RULES AND REGULATIONS
Title 58—RECREATION
PENNSYLVANIA GAMING CONTROL BOARD
[ 58 PA. CODE CHS. 401a, 403a, 405a, 407a,
461a, 471a, 491a, 493a, 494a, 495a, 497a,
499a, 501a AND 511a ]
Practice and Procedure; Server Supported Slot Systems; Compulsive and Problem Gambling
[43 Pa.B. 660]
[Saturday, February 2, 2013]The Pennsylvania Gaming Control Board (Board), under the general authority in 4 Pa.C.S. § 1202(b)(30) (relating to general and specific powers) and the specific authority in 4 Pa.C.S. § 1207(2) and (9) (relating to regulatory authority of board), amends Chapters 401a, 403a, 405a, 407a, 461a, 471a, 491a, 493a, 494a, 495a, 497a, 499a, 501a and 511a to read as set forth in Annex A.
Purpose of the Final-Form Rulemaking
This final-form rulemaking amends the Board's practices and procedures to improve the clarity and effectiveness of the Board's regulations. This final-form rulemaking also updates the requirements for server supported slot systems, a gaming technology new to this Commonwealth.
Explanation of Amendments and Additional Revisions
Throughout this final-form rulemaking, ''resolution'' was changed as the Board issues orders and adjudications and issues resolutions only in limited and specific instances. Also, several of the references to the Board were changed as the functions described are functions of Board staff.
In § 401a.3 (relating to definitions), the definition of ''nongaming employee'' was updated to reflect that both registered and certified gaming service providers may have nongaming employees. Additionally, the Board's web site, which was recently changed, was added to the definitions that are applicable to all regulations in Part VII (relating to Gaming Control Board).
Section 403a.7(a) (relating to temporary emergency orders) was amended to allow the Executive Director and the Executive Director's designee (typically a hearing examiner) to issue a temporary emergency order. The remainder of subsection (a) was deleted as redundant with subsection (f).
In subsection (b), language was added to allow the issuance of an emergency order to temporarily exclude a person from a licensed facility pending Board action on an underlying petition for exclusion. This provision was added as individuals have been discovered cheating at other facilities while awaiting Board action on a petition for exclusion. This provision will not be utilized except in instances when an individual meets the criteria established in § 403a.7(c) and § 511a.4(c) (relating to duties of the Bureau and the Office of Enforcement Counsel).
Subsection (c) was amended for clarity and to specify the criteria necessary for emergency suspension or exclusion. Subsection (c)(2) regarding tax obligations was deleted. If a licensee fails to pay a required assessment or tax obligation, the Office of Enforcement Counsel files an enforcement action, which would be heard by the Board or a hearing officer, not a request for a temporary emergency order. A cross reference to the exclusion or ejection criteria was added in its place.
Subsection (d) was updated to specify what type of action the Board is referring to in this section and more accurately reflect the information that the Office of Enforcement Counsel is required to include in the request.
Subsections (e) and (g) were reworded for clarity. In subsection (f), the 72-hour requirement for an informal hearing found was changed to 3 business days. A 72-hour requirement is impractical as it does not account for holidays or weekends.
In subsection (h), a cross reference to hearing locations was added.
Language was added in subsection (i) specifying what action the Executive Director or a designee will take at the conclusion of the informal hearing. After re-evaluating the informal nature of an emergency hearing, the language regarding subpoenas in subsection (i) and the procedure specified in subsection (j) were deleted. These provisions are applicable to formal hearings held before the Board or presiding officer, but are not applicable to an informal hearing before the Executive Director.
Subsections (j) and (k) were rewritten providing that unless the Executive Director dissolves an emergency order, the matter will be referred to the Board for a formal hearing or, in most instances, directly to the Office of Hearings and Appeals to prepare a report and recommendation for the Board's consideration. Amending subsections (j) and (k) deletes an unnecessary step in the process. Temporary emergency orders were first directed to the Board then, in most instances, is referred to the Office of Hearings and Appeals to have a hearing, then referred back to the Board for a final determination. Taking it first to the Board for subsequent referral can take several additional weeks, depending on when the next Board meeting is scheduled to take place. This additional time could be detrimental to an individual employed by a licensee who is not otherwise able to work while his license, permit or registration is temporarily suspended. Shortening the process by deleting an unnecessary step could potentially result in an individual returning to work more quickly when suspension is ultimately deemed unnecessary.
New subsection (k) provides that the Executive Director will retain jurisdiction to modify or dissolve a temporary emergency order until the Office of Hearings and Appeals issues a report and recommendation or the Board takes action on the suspension.
Subsection (m) was amended for clarity. Subsection (n) was deleted as redundant as the provisions are covered by the general language under subsection (m)(1), which specifies that the Board may ratify or modify an order of suspension.
It is unnecessary to include that final orders of the Board are appealable as previously stated in subsection (o). Appeal rights are governed by the Pennsylvania Rules of Appellate Procedure which dictate that an appeal may be taken, as of right, from a final order of an administrative agency.
Language specifying forms of service in new subsection (o) was also deleted as redundant since the forms of service are addressed in § 491a.5 (relating to service).
Subsection (p)(1) was deleted since hearing procedures are already covered in Chapter 494a (relating to hearing procedure). The time period to have the hearing in paragraph (1) was extended from 10 to 15 business days to allow for sufficient notice to the person who is the subject of the temporary order. Lastly, the types of service were deleted from paragraph (2) since service is covered in § 491a.5. Since the process for temporary emergency orders was amended, paragraph (3) was added in the final-form rulemaking.
Section 405a.6 (relating to enforcement action) was amended allowing a person 30 days instead of 20 days to file an answer to an enforcement action. A response to an enforcement action is considered an answer. Answers to petitions are covered in § 493a.5(c) (relating to answers to complaints, petitions, motions and other filings requiring a response) and may include a notice of defense. The reference to notice of defense was deleted in subsection (c). In subsection (c)(1), the Office of Hearings and Appeals was added as both the Board and the Office of Hearings and Appeals may conduct an administrative hearing.
In subsections (d) and (e), if a person fails to file an answer, the allegations in the enforcement action are deemed admitted. The Office of Enforcement Counsel then files a Notice of Default Judgment with the Board's Clerk which is served on the person in accordance with Board's procedures on service in § 491a.5.
Section 407a.1 (relating to case files) was amended to reflect that the Clerk maintains a single file for formal records which contains both confidential and nonconfidential information within that file. Nonconfidential information will still be available for inspection during normal business hours in accordance with subsection (b)(1).
The provisions regarding written requests for records, which were addressed in subsection (b)(2) and (3), were deleted as inconsistent with the current interpretation of the Right-to-Know Law (65 P. S. §§ 67.101—67.3104). Under a recent Commonwealth Court decision, a request for information is a Right-to-Know Law request even if the request did not mention the Right-to-Know Law, it was not addressed to a Right-to-Know officer or submitted on an agency designated form. See Pennsylvania Gaming Control Bd. v. Office of Open Records, 48 A.3d 503 (Pa.Cmwlth, 2012). To avoid a situation in which the Board is subject to Right-to-Know Law remedies, including the possible ordered disclosure of confidential information, for failing to respond within 5 business days to a request the Board did not believe was a Right-to-Know Law request in the first instance, the Board has to now handle a request in accordance with the Right-to-Know Law. The procedure in subsection (d) was deleted because once a request for information is filed, the Right-to-Know Law dictates the procedure for completing the request and the appeal rights if the request is denied as not a public record based on confidentiality.
The procedure for the marking of documents as confidential is addressed in § 493a.10a (relating to motions to protect confidential information) and was deleted from subsection (c).
Chapter 461a (relating to slot machine and table game device testing and control) was amended to add information on server supported slot systems, which is a gaming technology new to this Commonwealth. In summary, a server supported slot machine is connected to a computer which can download different games or features directly to the slot machine. The definitions applicable to server supported slot systems were added in § 461a.1 (relating to definitions) and were deleted from § 461a.20(a) (relating to server supported slot systems). The provisions in § 461a.20(b)—(e) were deleted and replaced. The new provisions in § 461a.20(a)—(p) address the requirements for server supported slot systems, administrator access to that system and the requirements for downloading new games or features from the server to the slot machine.
In § 461a.20(d), the requirements for administrator access were amended to allow two different departments to have access instead of two individuals who may not always be onsite.
The cross reference to the procedure for notifying technical field representatives prior to installing software was added in § 461a.20(e). Lastly, not all systems are configured to allow individuals to input their Board issued credential numbers when logging into the system. Section 461a.20(l)(2) was expanded to allow for inputting an employee specific username instead of the board issued credential number.
Section 471a.1(a) (relating to fees generally) was updated to reflect that the Board previously eliminated fees for the filing of pleadings.
The general rules of practice in Chapter 491a (relating to general rules of practice) have been amended for clarity and to more accurately reflect Board practice. The Board address was updated in § 491a.3(b) (relating to Office of the Clerk) to reflect that the Office of Hearings and Appeals has relocated.
In § 491a.7(f) (relating to presiding officers), a procedure for appealing a ruling of a presiding officer, while a matter is still pending before the presiding officer (interlocutory appeals), has been deleted. The Board does not believe that interlocutory appeals are necessary as an individual who objects to a ruling of a presiding officer can file an exception to a report or report and recommendation of the presiding officer in accordance with § 494a.7 (relating to exceptions), which will be considered by the Board. If the Board believes that the ruling of the hearing officer was incorrect, the Board can address the matter directly or may refer it back to hearings and appeals.
Section 491a.8(d) (relating to hearings generally) was amended to reiterate the prohibition on engaging in ex parte communications and is consistent with 4 Pa.C.S. Part II (relating to gaming) and amendments made in the Board's rulemaking 125-141 published at 41 Pa.B. 5368 (October 8, 2011). An additional amendment was made in the final-form rulemaking to eliminate the notice and an opportunity to participate. If notice and an opportunity to participate are given, by definition, the communication is not an ex parte communication.
Throughout Chapter 493a (relating to pleadings), language was added requiring a petitioner to include the Board issued credential number, if applicable, of the person that is the subject of the filing. In § 493a.2 (relating to complaints), language was added specifying that the Office of Enforcement Counsel alone, acting as the prosecutor in noncriminal enforcement actions initiated by the Bureau of Investigations and Enforcement, has standing to file formal complaints. Section 493a.4(a) (relating to petitions generally) was amended to reflect that the Office of Enforcement Counsel, acting as counsel to Bureau of Investigations and Enforcement, files petitions.
Language was added in § 493a.8 (relating to motions generally) which provides guidelines regarding when and how motions for procedural relief are to be made after the initiation of a proceeding. Interlocutory appeals were eliminated as described in § 491a.7.
Section 493a.10(c) was amended to reflect that affidavits and admissions were removed from the provisions regarding discovery in § 493a.11(c) (relating to discovery).
In § 493a.10a, petitioners that submit a filing that contains confidential information will be required to submit a motion to protect the confidential information, which contains the specific legal grounds to justify why the information should be deemed confidential, as well as a redacted version of the filing which will be available for immediate public release. This will ensure that confidential information is not inadvertently disclosed and will provide transparency in all filings with the agency.
The provisions on discovery in § 493a.11 were amended to clarify, streamline and more accurately define expectations regarding discovery consistent with administrative practices throughout the Commonwealth.
Section 494a.3 was rescinded as documentary hearings are covered under hearings generally. In § 494a.7, the process was amended. Exceptions (or objections) to a hearing officer's report or report and recommendation that are filed by a party will not be addressed again by the hearing officer. Instead, the record, including the report or report and recommendation and exceptions, will be forwarded to the Board for its consideration.
Section 494a.10 was also rescinded. Board staff verify that Board orders are carried out. A licensee, permittee, registrant or certificate holder that does not comply with a Board order will be subject to an enforcement action filed by the Office of Enforcement Counsel. The Board, acting on an enforcement action, may then revoke, suspend or levy fines against any licensee, permittee, registrant or certificate holder.
To conserve resources, § 495a.6(b) (relating to number of copies) was added to allow for the electronic filing of pleadings and documents. If filed electronically, a paper submission is not required.
Section 501a.4 (relating to reports) previously required a slot machine licensee to submit a summary of its compulsive and problem gambling program with the licensee's annual renewal application. When 4 Pa.C.S. Part II was amended, the renewal period was changed to once every 3 years. The amended language requires the slot machine licensee to submit a summary of its compulsive and problem gambling program by the last business day of July. Subsection (b) was added detailing the information that must be contained in the annual summary.
Chapter 511a (relating to persons required to be excluded) was amended for consistency with amendments made to 4 Pa.C.S. Part II by the act of January 7, 2010 (P. L. 1, No. 1). In § 511a.3 (relating to criteria for exclusion or ejection), a provision was added allowing persons to be added to the exclusion list if the person poses a threat to the safety of people who are on the property of the licensed facility, such as persons in the licensee's parking lot.
Language was added to § 511a.4 allowing the Office of Enforcement to file a request for a temporary emergency order to temporarily place someone on the exclusion list until the Board act upon an underlying petition for exclusion. As discussed regarding § 403a.7(b), this provision was added because while awaiting Board action on an underlying petition for exclusion, individuals have been found cheating at other facilities. This provision will not be utilized except in instances when there is insufficient time to provide notice and a hearing prior to exclusion, emergency exclusion is necessary to preserve the public health, welfare or safety, or the integrity of gaming in this Commonwealth and the individual meets the criteria in § 511a.3.
In § 511a.5 (relating to placement on the exclusion list), the instances in which a person could be placed on the exclusion list were clarified. A person can be placed on the list upon entry of an order by the Board, receipt of an order form a court or temporarily upon the issuance of a temporary emergency order.
Section 511a.6(a) (relating to demand for hearing on the placement of a person on the exclusion list) was updated to reflect that the Office of Enforcement Counsel files a petition to be placed on the exclusion list, which is served on the individual. Proposed subsections (c) and (e) were deleted as individuals are not immediately placed on the exclusion list unless the procedure for the issuance of a temporary emergency order is followed. Service of a request and issued temporary emergency order is addressed in § 403a.7(g).
Specificity was added in § 511a.7 (relating to Board review) providing that after a hearing or if a hearing is not requested and the facts alleged in the complaint are deemed admitted, the Board may: issue an order approving a petition for exclusion and place the person's name on the excluded list; remove the person's name from the list; deny placement if emergency placement was not issued; or refer the matter back to the Office of Hearings and Appeals to develop the evidentiary record.
Comment and Response Summary
Notice of proposed rulemaking was published at 41 Pa.B 5373 (October 8, 2011). The Board did not receive comments during the public comment period. On December 11, 2011, the Board received comments from the Independent Regulatory Review Commission (IRRC).
Proposed § 403a.7(h) stated that the location for an informal hearing would be determined by the Executive Director or a designee. IRRC asked how the notice of the location would be conveyed. In the final-form rulemaking, this subsection was amended to add a cross reference to § 491a.8 which addresses hearings and notice thereof.
Section 403a.7(l) was deleted. In the preamble to the proposed rulemaking, the Board explained that subsection (l) was deleted because it was duplicative of the hearing procedures in Chapter 494a. IRRC requested that the Board explain how the role of the Office of Enforcement Counsel is adequately addressed in Chapter 494a.
Under 4 Pa.C.S. § 1517 (relating to investigations and enforcement), the Office of Enforcement Counsel acts as the prosecutor in noncriminal enforcement actions. As the prosecutor, the Office of Enforcement Counsel: initiates, in its sole discretion, proceedings for violations of 4 Pa.C.S. Part II; files recommendations and objections relating to the issuance of licenses, permits and registrations; and may petition the Board for the appointment of a trustee. Because the duties of the Office of Enforcement Counsel are specified by statute, the Board does not believe it is necessary to reiterate those requirements in the regulations.
Section 403a.7(o) was deleted. IRRC asked that the Board explain why the provision regarding the appeal rights was deleted. This provision was deleted as unnecessary because appeal rights are governed by the Pennsylvania Rules of Appellate Procedure which dictate that an appeal may be taken as of right from any final order of an administrative agency. See Rule of Appellate Procedure 341 (relating to final orders; generally). Additionally, since the Board does not issue resolutions related to this section, the provision was inapplicable.
The proposed rulemaking contained a provision in § 437a.2 (relating to gaming service provider registration applications) regarding reimbursing the Board for costs incurred in the investigation of a gaming service provider. The section is not included in the final-form rulemaking and will be addressed in a comprehensive amendment package on Subpart B (relating to licensing, permitting, certification and registration).
In § 461a.1, the Board reviewed and amended the definitions associated with server supported slot systems.
In several subsections in § 461a.20, IRRC recommended that the Board add a cross reference to the approval process associated with server supported slot systems and associated software. When a regulation references an obligation of the licensee, the Board added a cross reference to testing and software installation in § 461a.26 (relating to testing and software installation on the live gaming floor).
In subsection (a), IRRC commented that the requirement in the proposed rulemaking that server supported slot systems must comply with the general requirements of the chapter was too vague. The Board added specificity regarding which specific sections are applicable.
In subsection (b)(2), IRRC commented that requiring server supported slot systems to verify authenticity as directed by the Board was not clear and could superseded the requirement listed. This language was intended to supersede the 24-hour verification requirement in instances when the authenticity of a copy of the component program is at issue. The Board, however, believes there are other mechanisms in place to verify copies of component programs and deleted the language from subsection (b)(2).
In § 491a.2 (relating to definitions), the definition of ''consent agreement'' was amended to remove unnecessary language.
In §§ 493a.9(f) and 494a.4(e) (relating to preliminary motions; and report or report and recommendation of the presiding officer) and § 493a.10(e), the Board amended the language stating that the regulations supersede instead of supplement provisions of 1 Pa. Code Part II (relating to General Rules of Administrative Practice and Procedure). IRRC inquired why the Board was making these amendments. The Board's regulations should have superseded provisions in 1 Pa. Code Part II from the time the regulations were initially drafted. If the Board regulations merely supplemented 1 Pa. Code Part II, in some areas the regulations would conflict with 1 Pa. Code Part II and lead to confusion. For instance, a provision in 1 Pa. Code Part II requires that answers or objections to motions be filed within 10 days while the Board requirement is 30 days. Additionally, Board regulations address specific types of motions and the process to address those motions while sections in 1 Pa. Code Part II address motions generally. It is unclear what part of 1 Pa. Code Part II the regulations are meant to supplement. The Board believed it necessary to amend the provision stating that the regulations will supersede the provisions of 1 Pa. Code Part II listed.
Regarding § 494a.7, IRRC inquired about the timing of a response to an exception filed by an opposing party. In the final-form rulemaking, the Board amended the section on exceptions. New subsection (d) requires responses to exceptions be filed within 15 days of the date of service of the exceptions. Upon the expiration of 15 days, the Office of Hearings and Appeals will refer the record, including exceptions and responses thereto, to the Board. The Board, not the hearing officer who completed the report or report and recommendation, will consider the matters addressed in exceptions and responses.
Section 495a.2(a) (relating to form of documents) was amended stating that the Board may establish paper, printing and binding requirements for pleadings. IRRC was concerned that the Board would amend the requirements without notice to the regulated community. The Board does not currently have paper, printing or binding requirements for submissions. The Board does not feel the need, based on the Board's experience to date, to be prescriptive by requiring individuals to comply with 1 Pa. Code § 33.2 (relating to form). During the licensing process in particular, applicants submit proposed floor plans, design schematics and application materials in all types of formats. The Board prefers that parties have the flexibility to submit information in formats other than those stated in 1 Pa. Code § 33.2. If the Board determines it is necessary in the future to be prescriptive and establish paper, printing and binding requirements, the requirements will be printed in the Pennsylvania Bulletin and posted on the Board's web site.
The Board added a provision in § 495a.6(b) stating that pleadings filed electronically will be considered originals. IRRC commented that more specificity was needed regarding the type of electronic filings that would be accepted. The e-mail address of the Board Clerk was added to this subsection and § 497a.1(a)(4) (relating to date of filing).
IRRC commented that the requirement in § 501a.4(b)(4)(v) to include additional information as requested by the Director of the Office of Compulsive and Problem Gambling was too vague. The Board removed this provision from the final-form rulemaking.
In § 511a.3(a)(4)(iv), the proposed rulemaking added language stating that a person could be placed on the exclusion list if the person posed a threat to persons in close proximity to the licensed facility. IRRC commented that the added language was too vague. This provision was therefore amended in the final-form rulemaking to include on the exclusion list those persons who pose a threat to persons on the property of the licensee, which would include a licensee's parking lot.
Affected Parties
This final-form rulemaking will affect licensees, permittees, registrants and certificate holders as well as individuals who may be placed on the Board's exclusion list.
Fiscal Impact
Commonwealth. This final-form rulemaking will streamline Board practice and procedure but should not a have a fiscal impact on the Board or other Commonwealth agencies.
Political subdivisions. This final-form rulemaking will not have direct fiscal impact on political subdivisions of this Commonwealth.
Private sector. Because this final-form rulemaking deals primarily with internal Board practice and procedure, it is not anticipated that this final-form rulemaking will have a fiscal impact on the private sector. However, those that submit information with the Clerk may now do so electronically, which should provide minor cost savings.
General public. This final-form rulemaking will not have fiscal impact on the general public except those individuals who may be placed on the Board's exclusion list.
Paperwork Requirements
This final-form rulemaking will eliminate the need for paper submissions of filings with the Board. Filings submitted electronically will be deemed originals. This final-form rulemaking also requires petitioners that submit information of a confidential nature to provide redacted versions of submissions.
Effective Date
The final-form rulemaking will become effective upon publication in the Pennsylvania Bulletin.
Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), on September 15, 2011, the Board submitted a copy of the notice of proposed rulemaking, published at 41 Pa.B. 5373, to IRRC and the Chairpersons of the House Gaming Oversight Committee and the Senate Community, Economic and Recreational Development Committee for review and comment.
Under section 5(c) of the Regulatory Review Act, IRRC and the House and Senate Committees were provided with copies of the comments received during the public comment period, as well as other documents when requested. In preparing the final-form rulemaking, the Board has considered all comments from IRRC, the House and Senate Committees and the public.
Under section 5.1(j.2) of the Regulatory Review Act (71 P. S. § 745.5a(j.2)), on November 30, 2012, the final-form rulemaking was deemed approved by the House and Senate Committees. Under section 5.1(e) of the Regulatory Review Act, IRRC met on December 13, 2012, and approved the final-form rulemaking.
Findings
The Board finds that:
(1) Public notice of intention to adopt these amendments was given under sections 201 and 202 of the act of July 31, 1968 (P. L. 769, No. 240) (45 P. S. §§ 1201 and 1202) and the regulations thereunder, 1 Pa. Code §§ 7.1 and 7.2.
(2) The final-form rulemaking is necessary and appropriate for the administration and enforcement of 4 Pa.C.S. Part II.
Order
The Board, acting under 4 Pa.C.S. Part II, orders that:
(a) The regulations of the Board, 58 Pa. Code Chapters 401a, 403a, 405a, 407a, 461a, 471a, 491a, 493a, 494a, 495a, 497a, 499a, 501a and 511a, are amended by deleting §§ 494a.3 and 494a.10 and amending §§ 401a.3, 403a.7, 405a.6, 407a.1, 461a.1, 461a.20, 471a.1, 491a.1—491a.5, 491a.7, 491a.8, 493a.1, 493a.2, 493a.4, 493a.5, 493a.7—493a.10, 493a.10a, 493a.11, 493a.12, 494a.1, 494a.4, 494a.6—494a.9, 495a.1, 495a.2, 495a.6, 497a.1, 499a.1, 499a.2, 501a.4 and 511a.1—511a.9 to read as set forth in Annex A, with ellipses referring to the existing text of the regulations.
(Editor's Note: Sections 491a.3, 497a.1, 511a.4 and 511a.8 were not included in the proposed rulemaking published at 41 Pa.B. 5373. Amendments to §§ 437a.2 and 437a.3 included in the proposed rulemaking have been withdrawn by the Board. The proposed rescission of § 511a.7 has been withdrawn by the Board and this section is amended in this final-form rulemaking.)
(b) The Chairperson of the Board shall certify this order and Annex A and deposit them with the Legislative Reference Bureau as required by law.
(c) This order shall take effect upon publication in the Pennsylvania Bulletin.
WILLIAM H. RYAN, Jr.,
Chairperson(Editor's Note: For the text of the order of the Independent Regulatory Review Commission relating to this document, see 42 Pa.B. 7877 (December 29, 2012).)
Fiscal Note: Fiscal Note 125-156 remains valid for the final adoption of the subject regulations.
Annex A
TITLE 58. RECREATION
PART VII. GAMING CONTROL BOARD
Subpart A. GENERAL PROVISIONS
CHAPTER 401a. PRELIMINARY PROVISIONS § 401a.3. Definitions.
The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise:
* * * * * Board—The Pennsylvania Gaming Control Board.
Board web site—www.gamingcontrolboard.pa.gov.
Central control computer—A central site computer controlled by the Department and accessible by the Board to which all slot machines communicate for the purpose of auditing capacity, real-time information retrieval of the details of a financial event that occurs in the operation of a slot machine, including, coin in, coin out, ticket in, ticket out, jackpots, machine door openings and power failure, and remote machine activation and disabling of slot machines.
* * * * * Nongaming employee—An employee of a slot machine licensee or a certified or registered gaming service provider who is not included within the definition of ''principal,'' ''key employee'' or ''gaming employee,'' and:
(i) Whose job duties require the employee to be:
(A) On the gaming floor but do not require the employee to touch or have contact with slot machines or associated equipment other than exterior cleaning.
(B) In a restricted area and the employee:
(I) Is under the constant supervision of an employee of the slot machine licensee who is licensed or permitted and has appropriate access clearance to be in the restricted area.
(II) Is not required to touch or have contact with slot machines or associated equipment other than exterior cleaning.
(ii) Who the Board determines, after a review of the work being performed, requires registration for the protection of the integrity of gaming.
* * * * *
CHAPTER 403a. BOARD OPERATIONS AND ORGANIZATION § 403a.7. Temporary emergency orders.
(a) Upon request of the Office of Enforcement Counsel in accordance with subsection (d), a temporary emergency order may be issued by the Executive Director of the Board or the Executive Director's designee. A temporary emergency order may be issued without a hearing and without advanced notice in accordance with this section.
(b) A temporary emergency order may be issued to do one of the following:
(1) Suspend a license, certification, permit or registration.
(2) Temporarily exclude a person from a licensed facility pending Board action on an underlying petition for exclusion.
(3) Direct that a person cease and desist engaging in specific conduct.
(c) A temporary emergency order may be issued if there is insufficient time to provide notice and hearing prior to suspension or exclusion; emergency suspension or exclusion is necessary to preserve the public health, welfare or safety, or the integrity of gaming in this Commonwealth; and the Executive Director has determined that one of the following has occurred:
(1) A person holding a license, certification, permit or registration issued by the Board has been charged with or convicted of a felony, a criminal gaming offense, or crime of dishonesty or false statement or other offense that would make the person ineligible or unsuitable to hold a license, permit, certification or registration.
(2) A person meets one or more of the criteria for exclusion or ejection under § 511a.3 (relating to criteria for exclusion or ejection).
(3) The action is necessary to prevent or cure a violation of any provision of the act, this part or other Federal or State laws or regulations.
(d) If the Office of Enforcement Counsel determines that circumstances exist which require that immediate action be taken against a person's license, certification, permit or registration, or to place a person on the exclusion list, the Office of Enforcement Counsel may submit a request for a temporary emergency order. The request will include:
(1) The circumstances upon which the request for a temporary emergency order was made.
(2) The legal grounds upon which the temporary emergency order is being requested.
(3) The specific relief sought.
(e) By the close of the next business day following its issuance, a temporary emergency order, together with the request required under subsection (d), will be filed with the Clerk.
(f) A temporary emergency order will specify that the person subject to the temporary emergency order may request an informal hearing before the Executive Director or a designee which will occur within 3 business days of filing the request for a hearing with the Clerk.
(g) The Bureau will serve the request and the issued order upon the person named in the temporary emergency order. Service required by this subsection will be made as expeditiously as possible following the issuance of the order and the request. Service will be made in the manner prescribed by § 491a.5 (relating to service).
(h) If a person files a request for an informal hearing, the hearing will be held before the Executive Director or a designee within 3 business days at a location determined in accordance with § 491a.8(e) (relating to hearings generally).
(i) At the conclusion of the informal hearing, the Executive Director or a designee will render a decision within 3 business days as to whether the temporary emergency order will continue, be modified or dissolved. Service of the decision will be made in accordance with § 491a.5.
(j) Unless the Executive Director or a designee dissolves the temporary emergency order, the Executive Director, in consultation with the Office of Chief Counsel, will refer the matter for a formal hearing before either:
(1) The Board to determine the validity of the suspension in accordance with subsection (m).
(2) The Office of Hearings and Appeals which will thereafter prepare a report and recommendation for the Board's consideration in accordance with subsection (p).
(k) If the person named in the temporary emergency order does not file a request for an informal hearing within 10 business days of the issuance of the temporary emergency order, the matter will be referred in accordance with subsection (j).
(l) Until the temporary emergency order is presented to the Board for consideration or the Office of Hearings and Appeals has issued its report and recommendation, the Executive Director or a designee may dissolve or modify a temporary emergency order previously issued.
(m) If the hearing is conducted by the Board, the Board may take one of the following actions upon conclusion of oral arguments and evidentiary presentations:
(1) If the Board finds that the facts and circumstances presented are sufficient to support the issuance of the emergency order, and that dissolution of the emergency order would pose a threat to the public health, safety or welfare, or the public's interest in the effective regulation of gaming demands the action, it may issue an order ratifying or modifying the order of suspension. The Board order may thereafter be appealed under § 494a.11 (relating to appeals).
(2) If the Board finds that there is insufficient cause to continue the emergency order, it may issue an order dissolving the emergency order and the privileges of the person named in the order will be reinstated.
(3) If the Board finds that further hearing is necessary, it may schedule a hearing or refer the matter to the Office of Hearings and Appeals for additional presentation of evidence and testimony of witnesses. In either case, the order of suspension will remain in effect, with or without modification as the Board deems appropriate.
(n) Board orders ratifying or dissolving temporary emergency orders will not have effect upon the power and duty of the Office of Enforcement Counsel to initiate, in its sole discretion, proceedings for violations of the act or this part or upon the outcome of any proceeding so initiated.
(o) Copies of the Board's final order will be served on the person named in the order in accordance with § 491a.5.
(p) If at any point the Board or Executive Director refers the matter to the Office of Hearings and Appeals, the formal hearing will be subject to the following requirements:
(1) The hearing before a presiding officer will occur no more than 15 business days after the Board or Executive Director refers the matter to the Office of Hearings and Appeals, unless a delay is requested by the person named in the temporary emergency order.
(2) Within 10 business days following the conclusion of the hearing, the presiding officer will forward a report and recommendation for action on the temporary emergency order to the Board. A copy of the report and recommendation will be served on the person named in the temporary emergency order in accordance with § 491a.5.
(3) Upon receipt of a report and recommendation from the Office of Hearings and Appeals, the matter will be placed on an upcoming Board meeting agenda for final consideration.
CHAPTER 405a. BUREAU OF INVESTIGATIONS AND ENFORCEMENT § 405a.6. Enforcement action.
(a) Upon a determination by the Office of Enforcement Counsel that sufficient facts exist to support enforcement action against a person holding a license, permit, certification or registration issued by the Board, the Office of Enforcement Counsel will initiate a complaint in accordance with § 493a.2 (relating to complaints), including a proposed order for an enforcement action and serve the complaint in accordance with § 491a.5 (relating to service).
(b) The complaint for an enforcement action will include a statement of the facts, the statute, regulation or statement of conditions that the person is being charged with violating and the remedy sought. The proposed order will be accompanied by a certificate of service demonstrating the date of service.
(c) Within 30 days from the date of service of complaint for an enforcement action, the person may file an answer in accordance with § 493a.5 (relating to answers to complaints, petitions, motions and other filings requiring a response) and serve a copy of the answer to the Office of Enforcement Counsel. Failure to file an answer within 30 days will be deemed:
(1) A waiver by the person of any right to an administrative hearing before the Board or the Office of Hearings and Appeals.
(2) An admission by the person of all matters and facts alleged in the proposed order for enforcement action.
(3) Consent by the person to the entry of a final order by the Board disposing of the enforcement matter.
(d) Upon the person's failure to file an answer within the prescribed 30 days, the Office of Enforcement Counsel will file with the Clerk a Request for Default Judgment and present the proposed enforcement order to the Board. The Board may, by order, adopt the proposed enforcement order.
(e) The Clerk will serve a copy of the Board's final order upon the person in accordance with § 491a.5.
CHAPTER 407a. PUBLIC ACCESS TO BOARD FILES § 407a.1. Case files.
(a) The Clerk will maintain a file for all formal records.
(b) Access to formal records will be governed by the following:
(1) Nonconfidential information in formal records will be available for inspection during normal Board business hours.
(2) A request for access to information will be addressed in accordance with the Right-to-Know Law (65 P. S. §§ 67.101—67.3104).
(c) The Board or its designee may issue protective orders sua sponte or by request of a party or may establish standards governing the protection of proprietary or confidential information for a given proceeding. All parties to a proceeding shall mark documents in accordance with the directives of the Board or its designee and in accordance with § 493a.10a (relating to motions to protect confidential information).
Subpart E. SLOT MACHINES AND ASSOCIATED EQUIPMENT
CHAPTER 461a. SLOT MACHINE AND TABLE GAME DEVICE TESTING AND CONTROL § 461a.1. Definitions.
The following words and terms, when used in this subpart, have the following meanings, unless the context clearly indicates otherwise:
* * * * * Reset amount—The award value that a progressive award will revert to after the progressive award is paid out.
Server supported slot system—One or more slot machines connected to a slot machine server and an associated computer network.
Skill—The application of intelligence and specific knowledge to achieve the best result when a slot machine offers a choice of options during game play.
Slot machine bill validator—A component, made up of software and hardware that accepts and reads instruments such as bills, vouchers and coupons, into gaming devices such as slot machines and automated gaming voucher and coupon redemption machines.
Slot machine server—A computer configured to receive, store, authenticate and download to slot machines, Board-approved slot machine game themes and other approved software.
Slot monitoring system—The collective hardware, software, communications technology and other ancillary equipment used to collect, monitor, interpret, analyze, authorize, report and audit data with regard to activity at slot machines, inclusive of slot machine meter readings, error conditions, slot machine security, accounting, player tracking and productivity analysis.
* * * * * § 461a.20. Server supported slot systems.
(a) A slot machine licensee may utilize a server supported slot system that complies with the minimum design standards and the submission, testing and approval requirements of §§ 461a.2—461a.7 and 461a.26.
(b) A server supported slot system must:
(1) Be capable of verifying that all component programs on the slot machine server are authentic copies of Bureau of Gaming Laboratory Operations approved component programs.
(2) Automatically verify the authenticity of the copies every 24 hours. A program used to verify the authenticity must reside on the slot machine server and be securely loaded from nonalterable media.
(3) Provide a visual notification identifying the invalid program if an error is detected.
(c) The slot machine licensee shall generate, and make available to Board staff, a report detailing the outcome of each automated verification including notifications identifying any invalid programs.
(d) Administrator access to server supported slot systems require the presence and participation of at least two departments. Dual access may be achieved using split passwords, dual keys or other suitable method. The slot machine licensee shall specify in its internal controls under § 465a.2 (relating to internal control systems and audit protocols) the two departments that have administrator access to the system and the method by which access will be achieved.
(e) A technical field representative shall be notified of the installation and loading of software on an approved slot machine server in accordance with § 461a.26 (relating to testing and software installation on the live gaming floor).
(f) Downloads of slot machine programs or computer files on a server supported slot system and activations, deactivations or changes thereto shall be controlled and implemented using scheduling software approved by the Bureau of Gaming Laboratory Operations. Except as otherwise authorized by the Board, written notice of downloads, schedules and changes shall be provided to the Bureau of Gaming Laboratory Operations, the Bureau of Casino Compliance Representatives and the Department at least 72 hours prior to implementation in accordance with § 461a.26.
(g) Access to slot machine programs or computer files on a server supported slot system may be provided at terminals in secure, restricted locations within the licensed facility as approved by the Bureau of Gaming Laboratory Operations. The slot machine licensee shall provide read-only access to the Bureau of Gaming Laboratory Operations and the Bureau of Casino Compliance.
(h) Prior to implementing a change to a feature or reconfiguring the server supported slot machine, the slot machine must be in idle mode for at least 2 minutes without errors or tilt conditions and with no play or credits on the machine.
(i) During the implementation of a change to a feature or the reconfiguration of the server supported slot machine, the slot machine must be disabled and rendered unplayable for at least 1 minute. During that time, a conspicuous message stating that a game configuration is being changed must be continuously displayed either on the slot machine's video screen or in another manner as approved by the Bureau of Gaming Laboratory Operations.
(j) A slot machine server shall, at a minimum, comply with § 461a.19 (relating to remote system access) and the technical standards of § 461b.5 (relating to remote computer access).
(k) A slot machine server:
(1) Shall be maintained in the slot machine server room in a locked computer rack or other secure area approved by the Bureau of Gaming Laboratory Operations.
(2) Must be dual key controlled with one key controlled by the slot operations department and the other key controlled by the information technology department.
(3) May not be accessed unless an employee from the slot operations department, the information technology department and a Board representative are present.
(l) All changes made to the slot machine server shall be stored in an unalterable log which must include, at a minimum:
(1) Time and date of access.
(2) Name and Board issued credential number or other secure username identifier of the person logging in.
(3) Identification numbers of the games added, deleted or changed.
(4) The history of changes to programs on each player terminal.
(5) Changes to the configuration of player terminal settings.
(m) Prior to adding or removing software from a server supported slot machine, changing any configuration or activating or deactivating a slot machine game on a server supported slot machine, a complete set of meter information for the slot machine shall be accurately communicated to a slot machine server, a slot monitoring system or other Board approved slot accounting system.
(n) Communication between the server, slot machine and any interface elements must utilize a protocol that includes proper error detection and recovery mechanisms designed to prevent unauthorized access or tampering, employing Data Encryption Standards or equivalent encryption with secure seeds or algorithms as approved by the Bureau of Gaming Laboratory Operations.
(o) With prior Board approval, a slot machine server may be connected to:
(1) Other slot operating systems of the licensee, including a slot monitoring system, accounting system or gaming voucher system, located in a secure location within the licensed facility where the slot machine server is located.
(2) A computer or other equipment operated by the Board or the Department to monitor and approve activity.
(p) Any approved connection utilized under subsection (o) must include, at a minimum:
(1) A secure, hard-wired, dedicated, exclusive network.
(2) A hardware firewall located between the slot machine server and the slot operating systems utilized by the licensee.
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