision thereof, including court-ordered child-support payments.
[(p)] (q) An applicant for an occupation permit or nongaming employee registration shall be at least 18 years of age.
[(q)] (r) Slot machine licensees, manufacturers, manufacturer designees, suppliers [and], registered or certified gaming service providers and gaming related gaming service providers that hire an individual who holds a license, permit or registration issued by the Board shall contact the Bureau of Licensing to confirm that the individual's license, permit or registration is in good standing prior to allowing the individual to work in the licensed facility.
§ 435a.2. Key employee license.
(a) An applicant for a key employee license from the Board, unless otherwise directed by the Board, shall submit:
(1) An original and [three copies] one copy of a completed Multi-Jurisdictional Personal History Disclosure Form.
(2) An original and [three copies] one copy of a completed Principal/Key Employee Form—Pennsylvania Supplement to the Multi-Jurisdictional Personal History Disclosure Form.
* * * * * [(g) An individual who is a key employee may request in writing that the Board waive the obligation to be licensed as a key employee by:
(1) Filing an original and three copies of a Principal/Key Employee Waiver Form.
(2) The nonrefundable waiver application fee posted on the Board's website (www.pgcb.state. pa.us).
(h) As part of the waiver request, the individual shall be required to demonstrate one of the following:
(1) The individual is not assigned to an applicant's or licensee's gaming operations in this Commonwealth.
(2) The individual's duties do not have an effect on or require contact with slot machines for use or play in this Commonwealth.
(i) The request for a waiver must include, at a minimum, the following:
(1) A description of the individual's title, duties and responsibilities with the applicant, licensee or with any of its affiliates, intermediaries, subsidiaries or holding companies.
(2) A certification by the chief executive officer stating that the employee is not assigned to the licensee's gaming operations in this Commonwealth or that the employee's duties do not have an effect on or require contact with slot machines for use or play in this Commonwealth.
(j) An applicant for a key employee waiver will be required to reimburse the Board for any additional costs, based on the actual expenses incurred by the Board, in conducting the background investigation.]
§ 435a.3. Occupation permit.
(a) An applicant for an occupation permit shall submit:
(1) An original and [three copies] one copy 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:
* * * * * (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 gaming related gaming service provider certification or gaming service provider registration or certification.
* * * * * (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 gaming related gaming service provider certification or gaming service provider registration or 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, any certified gaming related gaming service provider or any registered or certified gaming service provider.
§ 435a.5. Nongaming employee registration.
(a) An applicant for a nongaming employee registration shall submit:
(1) An original and [three copies] one copy 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:
* * * * * (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 gaming service provider registration or certification.
* * * * * (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 gaming service provider registration or 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] slot machine licensee or registered or certified gaming service provider.
§ 435a.8. Temporary credentials for principals [and], key employees and gaming employees.
(a) A temporary credential may be issued by the Board to a principal [or a], key employee [whose investigation for licensure by the Board is pending but whose presence is necessary in the licensed facility] or gaming employee.
(b) A temporary credential issued under this section is void a maximum of 180 days after the date of its issuance.
(c) The Board may extend the expiration date of a temporary credential if the Board determines additional time is needed to complete [the] an investigation for licensure.
(d) Board staff may impose conditions on the holders of temporary credentials.
CHAPTER 436a. HORSEMEN'S ORGANIZATIONS § 436a.1. Definitions.
The following words and terms, when used in this chapter, have the following meanings, unless the context clearly indicates otherwise:
* * * * * Health benefits—A plan, fund or program which is maintained by a horsemen's organization and [that] provides healthcare benefits to horsemen [at licensed racetracks], their families and employees[,] and others designated by the rules and eligibility requirements of the organization consistent with the act.
* * * * * Horsemen's organization—A trade association which represents the majority of horsemen at a licensed racetrack and which exists for the purpose, in whole or in part, of negotiating a horsemen's contract and resolving grievances, disputes or other matters with management of a licensed racing entity[, as defined by section 1103 of the act (relating to definitions)].
[Horsemen's organization office—An officer or person authorized to perform the functions of president, vice president, secretary/treasurer or other executive function of a horsemen's organization, and any member of its board of directors or similar governing body.
Horsemen's organization representative—A person, compensated or not, who is authorized to represent a horsemen's organization or members thereof in matters relating to horsemen's agreements with a licensed racing entity, or who undertakes on behalf of a horsemen's organization or members thereof to promote, facilitate or otherwise influence the relations between a horsemen's organization and a licensed racing entity.]
Officer—A president, vice president, secretary, treasurer, director, governing body member, and any individual routinely performing corresponding functions, who is authorized to act on behalf of the horsemen's organization.
Pension benefits—Any plan, fund or program which is maintained by a horsemen's organization and [that funds a program which] provides retirement income to horsemen [at licensed racetracks], their families and employees, and any others [so] designated by the rules and eligibility requirements of the organization consistent with the act.
Representative—
(i) An individual who is authorized to represent a horsemen's organization or members thereof in matters relating to horsemen's agreements with a licensed racing entity.
(ii) An individual who promotes, facilitates or otherwise influences the relations between a horsemen's organization and a licensed racing entity.
(iii) The individual may be compensated.
§ 436a.2. Horsemen's organization [registration] notification.
(a) [Each] A horsemen's organization or affiliate representing horsemen shall [register] file a completed Horsemen's Organization Notification Form and supporting documentation with the [Board in accordance with this section] Bureau of Licensing.
(b) [Each horsemen's organization shall file a completed Horsemen's Organization Registration Statement with the registration fee posted on the Board's website (pgcb.state.pa.us).
(c) Horsemen's organization applicants and registrants shall be subject to the general application requirements of Chapters 421a and 423a (relating to general provisions; and applications).] A horsemen's organization or affiliate representing horsemen shall file an updated version of the Horsemen's Organization Notification Form and supporting documentation with the Bureau of Licensing within 30 days of a change in the information contained therein.
[(d)] (c) Horsemen's organization [registrations] notifications will be valid for 4 years from the date on which the [registration is approved by the Board] notification is filed with the Bureau of Licensing.
[(e)] (d) Renewals [will be valid for 4 years and] shall be filed no later than [120] 60 days prior to the expiration of the current [registration] notification period.
[(f) A registration for which a completed renewal application and fee has been received by the Board will continue in effect until the Board sends written notification to the horsemen's organization that the Board has approved or denied the renewal of the registration.]
§ 436a.3. Permitting of officers, [directors,] representatives and fiduciaries.
(a) Every officer, [director or] representative [of a horsemen's organization who is currently elected or appointed and authorized to act on behalf of the horsemen's organization, or any individual authorized to act in a fiduciary capacity on behalf of horsemen] or fiduciary shall be permitted in accordance with this section.
(b) Every officer[, director or] representative [of a horsemen's organization who is currently elected or appointed and authorized to act on behalf of the horsemen's organization, or any individual authorized to act in a fiduciary capacity on behalf of horsemen] or fiduciary shall file a completed Horsemen's Permit Application Form with the permit fee posted on the Board's website (pgcb.state.pa.us).
* * * * * (d) Permits issued under this section will be valid for [1 year] 3 years from the date on which the permit is approved by the Board.
(e) Renewals will be valid for [1 year] 3 years and shall be filed at least 60 days prior to the expiration of the current permit.
* * * * * (g) If a current officer, [director or] representative [of a horsemen's organization] or fiduciary is denied a permit required by this section, that officer, [director or] representative or fiduciary shall be precluded from engaging in any activity [of the horsemen's organization] involving gaming funds allocated to, received by, or distributed from the horsemen's organization.
(h) A person who is a third-party provider of a health or pension benefit plan to a horsemen's organization shall be exempt from the requirements of this section. [A licensed attorney or accountant representing a horsemen's organization who does not meet the conditions in subsection (a) shall also be exempt under this section.]
§ 436a.4. Responsibilities of horsemen's organizations, officers, [directors,] representatives and fiduciaries.
(a) Horsemen's organizations, officers, [directors,] representatives and fiduciaries shall ensure that the funds allocated to the horsemen and horsemen's organizations are used for the benefit of all horsemen of this Commonwealth.
(b) Funds allocated to horsemen's organizations for benevolent programs [are] must be kept separate and apart from funds acquired from other sources and may not to be used for the personal benefit of any officer, [director,] representative or fiduciary of a horsemen's organization except to the extent that the officer, [director,] representative or fiduciary [of the horsemen's organization] is a participant in the benevolent programs on the same basis as other eligible program participants.
(c) Horsemen's organizations shall ensure that the funds allocated for thoroughbred jockeys and standardbred drivers are paid in accordance with the act and that the distribution of these proceeds is reflected in the annual audit required under section 1406(e) of the act (relating to distributions from Pennsylvania Race Horse Development Fund).
(d) Horsemen's organizations shall maintain adequate records of receipts and distributions of the funds allocated to them under the act.
[(d) By March 30 of each calendar year, each horsemen's organization shall file with the Board two copies of its audited financial statements together with any management letters or reports written thereon as prepared by its independent auditor. These filings will be available for public inspection during the normal operating hours of the Board at its Harrisburg office.]
(e) Horsemen's organizations shall file with the Board:
(1) A quarterly report, due by the 20th day of the month following the end of each calendar quarter, which shall account for:
(i) The amounts received from the Pennsylvania Race Horse Development Fund through the Category 1 licensee conducting live racing into the account established by and for the benefit of the horsemen under section 1406(a) of the act.
(ii) The amounts distributed for purse supplements from the account established by and for the benefit of the horsemen under section 1406(a) of the act.
(iii) The amounts received for health and pension benefits under section 1406(a) of the act.
(2) Two copies of its audited financial statements together with management letters or reports as prepared by a certified public accountant. Audited financial statements shall be filed by March 30 of each calendar year and reflect funds received from the Pennsylvania Race Horse Development Fund which are used or intended to be used for purse supplements and health and pension benefits under section 1406(a) of the act. These filings will be available for public inspection during the normal operating hours of the Board at its Harrisburg office.
§ 436a.5. Fiduciaries.
Fiduciaries shall:
* * * * * (6) [File quarterly reports with the Board within 20 days of the end of each calendar quarter. The reports must detail the expenditure of funds designated by the act for the benefit of horsemen and be in a format and manner designated by the Board.
(7)] Provide documents to the Board as may be requested in the conduct of investigations or to ensure compliance with the act and this chapter.
§ 436a.6. Health and pension benefit plans.
(a) Contracts for health and pension benefit plans established for the benefit of members of a horsemen's organization [must:] shall be submitted to the Board at least 90 days prior to the proposed effective date of the contract. Contracts are not effective until approved by the Board.
[(1) be submitted to the Board for review at least 90 days prior to the proposed effective date of the contract.
(2) Not be effective until approved by the Board.]
* * * * *
Subpart J. EXCLUSION OF PERSONS
CHAPTER 513a. UNDERAGE GAMING § 513a.2. Exclusion requirements.
(a) An individual under [18] 21 years of age may not enter or be on the gaming floor of a licensed facility except that an individual 18 years of age or older who is employed by a slot machine licensee, a gaming service provider, the Board or other regulatory or emergency response agency may enter and remain in that area while engaged in the performance of the individual's employment duties.
* * * * *
[Pa.B. Doc. No. 11-605. Filed for public inspection April 8, 2011, 9:00 a.m.]
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