[41 Pa.B. 2581]
[Saturday, May 21, 2011]

[Continued from previous Web Page]

 (g) The internal controls developed and implemented by the slot machine licensee under subsection (f) must include a description of all computer equipment used in the counting and recording process and other systems, if any, that communicate with that computer equipment for purposes related to the counting of gross terminal revenue.

 (h) A gaming voucher or coupon deposited in a slot cash storage box shall be counted and included in the calculation of gross terminal revenue without regard to the validity of the gaming voucher or coupon.

 (i) A coupon which has not already been canceled upon acceptance or during the count shall be canceled prior to the conclusion of the count.

 (j) If the central computer control system is not online prior to commencement of the count of the slot cash storage boxes, a count room employee shall contact the casino compliance representatives at the licensed facility to witness and certify the count. The count may not commence until a casino compliance representative or other BIE employee is present.]

 (a) Prior to commencing gaming operations, a slot machine licensee shall establish a comprehensive system of internal controls addressing the opening, counting and recording of the contents of slot cash storage boxes and table game drop boxes. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols) and must include:

 (1) A workflow diagram which indicates the location of all equipment used in the count, including tables, baskets and bins, and the flow of all currency and paperwork from the start of the count to the conclusion of the count. The approved workflow diagram shall also be filed with the surveillance department.

 (2) A description of all computer equipment, software, files or reports used in the counting and recording process and all other systems, if any, that communicate with that computer equipment. The submission must include:

 (i) The names of all revenue files, who has access and what type of access they have to these files.

 (ii) Controls to prevent access to any count room information by anyone outside of the count room until the entire count process is concluded.

 (3) The procedures for conducting each required count which must include, at a minimum, the following:

 (i) In full view of the surveillance cameras, the contents of each slot cash storage box or table game drop box shall be emptied on the count table and either manually counted separately on the count table or counted in a currency counting machine located in a conspicuous location on, near or adjacent to the count table.

 (ii) After the contents of each slot cash storage box or table game drop box have been emptied on the count table, the inside of the slot cash storage box or table game drop box shall be held up to the full view of the surveillance cameras to assure that all contents of the slot cash storage box or table game drop box have been removed after which the slot cash storage box or table game drop box shall be locked and placed in the storage area.

 (iii) The contents of each slot cash storage box or table game drop box shall be segregated by a count team member into separate stacks on the count table by each denomination of currency and the type of required forms or documents, except that the Bureau of Gaming Operations may permit the utilization of a machine to automatically sort currency by denomination.

 (iv) Mutilated or torn currency shall be separated by denomination and recorded as revenue if the bill includes one entire serial number and one letter and number of the serial number from the other half of the bill.

 (v) Mutilated or torn currency that is not recorded as revenue shall be placed in a sealed transparent envelope or container and transferred to the main bank by the main bank cashier or cage supervisor at the end of the count.

 (vi) Except as provided in subparagraph (vii), each denomination of currency shall be counted separately by one count team member who shall place individual bills of the same denomination on the count table in full view of the surveillance cameras. The currency shall then be counted by a second count team member who is unaware of the result of the original count and who, after completing this count, confirm the accuracy of the total, either verbally or in writing, with that reached by the first count team member.

 (vii) A slot machine licensee may, with approval of the Bureau of Gaming Operations, aggregate counts by denomination of all currency collected in substitution of the second count required under subparagraph (vi) if the original counts are being performed automatically by a machine that counts and automatically records the value of currency, and the accuracy of the machine has been suitably tested and proven in accordance with subparagraph (viii).

 (viii) Currency counting machines utilized to count and strap currency, gaming vouchers and coupons may be used if:

 (A) Prior to the start of each slot or table game count, the counting machine is tested in accordance with the procedures contained in the slot machine licensee's internal controls to verify the accuracy of the counting machine.

 (B) The counting machine automatically provides two separate counts of the funds at different stages of the count process and, if the separate counts are not in agreement, document the discrepancy.

 (C) The counting machine is capable of determining the value of a gaming voucher or coupon by independently examining information printed on the gaming voucher or coupon. The information is used by the counting equipment to either calculate the value internally or obtain the value directly from the gaming voucher system or coupon system in a secure manner. When the gaming voucher system is utilized to obtain the value of a gaming voucher or coupon, the gaming voucher system must perform a calculation or integrity check to ensure that the value has not been altered in the system in any manner since the time of issuance.

 (ix) A gaming voucher or coupon deposited in a slot cash storage box or table game drop box shall be counted and included in the calculation of revenue without regard to the validity of the gaming voucher or coupon.

 (x) A coupon that has not already been canceled upon acceptance or during the count shall be canceled prior to the conclusion of the count.

 (4) Procedures for scheduled breaks to be taken by the count team members during the count. This submission must also address the use of restroom facilities that are located in the count room.

 (5) Procedures governing the proper wearing and immediate inspection of jumpsuits worn by the count team members to ensure that items are not being taken from the count room without proper authority and that the jumpsuits have not been altered in any way. The count team is prohibited from removing the jumpsuits from the licensed facility.

 (b) A slot machine licensee shall file with the Bureau of Casino Compliance a schedule setting forth the times during which the contents of slot cash storage boxes, table game drop boxes from games that are not fully automated electronic gaming tables and table game drop boxes from table games that are fully automated electronic gaming tables are to be counted and recorded. The slot machine licensee shall file notice with the Bureau of Casino Compliance and obtain verbal approval from the casino compliance supervisor at the licensed facility prior to deviating from the count schedule.

 (c) Immediately prior to the commencement of the count, a count room employee shall notify the surveillance department that the count is about to begin so that surveillance can record the entire count process as required under § 465a.9(e)(8) (relating to surveillance system; surveillance department control; surveillance department restrictions).

 (d) Except as otherwise provided in this section, access to the count room during the counting process shall be limited to the count team and those individuals whose presence is necessary to complete the count. The count team shall consist of at least three employees. Employees in the count room who are conducting the count may not, during the counting process, enter a storage area for slot cash storage boxes, table game drop boxes or other items that are part of the count room to perform any function that is not directly related to the counting process.

 (e) The opening, counting and recording of the contents of table game drop boxes from table games that are not fully automated electronic gaming tables may not commence until a casino compliance representative is present in the count room. If the casino compliance representative has to leave the count room during the table game count, the count shall be suspended and all personnel in the count room shall vacate the count room until a casino compliance representative is available to observe the resumption of the count.

 (f) All count team members and the casino compliance representative observing a count shall sign a Count Room Attendance Sheet. Any individual who enters or leaves the count room due to an emergency shall sign and record the time of entry or exit on the Count Room Attendance Sheet. When the individual exiting the count room is unable to sign the document due to the emergency, the count room supervisor shall record the individual's name and time of exit and a notation describing the emergency on the Count Room Attendance Sheet. At the conclusion of the count, a copy of the Count Room Attendance Sheet shall be given to the casino compliance representative.

 (g) Individuals who are in or who enter the count room when uncounted funds are present shall wear a full-length, one-piece, pocketless jumpsuit with the exception of representatives of the Board, the Department, the Pennsylvania State Police, the security department and the internal audit department.

 (h) Individuals present in the count room when uncounted funds are present may not:

 (1) Carry a handbag or other container unless it is transparent.

 (2) Remove their hands from or return them to a position on or above the count table or counting equipment unless the backs and palms of the hands are first held straight out and exposed to the view of other members of the count team and a surveillance camera.

 (i) Once the counting process has started, the doors to the count room shall only be opened for one of the following purposes:

 (1) To allow the entire count team to take a scheduled work break.

 (2) To allow for a change of casino compliance representatives.

 (3) To allow a main bank cashier or cage supervisor to enter the count room to perform the responsibilities in subsection (n) or (o)(6).

 (4) To allow the placement of a slot cash storage box or table game drop box or to remove a trolley, empty slot cash storage boxes or table game drop boxes from the count room.

 (5) To allow the count team and the casino compliance representative to exit the room at the conclusion of the count.

 (6) In the event of an emergency.

 (j) If any individual enters or leaves the count room during the counting process, employees remaining in the count room shall be required to display their hands and to step away from the count table, banking table and counting equipment until the individual has entered or left the count room.

 (k) The counting and recording process shall be discontinued when less than three count team members are present in the count room. When the entire count team takes a scheduled break, all cash that has been removed from the slot cash storage boxes or table game drop boxes shall be counted at least once and secured in a manner approved by the Bureau of Casino Compliance before any member of the count team may leave the count room.

 (l) Once the counting process has been started, a member of the count team shall notify surveillance when the count room door will be opened.

 (m) All table game drop boxes and designated slot cash storage boxes shall be counted and recorded, at a minimum, once each gaming day. Slot cash storage boxes, table game drop boxes from table games that are not fully automated electronic gaming tables and table game drop boxes from fully automated electronic gaming tables shall be counted and recorded separately.

 (n) After the contents of slot cash storage boxes and table game drop boxes from fully automated electronic gaming tables have been removed and counted, a count team member shall present the currency to a main bank cashier or cage supervisor in the count room who shall recount, either manually or mechanically, the currency prior to having access to the information recorded by the count team.

 (o) Table game drop boxes from table games that are not fully automated electronic gaming tables shall be counted and recorded as follows:

 (1) As the contents of each table game drop box are counted, a count team member shall manually record the results of the count on the Daily Banking Table Game Count Report and the Daily Nonbanking Table Game Count Report or a computer system. The Daily Banking Table Game Count Report and the Daily Nonbanking Table Game Count Report must be three-part forms consisting of an original and two duplicates. The distribution of the Daily Banking Table Game Count Report and the Daily Nonbanking Table Game Count Report shall be as follows:

 (i) The original shall be delivered to revenue audit by the count room supervisor immediately after leaving the count room at the conclusion of the count.

 (ii) The second copy shall be retained by the casino compliance representative observing the count.

 (iii) The third copy shall be retained by the cage supervisor or main bank cashier.

 (2) After the contents of each table game drop box from a banking table game are counted, a member of the count team shall record, manually on the Daily Banking Table Game Count Report or electronically on a computer system, the following information for each banking table game drop box:

 (i) The value of each denomination of currency counted.

 (ii) The total value of all denominations of currency counted.

 (iii) The gaming date of the items being recorded, the total number of banking table game drop boxes opened and counted and the date that the Daily Banking Table Game Count Report is being prepared or generated.

 (3) After the contents of each table game drop box from a nonbanking table game are counted, a member of the count team shall record, manually on the Daily Nonbanking Table Game Count Report or electronically on a computer system, the following information for each nonbanking table game drop box:

 (i) The value of Poker rake chips counted.

 (ii) The value of value chips counted.

 (iii) The total value of Poker rake chips and value chips counted.

 (iv) The gaming date of the items being recorded, the total number of nonbanking table game drop boxes opened and counted and the date that the Daily Nonbanking Table Game Count Report is being prepared or generated.

 (4) After preparation of the Daily Banking Table Game Count Report and the Daily Nonbanking Table Game Count Report or the electronic equivalents prepared on a computer system, the count team members and the count room supervisor shall sign the reports attesting to the accuracy of information recorded thereon. The count room supervisor shall verify that all of the table game drop boxes from table games that are not fully automated electronic gaming tables that were collected and opened by count team members have been recorded on the reports.

 (5) Once all currency has been counted and the final count totals have been obtained, employees may not be permitted to leave the count room, except in an emergency, until the recount and presentation procedures in paragraph (6) have been completed.

 (6) After the contents of all table game drop boxes from table games that are not fully automated electronic gaming tables have been removed and counted, all cash, value chips and Poker rake chips shall be presented in the count room by a count team member to a main bank cashier or cage supervisor who, prior to having access to the information recorded on the Daily Banking Table Game Count Report and the Daily Nonbanking Table Game Count Report or electronic equivalents and in the presence of the count team members and the casino compliance representative, shall recount, either manually or mechanically, the currency, value chips and Poker rake chips presented in accordance with the following requirements:

 (i) The main bank cashier or cage supervisor shall have physical access to all currency, value chips and Poker rake chips presented for recounting and currency, value chips or Poker rake chips for recounting may not be wrapped or placed in a sealed bag or container until the entire recount has been completed and the Daily Banking Table Game Count Report and the Daily Nonbanking Table Game Count Report or electronic equivalents have been signed by the entire count team, the count room supervisor, the main bank cashier or cage supervisor and the casino compliance representative.

 (ii) The main bank cashier or cage supervisor may bulk count all strapped currency.

 (iii) All partial straps, loose currency, mutilated or torn currency, value chips and Poker rake chips shall be recounted by the main bank cashier or cage supervisor either by hand or with an approved counting device.

 (iv) The casino compliance representative may direct that currency straps of any denomination be recounted by the main bank cashier or cage supervisor either by hand or by counting equipment if a discrepancy either in denomination total or grand total is discovered during the initial bulk recount.

 (v) Upon completion of the recount, the main bank cashier or cage supervisor shall attest by signature on the Daily Banking Table Game Count Report and the Daily Nonbanking Table Game Count Report or electronic equivalents the amounts of currency, value chips and Poker rake chips counted after which the casino compliance representative shall sign the report evidencing his presence during the count and the fact that both the main bank cashier or cage supervisor and count team have agreed on the total amounts of currency, value chips and Poker rake chips counted.

 (vi) When all required signatures have been obtained, the second copy of the Daily Banking Table Game Count Report and the Daily Nonbanking Table Game Count Report or electronic equivalents shall be given to the casino compliance representative and the third copy shall be retained by the cage supervisor or main bank cashier.

 (vii) The original Daily Banking Table Game Count Report and the Daily Nonbanking Table Game Count Report or electronic equivalents, the Requests for Fills, the Fill Slips, the Requests for Credits, the Credit Slips, the issuance copy of the Counter Checks, the Table Inventory Slips and any other supporting documentation shall be transported directly to the accounting department and may not be available to cage personnel.

 (7) A count room employee, in the presence of the casino compliance representative who observed the count, shall conduct a thorough inspection of the entire count room and all counting equipment located therein to verify that no currency, value chips, Poker rake chips, Counter Checks or supporting documentation remains in the room.

 (p) If any problems occur with the slot or table count procedures or machines (for example, computer interface malfunctions or strap overages or shortages), the problems shall be brought to the immediate attention of a casino compliance representative. A detailed written report explaining the problem, the reason for the problem and the corrective action taken shall be filed by the count room supervisor or above with the casino compliance representatives within 24 hours of the conclusion of the count.

 (q) A slot machine licensee may submit, as part of its internal controls, alternate procedures for the separate collection, distribution, opening, counting and recording the contents of nonbanking table game drop boxes which do not have to meet the requirements in § 465a.18 (relating to transportation of slot cash storage boxes and table game drop boxes to and from the gaming floor; storage) and this section. The alternate procedures must, at a minimum, include that:

 (1) The count shall be conducted:

 (i) In the count room at a time during which neither the count for banking table games nor slot machines is being conducted.

 (ii) In a room, other than the count room, with dual access controlled by the security department and the finance department and is covered by the slot machine licensee's surveillance system.

 (2) The count shall be conducted by at least two employees of the finance department with no incompatible duties.

 (3) The opening, counting and recording of the contents of nonbanking table game drop boxes may not commence until a casino compliance representative is present.

§ 465a.26. Jackpot and credit meter payouts.

 (a) Prior to commencing gaming operations, a slot machine licensee shall establish a comprehensive system of internal controls addressing jackpot and credit meter payouts that are not paid directly from a slot machine or fully automated electronic gaming table. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).

 (b) The internal control procedures [developed and implemented by the slot machine licensee under subsection (a)] must, at a minimum, include:

 (1) The use of a two-part electronically generated jackpot/credit meter payout slip created by a slot attendant or slot supervisor or higher slot operations department employee, verifying the winning wager or winning combination of characters or a code corresponding to the winning combination of characters on the slot machine or fully automated electronic gaming table and the amount of the jackpot or credit meter payout based on the observed winning wager or winning combinations.

 (2) A requirement that if the jackpot or credit meter payout on a slot machine is equal to or between $1,200 and $9,999.99, a security department member or a slot operations department member other than the preparer, shall sign the jackpot/credit meter payout slip verifying the winning combination of characters or a code corresponding to the winning combination of characters on the slot machine, the amount of the jackpot or credit meter payout and the payment of the jackpot or credit meter payout to the patron.

 (3) A requirement that if the jackpot or credit meter payout is equal to or between $10,000 and $24,999.99 on a slot machine or between $5,000 and $24,999.99 on a fully automated electronic gaming table, a security department member, a slot supervisor or other employee holding the same or greater level of authority than a slot supervisor shall sign the jackpot/credit meter payout slip verifying the winning wager or winning combination of characters or a code corresponding to the winning combination of characters on the slot machine or fully automated electronic gaming table, the amount of the jackpot or credit meter payout and the payment of the jackpot or credit meter payout to the patron. If the two-part electronically generated jackpot/credit meter payout slip required under paragraph (1) is created by a slot supervisor or higher slot operations department employee, the verification required by this paragraph may be completed by a slot attendant, security department member, a slot supervisor or other employee holding the same or greater level of authority than a slot supervisor.

 (4) A requirement that if the jackpot or credit meter payout [amount] on a slot machine or fully automated electronic gaming table is $25,000 or more, a slot shift manager or other employee holding the same or greater level of authority than a slot shift manager shall sign the jackpot/credit meter payout slip verifying the winning wager or winning combination of characters or a code corresponding to the winning combination of characters on the slot machine or fully automated electronic gaming table, the amount of the jackpot or credit meter payout and the payment of the jackpot or credit meter payout to the patron. If the two-part electronically generated jackpot/credit meter payout slip required under paragraph (1) is created by a [slot shift manager] slot supervisor or higher slot operations department employee, the verification required by this paragraph may be completed by a slot attendant, security department member, a slot supervisor or other employee holding the same or greater level of authority than a slot supervisor.

 (5) A requirement that the following information be on all two-part electronically generated jackpot/credit meter payout slips:

 (i) The date and time of the jackpot or credit meter payout.

 (ii) The asset number of the slot machine or fully automated electronic gaming table on which the jackpot or credit meter payout was registered.

 (iii) The winning wager or winning combination of characters constituting the jackpot or a code corresponding to the winning combination of characters constituting the jackpot.

*  *  *  *  *

 (7) A requirement that whenever a winning patron is paid directly by a slot attendant's imprest fund, a two-part manual jackpot/credit meter payout slip is completed that contains the following information:

 (i) The date and time of the jackpot or credit meter payout.

 (ii) The asset number of the slot machine or fully automated electronic gaming table on which the jackpot or credit meter payout was registered.

 (iii) The winning wager or winning combination of characters constituting the jackpot or a code corresponding to the winning combination of characters constituting the jackpot.

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 (10) Detailed procedures on the processing of all system overrides or adjustments to jackpot or credit meter payouts. All jackpot or credit meter payouts that do not match the payout amount electronically sent from the slot machine or fully automated electronic gaming table to the slot monitoring system require an override.

 (11) Detailed procedures for the processing of all voided jackpot/credit meter payout slips.

 (12) Detailed procedures for the processing of unclaimed taxable jackpot payouts. The procedures must include notice to the casino compliance representatives at the licensed facility when an unclaimed taxable jackpot payout or credit meter payout occurs.

 (13) Back-up procedures that will be used when the slot monitoring system is offline or an electronic jackpot payout slip cannot be created, including the use of a three-part manual jackpot or credit meter payout book or equivalent. The three-part manual jackpot payout book or equivalent must contain preprinted, serial numbered three-part manual jackpot/credit meter payout slips that include the following information:

 (i) Preprinted serial numbers.

 (ii) The date and time of the jackpot or credit meter payout.

 (iii) The asset number of the slot machine or fully automated electronic gaming table on which the jackpot or credit meter payout was registered.

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§ 465a.29. Automated teller machines.

 (a) Automated teller machines may be placed at any location within a licensed facility. Automated teller machines that offer credit card advances may not be placed on the gaming floor.

 (b) An automated teller machine must have a label on the top [of the automated teller machine and on the] and front of the automated teller machine that displays a unique identification number of the automated teller machine. The labels must have white lettering on a black background or other color combination approved by the Bureau of [Gaming Operations] Casino Compliance, may not be easily removed and must be easily visible to the surveillance department. The label on the top of the automated teller machine must be at least 1.5 inches by 5.5 inches and the label on the front of the automated teller machine must be at least 1 inch by 2.5 inches.

§ 465a.30. Waiver of requirements.

 (a) The Board may, on its own initiative, waive one or more of the requirements of this chapter or technical standards applicable to accounting and internal controls adopted by the Board and published in the Pennsylvania Bulletin and posted on the Board's website upon a determination that the nonconforming control or procedure nonetheless meets the operational integrity requirements of the act, this subpart and technical standards adopted by the Board [and published in the Pennsylvania Bulletin and posted on the Board's website].

 (b) A slot machine licensee may submit a request to the Board for a waiver for one or more of the requirements in this chapter or the technical standards applicable to accounting and internal controls adopted by the Board [and published in the Pennsylvania Bulletin and posted on the Board's web site]. The request must:

 (1) Be filed as a petition under § 493a.4 (relating to petitions generally).

 (2) Include supporting documentation demonstrating how the accounting and internal controls for which the waiver has been requested will still meet the operational integrity requirements of the act, this subpart and technical standards adopted by the Board [and published in the Pennsylvania Bulletin and posted on the Board's web site].

 (3) Be approved by the Board.

§ 465a.31. Gaming day.

 (a) [The] For the purposes of determining gross terminal and gross table game revenue, the beginning and ending times of the gaming day will be 6:00 a.m. to 5:59.59 a.m.

 (b) Prior to commencing [gaming] slot or table game operations, each slot machine licensee shall submit to the Board, in writing, its hours of operation[, which times must correspond to the portion of its gaming day it will be open to the public for the purpose of gaming activities]. A slot machine licensee may not commence gaming operations until its hours of operation are approved by the Board.

 (c) Any change in a slot machine licensee's hours of operation shall be submitted as a change to the slot machine licensee's internal controls in accordance with the requirements in § 465a.2(f) [at least 72 hours in advance of the change] and may not be implemented until approved by the Board's Executive Director.

§ 465a.32. Signature.

 An employee signature may be in either of the following formats:

 (1) The employee's first initial, last name and [Board license] Board-issued credential number, written by the employee, immediately adjacent to or above the clearly printed or preprinted title of the employee.

 (2) The employee's unique identification number or other computer identification code issued to the employee by the slot machine licensee, if the document to be signed is authorized by the Board to be generated by a [slot] computer system and the method of signature is approved or required by the Board.

§ 465a.33. Access to areas containing central [computer] control computer equipment.

 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:

*  *  *  *  *

 (2) Access to the area containing the CCC system equipment may not be permitted unless prior arrangements have been made with the Department and 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. The keys may only be signed out by the director of security or the security shift manager 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 and the director of security 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.

 (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 with prior approval of the Department and the operator of the CCC system. 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.

 (ii) The entering [person's] individual's name, Board-issued credential number and department or affiliation.

 (iii) The reason for entering the area containing CCC equipment.

 (iv) The name of the [person] individual authorizing [the person's] entry into the area containing CCC equipment.

 (v) The date and time of exiting the area containing the CCC equipment.

 (5) 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, such as electrical, plumbing or HVAC malfunctions, with a security escort. When emergency access is granted, the slot machine licensee shall provide notice immediately to the Department, the operator of the CCC system and the casino compliance representatives at the licensed facility prior to permitting entry to the area containing CCC equipment.

§ 465a.34.  Automated gaming voucher and coupon redemption machine accounting controls.

*  *  *  *  *

 (b) The internal controls required by subsection (a) must include procedures which:

*  *  *  *  *

 (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) and (3), be controlled by an employee of the finance department other than the employee controlling the keys referenced in paragraphs [(1) and] (2) and (3).

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 (Editor's Note: Sections 465a.35—465a.44 are new and printed in regular type to enhance readability.)

§ 465a.35. Personnel assigned to the operation and conduct of table games.

 (a) The following personnel shall be used to operate table games that are not fully automated electronic gaming tables in a licensed facility:

 (1) Pit clerks.

 (2) Dealers.

 (3) Stickpersons.

 (4) Boxpersons.

 (5) Floorpersons

 (6) Pit managers.

 (7) Poker shift managers.

 (8) Assistant table games shift managers.

 (9) Table games shift managers.

 (b) Certificate holders shall maintain the following minimum levels of staffing when table games are being operated:

 (1) One pit clerk.

 (2) One dealer for any table game other than Craps or Baccarat.

 (3) Two dealers for each Baccarat table.

 (4) Three dealers for each Craps table, one of whom shall act as the stickperson.

 (5) One boxperson for each Craps table.

 (c) Certificate holders shall provide a sufficient number of floorpersons to supervise the operation of table games in accordance with the standards in this subsection. A floorperson may not supervise more than the number of tables specified in one of the following paragraphs:

 (1) Four tables comprised of any combination of banking table games excluding:

 (i) Baccarat.

 (ii) Midibaccarat.

 (iii) Craps.

 (iv) Mini-Craps.

 (v) Pai Gow.

 (2) One Baccarat table.

 (3) Two Midibaccarat tables.

 (4) One Midibaccarat table and one table of any other banking table game excluding Baccarat, Craps, Mini-Craps and Pai Gow.

 (5) Three Craps tables.

 (6) One Craps table and one table of any other banking table game excluding Baccarat, Midibaccarat, Mini-Craps and Pai Gow.

 (7) One Mini-Craps table, if only one dealer is assigned to the table.

 (8) Two Mini-Craps tables, if the there is a dealer and a stickperson assigned to each table.

 (9) Two Pai Gow tables, if the tables are in a side-by-side configuration.

 (10) One Pai Gow table and one table of any other banking table game excluding Baccarat, Midibaccarat, Craps and Mini-Craps.

 (11) Eight Poker tables.

 (12) Ten Poker tables, if the floorperson assigned to Poker does not have any responsibilities for seating players.

 (d) If the gaming tables being supervised by a floorperson are electronic gaming tables other than fully automated electronic gaming tables, the maximum number of gaming tables that the floorperson may supervise may be increased by 50%. For example, under subsection (c)(1), the floorperson would be allowed to supervise six banking gaming tables instead of four.

 (e) Certificate holders shall provide a sufficient number of pit managers or assistant table games shift managers to supervise the operation of table games subject to the limitation that a pit manager or assistant table games shift manager may not directly supervise more than six floorpersons.

 (f) Certificate holders shall provide a Poker shift manager to supervise all open Poker tables. If no more than three Poker tables are open, a floorperson is not required.

 (g) Certificate holders shall provide a table games shift manager to supervise the operation of table games during every shift. An assistant table games shift manager may be designated to act as the table games shift manager in the table games shift manager's absence, but that assistant table games shift manager may not be counted toward the number of pit managers or assistant table games shift managers required under subsection (e).

 (h) A certificate holder may request to use a staffing plan that differs from the minimum standards in this section by filing a written Alternate Minimum Staffing Plan with the Board's Executive Director. The Alternate Minimum Staffing Plan must, at a minimum, include:

 (1) The pit number and configuration of any pit affected.

 (2) The type, location and table number of any table affected.

 (3) The standard staffing level required for the gaming table or tables by this section and the proposed alternative staffing.

 (4) The days, shifts or times during which the alternative staffing would be in effect.

 (5) A narrative explaining the rationale for the proposed alternative staffing and how the alternative staffing will protect the integrity of gaming at the affected gaming tables.

 (i) A certificate holder that has filed a request to use an Alternate Minimum Staffing Plan may not implement that plan until the certificate holder has received written approval from the Board's Executive Director.

 (j) Nothing in this section limits a certificate holder from utilizing personnel in addition to those described in this section nor limits the discretion of the Board to order the utilization of additional personnel in the operation and conduct of table games.

§ 465a.36. Table inventories.

 (a) Whenever a table game that is not a fully automated electronic gaming table is opened for gaming, operations shall commence with an amount of gaming chips, coins and plaques to be known as the table inventory.

 (b) A certificate holder may not cause or permit gaming chips, coins or plaques to be added to, or removed from, the table inventory during the gaming day except:

 (1) In exchange for cash.

 (2) In exchange for the issuance copies of Counter Checks presented by patrons.

 (3) For the payment of winning wagers and collection of losing wagers made at the gaming table.

 (4) In exchange for gaming chips or plaques received from a patron having an equal aggregate face value.

 (5) In conformity with the fill and credit procedures in §§ 465a.38 and 465a.39 (relating to procedures for distributing value chips, coins and plaques to gaming tables; and procedures for removing value chips, coins and plaques from gaming tables).

 (6) For the collection of vigorish.

 (c) When a table game is not open for gaming activity, the table inventory and a Table Inventory Slip prepared in conformity with §§ 465a.37, 465a.42 and 465a.44 (relating to procedures for opening table games; procedures for closing table games; and table inventory counts on a per shift basis) must be stored in a locked container which shall be clearly marked on the outside with the game and the gaming table number to which it corresponds. A Table Inventory Slip shall be completed on a table game that is not open for gaming activity at least once per gaming day. The information on the Table Inventory Slip must be visible from the outside of the container. Containers must be stored either in the cage or secured to the gaming table in a manner approved by the Bureau of Casino Compliance.

 (d) The keys to the locked containers containing the table inventories shall be maintained and controlled by the table games department and may not be made accessible to cage personnel or to any employee responsible for transporting the table inventories to or from the gaming tables.

 (e) Table Inventory Slips must be two-part forms upon which the following is recorded:

 (1) The date and identification of the shift ended.

 (2) The game and table number.

 (3) The total value of each denomination of gaming chips, coins and plaques remaining at the gaming table.

 (4) The total value of all denominations of gaming chips, coins and plaques remaining at the gaming table.

 (5) The signatures of the dealer or boxperson and floorperson assigned to the gaming table who conducted the count of the table inventory when the gaming table was closed and when the gaming table was opened.

§ 465a.37. Procedures for opening table games.

 (a) When a table game that is not a fully automated electronic gaming table is to be opened for gaming activity, the locked container with the table inventory and the duplicate copy of the Table Inventory Slip, if not already attached to the gaming table, shall be transported directly from the cage to the gaming table by a security department member.

 (b) Immediately prior to opening the table game for gaming, the floorperson assigned to the gaming table shall unlock the container with the table inventory after assuring that it is the proper container for that gaming table.

 (c) The dealer or boxperson assigned to the gaming table shall count the contents of the container with the table inventory in the presence of the floorperson assigned to the gaming table and reconcile the count to the totals on the duplicate copy of the Table Inventory Slip removed from the container.

 (d) Signatures attesting to the accuracy of the information recorded on the duplicate copy of the Table Inventory Slip shall be placed on the duplicate copy of the Table Inventory Slip by the dealer or boxperson assigned to the table and the floorperson that observed the dealer or boxperson count the contents of the container.

 (e) After the count of the table inventory and the duplicate copy of the Table Inventory Slip has been signed as required under subsection (d), the slip shall be immediately deposited in the table game drop box attached to the gaming table by the dealer or boxperson.

 (f) If there is a discrepancy between the amount of gaming chips and plaques counted and the amount of the gaming chips and plaques recorded on the duplicate copy of the Table Inventory Slip:

 (1) The discrepancy shall be immediately verbally reported to the pit manager or above, the security department and the casino compliance representatives.

 (2) The dealer or boxperson assigned to the table, in the presence of the pit manager or above and a security department employee, shall recount the table inventory and complete a new Table Inventory Slip reflecting the results of the dealer's or boxperson's recount of the table inventory.

 (3) The pit manager or above shall:

 (i) Prepare an Error Notification Slip, which must be a three-part form containing the following information:

 (A) The date and time.

 (B) The type of game.

 (C) The table number and pit.

 (D) An explanation of the error.

 (ii) Write ''Incorrect Copy'' on the copy of the Table Inventory Slip that was in the table inventory.

 (iii) Sign the ''Incorrect Copy.''

 (iv) Write ''Correct Copy'' on both copies of the Table Inventory Slip required to be prepared by the dealer or boxperson under paragraph (2).

 (4) The ''Correct Copy'' shall be signed by the dealer or boxperson who recounted the table inventory, the security department employee who witnessed the recount and the pit manager or above.

 (5) After the signatures required under paragraph (4) have been obtained, the ''Incorrect Copy'' Table Inventory Slip, both copies of the ''Correct Copy'' Table Inventory Slip and the first copy of the Error Notification Slip shall be deposited by the dealer or boxperson in the drop box.

 (g) The second copy of the Error Notification Slip shall be given to the pit clerk and the third copy of the Error Notification Slip shall be delivered to the casino compliance representatives.

 (h) For any discrepancy greater than $10, the security department shall investigate the discrepancy and, within 24 hours, complete a standard written incident report on a form approved by the Bureau of Gaming Operations and immediately forward a copy of the incident report to the casino compliance representatives.

§ 465a.38. Procedures for distributing value chips, coins and plaques to gaming tables.

 (a) A request for a fill to add value chips, coins and plaques to table games that are not fully automated electronic gaming tables shall be prepared by a pit clerk or floorperson or above using a Fill Request Slip. Access to the blank Fill Request Slips shall be restricted to pit clerks and floorpersons or above.

 (b) A Fill Request Slip must be a two-part form on which the following information is recorded:

 (1) The date, time and shift of preparation.

 (2) The denomination of value chips, coins and plaques to be distributed to the gaming table.

 (3) The total amount of each denomination of value chips, coins and plaques to be distributed to the gaming table.

 (4) The game and table number to which the value chips, coins and plaques are to be distributed.

 (5) The signature of the floorperson or above requesting the fill.

 (c) After the preparation of the Fill Request Slip, the chip bank copy of the Fill Request Slip shall be transported directly to the chip bank by a security department employee.

 (d) The drop box copy of the Fill Request Slip shall be placed by the dealer or boxperson in view of the slot machine licensee's surveillance system on the gaming table to which value chips, coins and plaques are to be received.

 (e) Notwithstanding the requirements of subsections (a)—(d), a request for a fill may be prepared electronically if the input data for preparation of the fill is entered by, and ability to input data is restricted to, the pit clerk or a floorperson or above, and a Fill Slip is generated in the chip bank as a direct result of the input.

 (f) A Fill Slip shall be prepared by a chip bank cashier or, if the required information was input in conformity with subsection (e), the Fill Slip may be electronically generated in the chip bank.

 (g) Fill Slips must be serially prenumbered forms. Each series of Fill Slips shall be used in sequential order, and the series number of all Fill Slips received by a certificate holder shall be accounted for by employees with no incompatible functions. All copies of voided Fill Slips shall be marked ''Void'' and require the signature of the preparer.

 (h) When Fill Slips are manually prepared, the following procedures and requirements shall be observed:

 (1) Each series of Fill Slips must be a three-part form and shall be inserted in a locked dispenser or bound in a Fill Slip form book that will permit an individual Fill Slip in the series and its copies to be written upon simultaneously while still locked in the dispenser or bound in the Fill Slip form book.

 (2) The Fill Slip dispenser must discharge the drop box copy and accounting copy of the Fill Slip while the chip bank copy remains in a continuous, unbroken form in the dispenser. If a Fill Slip form book is utilized, the chip bank copy must remain in the bound Fill Slip form book until removed in accordance with paragraph (3).

 (3) Access to the triplicate copies of the Fill Slips shall be maintained and controlled by finance department employees with no incompatible functions who are responsible for controlling and accounting for the unused supply of Fill Slips, placing Fill Slips in the dispensers and removing the chip bank copies of the Fill Slips from the dispensers or Fill Slip form book each gaming day.

 (i) When Fill Slips are electronically prepared, each series of Fill Slips must be a three-part form and:

 (1) Be inserted in a printer that will simultaneously print a drop box, accounting and chip bank copy of the Fill Slip in the chip bank.

 (2) Store, in machine readable form, the information printed on the drop box, chip bank and accounting copies of the Fill Slips. The stored data may not be susceptible to change or removal by any personnel involved in the preparation of a Fill Slip after the Fill Slip has been prepared.

 (j) Copies of a Fill Slip and, when applicable, the stored data, must contain, at a minimum, the following information:

 (1) The denominations of the value chips, coins and plaques being distributed.

 (2) The total amount of each denomination of value chips, coins and plaques being distributed.

 (3) The total amount of all denominations of value chips, coins and plaques being distributed.

 (4) The game and table number to which the value chips, coins and plaques are being distributed.

 (5) The date and shift during which the distribution of value chips, coins and plaques occurs.

 (6) The signature of the preparer or, if electronically prepared, the identification code of the preparer.

 (k) The time of preparation of the Fill Slip shall be recorded on the drop box, chip bank and accounting copies of the Fill Slip upon preparation.

 (l) Value chips, coins and plaques distributed to the gaming tables from the chip bank shall be transported directly to the gaming tables from the chip bank by a security department employee. The security department employee shall compare the Fill Request Slip to the Fill Slip and sign the drop box copy and accounting copy of the Fill Slip attesting to the accuracy of the fill.

 (m) Signatures on the drop box copy and accounting copy of the Fill Slip attesting to the accuracy of the information contained on a Fill Slip shall be required of the following employees at the following times:

 (1) The chip bank cashier upon preparation.

 (2) The security department employee transporting the value chips, coins and plaques to the gaming table upon receipt from the cashier of the value chips, coins and plaques to be transported.

 (3) The dealer or boxperson assigned to the gaming table upon receipt and verification of the amounts of the value chips, coins and plaques at the gaming table from the security department employee.

 (4) The floorperson assigned to the gaming table upon receipt and verification of the amounts of the value chips, coins and plaques at the gaming table.

 (n) After meeting the signature requirements in subsection (m), the security department employee that transports the value chips, coins and plaques and the drop box copy and accounting copy of the Fill Slip to the gaming table shall observe the immediate placement by the dealer or boxperson of the drop box copy of the Fill Slip and the drop box copy of the Fill Request Slip in the drop box attached to the gaming table to which the value chips, coins and plaques were transported. The security department employee shall then return the accounting copy of the Fill Slip to the cage where it shall be inserted into a locked accounting box. The chip bank copies of the Fill Request Slip and Fill Slip shall be maintained together by the chip bank cashier until forwarded to the finance department.

 (o) All parts of voided Fill Slips, as well as the chip bank copies of Fill Request Slips and the accounting and chip bank copies of the Fill Slips that are maintained and controlled in conformity with subsection (n), shall be forwarded to the finance department for agreement, on a daily basis, with the drop box copies of the Fill Request Slips and Fill Slips removed from the drop box on the gaming table.

§ 465a.39. Procedures for removing value chips, coins and plaques from gaming tables.

 (a) A request for a credit to remove value chips, coins and plaques from table games that are not fully automated electronic gaming tables shall be prepared by a pit clerk or floorperson or above using a Credit Request Slip. Access to blank Credit Request Slips shall be restricted to pit clerks and floorpersons or above.

 (b) A Credit Request Slip must be a two-part form on which the following information is recorded:

 (1) The date, time and shift of preparation.

 (2) The denomination of chips, coins and plaques to be removed from the gaming table.

 (3) The total amount of each denomination of value chips, coins and plaques to be removed from the gaming table.

 (4) The game and table number from which the value chips, coins and plaques are to be removed.

 (5) The signatures of the dealer or boxperson and the floorperson or above assigned to the gaming table from which the value chips, coins and plaques are to be removed.

 (c) After the preparation of a Credit Request Slip and prior to the transfer of the value chips, coins and plaques to a security department employee, a floorperson or above shall obtain on the drop box copy of the Credit Request Slip, the signature of the security department employee to which the value chips and plaques are being transferred. The dealer or boxperson assigned to the gaming table shall place the drop box copy of the Credit Request Slip in view of the slot machine licensee's surveillance system on the gaming table from which the value chips, coins and plaques were removed. The drop box copy of the Credit Request Slip may not be removed until a Credit Slip is received from the chip bank at which time the drop box copy of the Credit Request Slip and Credit Slip are to be deposited in the drop box attached to the gaming table.

 (d) The chip bank copy of the Credit Request Slip and the value chips, coins and plaques removed from the gaming table shall be transported directly to the chip bank by the security department employee.

 (e) Notwithstanding the requirements in subsections (a)—(d), a request for a credit may be prepared electronically if the input data for preparation of the credit is entered by, and ability to input data is restricted to, the pit clerk or a floorperson or above, and a Credit Slip is generated in the chip bank, as a direct result of the input.

 (f) A Credit Slip shall be prepared by a chip bank cashier. When the required information was input in conformity with subsection (e), the Credit Slip may be electronically generated in the chip bank.

 (g) Credit Slips must be serially prenumbered forms. Each series of Credit Slips shall be used in sequential order. The series numbers of all Credit Slips received by a certificate holder shall be accounted for by employees with no incompatible functions. All copies of voided Credit Slips shall be marked ''Void'' and signed by the preparer.

 (h) When Credit Slips are manually prepared, the following procedures and requirements shall be observed:

 (1) Each series of Credit Slips must be a three-part form and be inserted in a locked dispenser or bound in a Credit Slip form book that permits an individual Credit Slip in the series and its copies to be written upon simultaneously while still locked in the dispenser or bound in the Credit Slip form book.

 (2) The Credit Slip dispenser must discharge the drop box copy and accounting copy of the Credit Slip while the chip bank copy of the Credit Slip remains in a continuous, unbroken form in the dispenser. If a Credit Slip form book is utilized, the chip bank copy must remain in the bound Credit Slip form book until removed in accordance with subsection (c).

 (3) Access to the triplicate copies of the Credit Slips shall be maintained and controlled by finance department employees with no incompatible functions who are responsible for controlling and accounting for the unused supply of the Credit Slips, placing Credit Slips in the dispensers and removing the chip bank copies of the Credit Slips from the dispensers or Credit Slip form book each gaming day.

 (i) When Credit Slips are electronically prepared, each series of Credit Slips must be a three-part form and:

 (1) Be inserted in a printer that simultaneously prints a drop box, accounting and chip bank copies of the Credit Slip in the chip bank.

 (2) Store, in machine-readable form, the information printed on the drop box, accounting and chip bank copies of the Credit Slip. The stored data may not be susceptible to change or removal by any personnel after the preparation of a Credit Slip.

 (j) Copies of the Credit Slip and, when applicable, the stored data, must contain, at a minimum, the following information:

 (1) The denominations of the value chips, coins and plaques being returned.

 (2) The total amount of each denomination of value chips, coins and plaques being returned.

 (3) The total amount of all denominations of value chips, coins and plaques being returned.

 (4) The game and table number from which the value chips, coins and plaques are being returned.

 (5) The date and shift during which the removal of value chips, coins and plaques occurs.

 (6) The signature of the preparer or, if electronically prepared, the identification code of the preparer.

 (k) The time of preparation of the Credit Slip shall be recorded on the drop box, accounting and chip bank copies of the Credit Slip upon preparation.

 (l) After the Credit Slip has been prepared by the chip bank cashier or has been printed in the chip bank as a result of the information being input electronically by a pit clerk or floorperson or above and the value chips, coins and plaques from a gaming table have been returned to the chip bank, the security department employee shall transport the drop box copy and the accounting copy of the Credit Slip to the gaming table from which the value chips, coins and plaques were removed.

 (m) Signatures on the drop box copy and accounting copy of a Credit Slip attesting to the accuracy of the information contained on the Credit Slip shall be required of the following employees at the following times:

 (1) The chip bank cashier upon preparation.

 (2) The security department employee returning the value chips, coins and plaques to the chip bank.

 (3) The dealer or boxperson assigned to the gaming table upon receipt of the Credit Slip at the gaming table from the security department employee.

 (4) The floorperson assigned to the gaming table upon receipt of the Credit Slip at the gaming table from the security department employee.

 (n) After meeting the signature requirements required under subsection (m), the security department employee returning the drop box copy and accounting copy of the Credit Slip to the gaming table shall observe the immediate placement by the dealer or boxperson of the drop box copy of the Credit Slip and the drop box copy of the Credit Request Slip in the drop box attached to the gaming table from which the value chips, coins and plaques were removed. The security department member shall then return the accounting copy of the Credit Slip to the cage where it shall be inserted into a locked accounting box. The chip bank copies of the Credit Request Slip and Credit Slip shall be maintained together by the chip bank cashier until forwarded to the finance department.

 (o) All parts of voided Credit Slips, chip bank copies of Credit Request Slips and the accounting and chip bank copies of the Credit Slips that are maintained and controlled in conformity with subsection (n) shall be forwarded to the finance department for agreement, on a daily basis, with the drop box copies of the Credit Request Slips and Credit Slips removed from the drop box on the gaming table.

§ 465a.40. Procedures for accepting cash for gaming chips, plaques or electronic wagering credits at table games.

 When cash is presented by a patron at a table game that is not a fully automated electronic gaming table for exchange for gaming chips, plaques or electronic wagering credits:

 (1) The cash shall be spread on the top of the gaming table by the dealer or boxperson accepting it in full view of the patron who presented it, the floorperson assigned to the gaming table and the slot machine licensee's surveillance system.

 (2) The amount of cash shall be verbalized by the dealer or boxperson accepting it in a tone of voice to be heard by the patron who presented it and the floorperson assigned to the gaming table.

 (3) Immediately after an equivalent amount of gaming chips, plaques or electronic wagering credits have been given to the patron, the cash shall be taken from the top of the gaming table and placed by the dealer or boxperson into the drop box attached to the gaming table.

§ 465a.41. Procedures for drops at open table games.

 (a) When a table game that is not a fully automated electronic gaming table is being dropped is to remain open for gaming activity, the value chips, coins and plaques remaining in the table inventory at the time of the drop shall be counted by the dealer or boxperson assigned to the gaming table and recorded on a Table Inventory Slip.

 (b) The count required under subsection (a) shall be observed by the floorperson who is responsible for supervising the table game at the time of the drop.

 (c) Signatures attesting to the accuracy of the information recorded on the Table Inventory Slip shall be placed on both copies of the Table Inventory Slip by the dealer or boxperson assigned to the table and the floorperson that observed the dealer or boxperson count the contents of the table inventory.

 (d) After meeting the signature requirements in subsection (c), the original copy of the Table Inventory Slip shall be deposited in the drop box that is attached to the gaming table immediately before the drop box is removed from the gaming table as part of the drop. The duplicate copy of the Table Inventory Slip shall be deposited in the drop box that is attached to the gaming table immediately following the removal of the drop box that is removed from the gaming table as part of the drop.

§ 465a.42. Procedures for closing table games.

 (a) When gaming activity at a table game that is not a fully automated electronic gaming table is concluded, the value chips, coins and plaques remaining at the gaming table shall be counted by the dealer or boxperson assigned to the gaming table in the presence of the floorperson assigned to the gaming table.

 (b) The amounts of the value chips, coins and plaques counted shall be recorded on the Table Inventory Slip by the floorperson assigned to the gaming table. The original copy of the Table Inventory Slip shall be signed by the dealer or boxperson who counted the table inventory and the floorperson who observed the dealer or boxperson count the contents of the table inventory.

 (c) After the original copy of the Table Inventory Slip has been signed as required under subsection (b), the original copy of the Table Inventory Slip shall be immediately deposited in the table game drop box attached to the gaming table.

 (d) After the original copy of the table inventory slip has been deposited in the table game drop box attached to the gaming table, the duplicate copy of the table inventory slip and the value chips, coins and plaques remaining at the gaming table shall be placed in the container required under § 465a.36 (relating to table inventories), after which the container shall be locked and either transported directly to the cage by a security department member or secured to the gaming table.

 (e) If the locked containers are transported to the cage, a cage supervisor shall determine that all locked containers have been returned.

 (f) If the locked containers are secured to the gaming table, a pit manager or above shall verify that all the containers are locked.

§ 465a.43. Table inventories for Poker tables.

 (a) Notwithstanding the requirements in §§ 465a.36, 465a.37, 465a.41 and 465a.42, a certificate holder may establish procedures for the issuance of table inventories that are maintained by Poker dealers on an imprest basis.

 (b) The procedures developed under subsection (a) shall be submitted as part of the certificate holder's internal controls.

§ 465a.44. Table inventory counts on a per shift basis.

 (a) In addition to the requirements in §§ 465a.37, 465a.41 and 465a.42 (relating to procedures for opening table games; procedures for drops at open table games; and procedures for closing table games), a certificate holder may establish procedures for the use of a three-compartment drop box which requires the preparation of a Table Inventory Slip at least once each gaming day.

 (b) The procedures developed under subsection (a) shall be submitted as part of the certificate holder's internal controls.

CHAPTER 467a. COMMENCEMENT OF SLOT
AND TABLE GAME 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] and table game operations. Initial gaming floor plans shall be drawn to 1/8 inch scale unless another scale is approved by the Board. Revised gaming floor plans may be submitted electronically, unless otherwise requested by Board staff, provided there is sufficient detail when enlarged to read the information in the electronic submission. A slot machine licensee shall submit to the Board an up-to-date floor plan, drawn to 1/8 inch scale, 12 months after its receipt of authorization to commence slot operations and every 12 months thereafter. A floor plan must [be]:

 (1) [Drawn to 1/8 inch scale, unless another scale is approved by the Board

 (2) Certified] Be certified by an architect licensed to practice in this Commonwealth, [and depict] unless Board staff indicates otherwise.

 (2) Depict the following:

 (i) The gaming floor with notations as to:

 (A) Proposed total square footage.

 (B) The perimeter of the gaming floor.

 (C) A clearly delineated route for underage [persons] individuals to [transverse] access areas adjacent to the gaming floor.

 (D) Designated smoking and nonsmoking areas.

 (ii) Each slot machine area and table game pit on the gaming floor and each slot machine [location] and table game located within each slot machine area and table game pit. Slot machine and table game locations shall be identified by number in accordance with § 463a.3 (relating to slot machine location).

 (iii) The number of slot machines and table games on the gaming floor in compliance with [section] sections 1210 and 13A11(b) of the act (relating to number of slot machines; and authorization to conduct table games), in total and by slot area or table game pit.

 (iv) Each slot machine or table game seat on the gaming floor [in compliance with § 461a.7(s) (relating to slot machine minimum design standards)].

 (v) Each surveillance camera installed in compliance with § 465a.9(a) (relating to surveillance system; surveillance department control, surveillance department [restriction] restrictions), noting its type and camera number.

 (vi) The [cashiers'] main cage and any satellite [cashiers'] cage, inclusive of each [cashiers'] cage window and window number, ancillary offices and areas.

 (vii) Each count room and any trolley storage area.

 (viii) Each automated bill breaker, gaming voucher redemption, coupon redemption and jackpot payout machine.

 (ix) Each automated teller machine.

 (x) Each area designated for the storage or repair of slot machines or table games.

 (xi) Vault and armored car bay locations.

 (xii) Additional documentation requested by the Board or Board staff relating to the floor plan for the gaming floor.

 (b) A slot machine licensee may not commence slot or table game operations until the floor plan depicting its gaming floor and all restricted areas servicing the slot [operation] and table game operations has been approved [in writing] by the Board. The approval by the Board will expressly authorize [the]:

 (1) The maximum square footage of gaming floor [and].

 (2) The maximum number of slot machines and table games which may be operated by the slot machine licensee.

 (c) Requests for changes to the approved gaming floor plan [approved under subsection (b) which involve a change of more than 2% of the square footage of the gaming floor or which involve a change of more than 2% in] which will increase or decrease the square footage of the gaming floor by more than 2%, the number of slot machines on the gaming floor by more than 2% or the number of table games on the gaming floor by more than 10% require Board approval and must be submitted to the Board as a petition under § 493a.4 (relating to petitions generally). Requests for all other changes to the gaming floor, including the type of table games, shall be submitted in writing [to the Office of the Clerk as a request for changes to the gaming floor and approved] and will be considered for approval by the Board's Executive Director. The approval of the Board or the Executive Director may include conditions that shall be met by the slot machine licensee [as part of the changes] prior to the commencement of operations.

 (d) A petition or request for changes to the gaming floor must, at a minimum, include:

 (1) A narrative description of the proposed changes.

 (2) A revised gaming floor plan in accordance with this section.

 (3) [A timetable for completion of the proposed changes] A revised plan for the distribution and collection of slot cash storage boxes and table game drop boxes as required under § 465a.18(a) (relating to transportation of slot cash storage boxes and table game drop boxes to and from the gaming floor; storage).

 (4) The table game pit number or slot machine area and the proposed configuration of any table game pit or slot machine area affected.

 (5) The type, location and table number of any gaming table affected.

 (6) An updated slot machine master list as required under § 463a.5 (relating to slot machine master lists).

 (7) The proposed amendments to the standard or alternative staffing levels required under § 465a.35 (relating to personnel assigned to the operation and conduct of table games).

 (8) The proposed amendments to surveillance required under § 465a.9.

 (9) A timetable for the completion of the proposed changes.

 (e) If a slot machine licensee objects to the Executive Director's disapproval of a request for changes to the gaming floor or conditions imposed on the approval of a request for changes to the gaming floor, the slot machine licensee may file with the Board a [request] petition for reconsideration [as a petition under] in accordance with § 493a.4.

§ 467a.2. Commencement of slot and table game operations generally.

 (a) Prior to the commencement of slot or table game operations at a licensed facility a slot machine licensee shall demonstrate that:

 (1) The licensed facility, including the gaming floor and restricted areas servicing [the] slot [operation] and table game operations, complies in all respects with the act, this subpart and technical standards adopted by the Board [and published in the Pennsylvania Bulletin and posted on the Board's website].

 (2) Slot machines, table games and associated equipment installed in the licensed facility and utilized in the conduct of slot machine and table game operations have been tested and approved by the Board in compliance with the act, this subpart and technical standards adopted by the Board [and published in the Pennsylvania Bulletin and posted on the Board's website].

 (3) The gaming floor plan required under § 467a.1(a) (relating to gaming floor plan) has been approved by the Board in compliance with the act, this subpart and technical standards adopted by the Board [and published in the Pennsylvania Bulletin and posted on the Board's website].

 (4) The slot machine licensee's proposed site plan and internal control systems and audit protocols have been approved by the Board in compliance with the act, this subpart and technical standards adopted by the Board [and published in the Pennsylvania Bulletin and posted on the Board's website].

 (5) The slot machine licensee is prepared to implement necessary management controls, surveillance and security precautions to insure the efficient conduct of slot and table game operations.

 (6) The slot machine licensee's employees are licensed or permitted by the Board and trained in the performance of their responsibilities.

 (7) The slot machine licensee has complied with any conditions prerequisite to commencement of slot or table game operations contained in the Statement of Conditions executed under § 423a.6 (relating to license, permit, registration and certification issuance and statement of conditions).

 (8) The licensed facility is prepared in all respects to receive the public.

 (9) The slot machine licensee has successfully completed a test period.

 (10) For Category 1 licensees, the slot machine licensee has a written live racing agreement as required under section 1303(d) of the act (relating to additional category 1 slot machine license requirements).

 (b) Upon a slot machine licensee's successful demonstration of the criteria enumerated in subsection (a), the Board may authorize the date and time at which the slot machine licensee may commence slot and table game operations at the licensed facility and will fix the maximum square footage of gaming floor and maximum number of slot machines and table games which may be operated by the slot machine licensee pursuant to that authorization.

Subpart K. TABLE GAMES

CHAPTER 521. GENERAL PROVISIONS

§ 521.3. [Table games surveillance requirements] (Reserved).

 [(a) In addition to the surveillance system requirements in § 465a.9 (relating to surveillance system; surveillance department control; surveillance department restriction), a certificate holder shall have a surveillance system that includes:

 (1) Light sensitive cameras with lenses of sufficient magnification to allow the certificate holder to clandestinely monitor in detail the following:

 (i) The gaming conducted at each gaming table in the licensed facility with sufficient clarity to identify patrons and dealers and sufficient coverage to simultaneously view the table and determine the configuration of wagers, card, dice and tile values and game outcomes.

 (ii) The movement of cash, gaming chips and plaques, tip boxes and drop boxes within the licensed facility.

 (iii) Any other activity or areas designated by the Bureau of Casino Compliance.

 (2) The following number of stationary cameras dedicated to table games:

 (i) At least one stationary camera for each table game offered by the licensed facility except Craps, Baccarat, Roulette and Big Six Wheel.

 (ii) At least two stationary cameras for each Craps table, with one camera covering each end of the table.

 (iii) At least two stationary cameras for each Baccarat table, with one camera covering each end of the table.

 (iv) At least two stationary cameras for each Roulette table, with one camera covering the Roulette wheel and one camera covering the Roulette table layout.

 (v) At least two stationary cameras for each Big Six Wheel, with one camera covering the Big Six Wheel and one camera covering the Big Six Wheel table layout.

 (3) Additional cameras as required by the Bureau of Casino Compliance. The additional cameras may include cameras with 360° pan, tilt and zoom capabilities.

 (b) A certificate holder's surveillance system must continuously record transmissions from cameras used to observe the following locations, persons, activities and transactions:

 (1) The gaming conducted at all table games.

 (2) The collection of drop boxes and tip boxes.

 (3) The distribution of cards, dice and tiles to gaming pits.

 (4) The inspection of cards, dice and tiles in the gaming pits and at the gaming tables.

 (5) The retrieval of cards, dice and tiles from the gaming pits at the end of the gaming day and the delivery of the cards, dice and tiles to the location designated and approved by the Bureau of Gaming Operations for inspection, cancellation, destruction or, if applicable, packaging for reuse.

 (c) The surveillance recordings required under subsection (b) shall be retained for a minimum of 7 days. Any surveillance recordings of suspicious activity, suspected or alleged regulatory violations or suspected or alleged criminal activity shall be retained for a minimum of 30 days. Surveillance recordings shall be made available for review upon request by the Board or the Pennsylvania State Police.

 (d) Prior to the commencement of the operation of any table games, each certificate holder shall be required to submit, for Board approval in accordance with § 465a.2(a)(5) (relating to internal control systems and audit protocols), a revised minimum staffing submission for the slot machine licensee's surveillance monitor rooms. The minimum staffing submission must consider the size and layout of the licensed facility as well as the number of table games and must at all times provide for surveillance of activities inside and outside the licensed facility. A certificate holder may not implement a change or amendment in its surveillance monitor room minimum staffing submission without prior Board approval of the change or amendment.]

§ 521.11. [Table games floor plan changes] (Reserved).

 [(a) Requests to increase or decrease the number of approved table games by 10% or more require Board approval and shall be submitted to the Board by way of a petition under § 493a.4 (relating to petitions generally). All other requests for changes to the table games floor plan, including the type of table games or the configuration of the table games floor plan, shall be submitted in writing and considered for approval by the Board's Executive Director. The approval of the Board or the Executive Director may include conditions that must be met by the certificate holder prior to commencement of operations of the approved gaming tables or floor area.

 (b) A petition or request for table games floor plan changes must, at a minimum, include:

 (1) A narrative description of the proposed changes.

 (2) The pit number and proposed configuration of any pit affected.

 (3) The type, location and table number of any table affected.

 (4) The proposed amendments to the standard or alternative staffing levels required under § 525.6 (relating to personnel assigned to the operations and conduct of table games) for the affected gaming tables or pits.

 (5) The proposed amendments to table games surveillance required under § 521.3 (relating to table games surveillance requirements).

 (6) A time table for completion of the proposed changes.]

CHAPTER 525. (Reserved)

 (Editor's Note: As part of this proposed rulemaking, the Board is proposing to rescind Chapter 525 which appears in 58 Pa. Code pages 525-1—525-30, serial pages (349981)—(349986), (354767), (354768), (352353), (352354), (350941), (350942), (349993)—(349998), (350943), (350944), (352495)—(352498), (350005)—(350008), (350945) and (350946).)

Sec.

525.1—525.20. (Reserved).

[Pa.B. Doc. No. 11-848. Filed for public inspection May 20, 2011, 9:00 a.m.]

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