RULES AND REGULATIONS
Title 58—RECREATION
PENNSYLVANIA GAMING CONTROL BOARD
[58 PA. CODE CHS. 461a AND 469a]
Slot Machine, Table Game and Associated Equipment Testing and Control; Accounting and Internal Controls; Private Testing and Certification Facilities
[53 Pa.B. 6846]
[Saturday, November 4, 2023]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. §§ 1320(b.1), 13A41(b.1), 13B02, 13C02 and 3302, amends Chapter 461a (relating to slot machine and table game device testing and control) and adds Chapter 469a (relating to private testing and certification facilities) to read as set forth in Annex A.
Purpose of this Final-Form Rulemaking
This final-form rulemaking amends and adds to the existing body of regulation to provide standards for the registration of Private Testing and Certification Facilities in the Commonwealth.
Explanation
Chapter 461a is amended to provide procedures for the testing of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment at private testing and certification facilities. Previously this chapter only applied to slot machines, table game devices and associated equipment. However, with the gaming expansion in the amendments to the Pennsylvania Race Horse and Development and Gaming Act (4 Pa.C.S. §§ 1101—1904) to include interactive gaming, sports wagering and video gaming, the addition of these forms of games and gaming equipment to the testing requirements was necessary.
In addition to adding interactive gaming, sports wagering and video gaming, § 461a.3 (relating to testing and approval of games and gaming devices, generally) is amended to become inclusive of the games and gaming devices which were authorized as part of the 2017 gaming expansion. Additional amendments include appropriate cross references to interactive gaming, sports wagering and video gaming terminal sections of the Board's regulations. Subsection (e) is added to authorize testing of gaming devices at registered private testing and certification facilities (independent testing labs). Subsection (f) is added to clarify the process by which gaming devices that have been reviewed by approved independent labs shall become available for play in this Commonwealth.
Section 461a.4 (relating to submission for testing and approval) is amended to become inclusive of the games and gaming devices which were authorized as part of the 2017 gaming expansion. Subsection (g)(11) is added to provide required submission of a detailed report after an independent test lab review. Subsections (p), (q), (r) and (s) are added to provide for the abbreviated review and approval process required by 4 Pa.C.S. §§ 1320(b.1) and 13A41(b.1) (relating to slot machine testing and certification standards; and table game device and associated equipment testing and certification standards). Additionally, under these provisions, the Board's Executive Director shall approve or deny a completed submission to the Office of Gaming Laboratory Operations within 30 days of the submission when the game or gaming device submitted for testing has been reviewed by a private testing and certification facility. If the Office of Gaming Laboratory Operations requires more time to complete the review of the report from the testing facility, or the submission is deemed not complete, the 30 days may be tolled.
Chapter 469a is added to the Board's regulations. This chapter provides for the registration of a private testing and certification facility as a Registered Gaming Service Provider and sets forth the standards and requirements for registration. Section 469a.1 (relating to private testing and certification facilities generally) sets forth the general provisions of use of a private testing and certification facility by a manufacturer or gaming-related gaming service provider. Section 469a.2 (relating to registration of private testing and certification facilities) provides the registration process for private testing and certification facilities, including application requirements for both the entity and individuals who own or are in a position of authority of the facility. Section 469a.3 (relating to standards and procedures for private testing and certification facilities) establishes the standards that a private testing and certification facility must meet to be considered suitable for registration. Section 469a.4 (relating to responsibilities of a private testing and certification facility) provides the responsibilities that a private testing and certification facility must fulfill during its term of registration with the Board. Lastly, section 469a.5 (relating to registration term and renewal) sets forth the term and renewal of a registration.
Responses to Comments
The Board received comments from two members of the regulated/prospective regulated community, as well as comments from the Independent Regulatory Review Commission (IRRC). The responses to the comments follow:
1. Fanduel: Request for clarification on modifications to Internet games.
Concern was raised as to the interaction between the proposed amendment to § 461a.4(a) and § 810a.7 (relating to changes to game) of the Board's regulations which cover changes made to interactive games. It was concerned that as written, amended § 461a.4(a) would require lab testing for all changes made to interactive games approved for play under the interactive gaming regulations. Currently, under § 810a.7 of the regulations and associated Board policy and procedures, changes made in the normal course of business to Board approved interactive games are evaluated pursuant to change management guidelines. The Board does not intend to change its established process and procedures for evaluating changes made to interactive games as a result of the amendment to § 461a.4(a).
2. BMM: General recommendation for adoption of collective terminology in the proposed regulation.
A general comment was given suggesting that the Board use the collective terminology of ''gaming products and associated equipment'' in lieu of ''slot machines, table games, table games devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment'' and ''submitting entity'' rather than ''applicant for or holder of a manufacturer license to manufacture slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment, or a gaming related gaming service provider.'' The Board declined to adopt this recommendation to avoid potential confusion, as well as to retain consistent terminology usage throughout the entirety of the Board's regulations.
3. BMM: Clarification requested as to the timeline for document retention under § 469a.4(n).
A concern was raised as to the indeterminant timeline that was created under the initially proposed regulation language. This final-form rulemaking is amended to provide that submission and testing-related documentation shall be retained for a time as the tested item remains approved or authorized. This amended language is consistent with the document retention that the Board's Bureau of Gaming Laboratory Operations utilizes under the internal review process. Additionally, the independent test labs maintain the option to turn over the covered documents to the Board in lieu of maintaining these records themselves.
Additionally, the following comments were received from IRRC:
1. Compliance with the RRA and regulations of IRRC.
The preamble and RAF to this final-form rulemaking are amended as requested to further expand on the explanations provided and rationale for the regulatory revisions.
2. Section 461a.3. Testing and approval of games and gaming devices, generally—Clarity.
These clarity issues were addressed in Annex A of this final form rulemaking.
3. Section 461a.4. Submission for testing and approval—Clarity; Need; and Fiscal or economic impact.
IRRC reiterated the concerns expressed by Fanduel which previously expressed concern regarding the interaction of §§ 461a.4 and 810a.7 relating to changes to interactive games. Additionally, as there is no intention to change the current procedures for evaluation of changes to interactive games, there is no anticipated fiscal or economic impact.
4. Section 469.2. Registration of private testing and certification facilities.—Clarity.
These clarity issues are addressed in Annex A of this final-form rulemaking.
5. Section 469a.3. Standards for private testing and certification facilities.—Clarity.
These clarity issues are addressed in Annex A of this final-form rulemaking.
6. Section 469a.4. Responsibilities of a private testing and certification facility.—Clarity; Reasonableness of the requirements; and Economic and fiscal impacts.
This clarity issue was further clarified previously. Based upon the amendments made to Annex A, economic impact upon the regulated community is not anticipated.
7. Miscellaneous—Clarity
This clarity issue is addressed in Annex A of this final-form rulemaking.
Fiscal Impact
Commonwealth. The Board does not expect that this final-form rulemaking will have a fiscal impact on the Board or other Commonwealth agencies. Registration applications will be handled by existing Board staff, as will review of game or gaming device submissions.
Political subdivisions. This final-form rulemaking will not have fiscal impact on political subdivisions of this Commonwealth.
Private sector. This final-form rulemaking will provide manufacturers and gaming-related gaming service providers the opportunity to have their products reviewed by private testing and certification facilities and seek abbreviated approval by the Board. The testing by private testing and certification facilities will likely require fees to be paid by the party submitting a product for review but will provide for an expedited approval process with the Board, allowing the product to be offered for play or implementation quicker. The Board is not proposing a fee structure for registered private testing facilities to charge.
With regard to entities seeking registration with the Board as a private test facility, they will be required to pay an initial $500 application fee for the entity and $60 per principal or other individual requiring submission. The initial registration fee is $2,500 for a 5-year term, and $2,500 per 5-year renewal thereafter.
General public. This final-form rulemaking will not have a fiscal impact on the general public.
Paperwork Requirements
The private testing and certification facility seeking registration will be required to file an application and supplement with the Board. Additionally, any game or gaming product that is submitted to the Bureau of Gaming Laboratory Operations must be accompanied by a testing report prepared by the private testing and certification facility, in addition to the other required submission documents.
Effective Date
This 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)), the Board submitted a copy of the notice of proposed rulemaking, published at 52 Pa.B. 2211 (April 16, 2022) and a copy of the Regulatory Analysis Form to IRRC and to the Chairpersons of the House Gaming Oversight Committee and the Senate Community, Economic and Recreational Development Committee for review and comment.
Under section 5(c) of the Regulatory Review Act, the Board shall submit to IRRC and the Senate Committees copies of 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. With regards to this rulemaking, no comments were received from the Committees.
Under section 5.1(j.2) of the Regulatory Review Act (71 P.S § 745.5(j.2)) on July 12, 2023, 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 July 13, 2023, and approved this 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) referred to as the Commonwealth Documents Law, and the regulations thereunder, 1 Pa. Code §§ 7.1 and 7.2 (relating to notice of proposed rulemaking required; and adoption of regulations).
(2) This final-form rulemaking is necessary and appropriate for the administration and enforcement of 4 Pa.C.S. Parts II and III (relating to gaming; and video gaming).
Order
The Board, acting under 4 Pa.C.S. Parts II and III, orders that:
(1) The regulations of the Board, 58 Pa. Code Chapters 461a and 469a, are amended by amending §§ 461a.3 and 461a.4, and adding §§ 469a.1—469a.5 to read as set forth in Annex A with ellipses referring to the existing text of the regulations.
(2) The Chairperson of the Board shall certify this order and Annex A and deposit them with the Legislative Reference Bureau as required by law.
(3) This order shall take effect upon publication in the Pennsylvania Bulletin.
DENISE J. SMYLER,
Chairperson(Editor's Note: See 53 Pa.B. 4068 (July 29, 2023) for IRRC's approval order.)
Fiscal Note: Fiscal Note 125-240 remains valid for the final adoption of the subject regulations.
Annex A
TITLE 58. RECREATION
PART VII. GAMING CONTROL BOARD
Subpart E. SLOT MACHINE, TABLE GAME DEVICE AND ASSOCIATED EQUIPMENT TESTING AND CONTROL; ACCOUNTING AND INTERNAL CONTROLS
CHAPTER 461a. SLOT MACHINE, TABLE GAME DEVICE, INTERACTIVE GAME, SPORTS WAGERING DEVICE, VIDEO GAME TERMINAL, AND ASSOCIATED EQUIPMENT TESTING AND CONTROLS § 461a.3. Testing and approval of games and gaming devices, generally.
(a) In accordance with sections 1320, 13A41, 13B41 and 3701 of the act, slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment operated in this Commonwealth must be tested and approved in accordance with § 461a.4(g) (relating to submission for testing and approval) and Chapters 810a, 1112a and 1407a (relating to interactive gaming testing and controls; video gaming terminal, redemption terminal and associated equipment testing and certification; and sports wagering testing and controls).
(b) The general cost of establishment and operation of the Board's testing facility shall be paid by each manufacturer licensee and gaming related gaming service provider on a quarterly basis based upon each manufacturer's or gaming related gaming service provider's proportion of the total number of products reviewed.
(c) The Board will require payment of all costs for the testing and approval of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment submitted by manufacturers or gaming related gaming service providers or installed at a licensed facility or offered on an approved interactive gaming or interactive sports wagering web site or mobile application, or offered at a licensed truck stop establishment, based on the actual direct costs incurred by the Board.
(d) The Board will require a manufacturer licensee or gaming related gaming service provider seeking approval of a slot machine, table games, table game device, interactive game, sports wagering device, video gaming terminal or all associated equipment to pay all costs of transportation, inspection and testing.
(e) Testing of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment may also be conducted at registered private testing and certifications facilities in accordance with sections 1320(b.1), 13A41(b.1), 13B02(a)(2) and 3701(e) of the act and Chapter 469a (relating to private testing and certification facilities), and a report of the testing shall be provided to the Board for abbreviated certification and approval.
(f) The Bureau of Gaming Laboratory Operations shall review the report from the registered private testing and certification facility, and prior to installation or use of a slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal and all associated equipment at a licensed facility, on an authorized interactive gaming or sports wagering web site or mobile application, or at a licensed truck stop establishment shall report the findings to the Board's Executive Director for abbreviated certification and approval in accordance with § 461a.4.
§ 461a.4. Submission for testing and approval.
(a) A slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal or all associated equipment identified in subsection (c) (collectively referred to as ''products'' or ''equipment, device or software''), or a modification thereto, may not be offered for sale, lease or distribution for ultimate use by a licensee in this Commonwealth unless a prototype identical in all mechanical, electrical, electronic and other respects has been tested by the Bureau of Gaming Laboratory Operations and approved by the Board's Executive Director.
(b) When an applicant for, or holder of, a license develops software or a system that is functionally equivalent to any of the slot systems or table game systems enumerated in subsection (c), interactive game systems, sports wagering systems or video gaming terminal systems, that software or system shall be subject to the testing and approval process of this subpart to the same extent as if the software or system were developed by an applicant for, or holder of, a manufacturer license. Any reference in this subpart to the responsibilities of a manufacturer applies to an applicant for, or holder of, a license developing software or systems subject to testing and approval under this subpart.
(c) For the purposes of this section, slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment that shall be submitted for testing and approval include:
(1) Slot machines, including bill validators and printers.
(2) Slot monitoring systems, to the extent the systems interface with slot machines and related systems.
(3) Casino management systems, to the extent the systems interface with slot machines and related systems.
(4) Player tracking systems, to the extent the systems interface with slot machines and related systems.
(5) Progressive systems, including wide area progressive systems.
(6) Gaming voucher systems.
(7) External bonusing systems.
(8) Cashless funds transfer systems.
(9) Machines performing gaming voucher, coupon or jackpot payout transactions.
(10) Coupon systems, to the extent the systems interface with slot machines and related systems.
(11) Other related systems.
(12) Table game devices including:
(i) Electronic gaming tables as described in § 605a.4 (relating to electronic gaming tables).
(ii) Fully automated electronic gaming tables as described in § 605a.5 (relating to fully automated electronic gaming tables and electronic wagering terminals).
(iii) Progressive table game systems as described in § 605a.7 (relating to progressive table games).
(iv) Automated card shuffling devices as described in § 603a.17 (relating to dealing shoes; automated card shuffling devices).
(v) Electronic dealing shoes as described in § 603a.17.
(vi) Electronic wagering systems as described in § 605a.2 (relating to electronic wagering systems).
(vii) Electronic wagering terminals as described in § 605a.5.
(viii) Hybrid gaming tables as described in § 605a.9 (relating to hybrid gaming tables).
(13) Interactive games and interactive gaming platforms and systems.
(14) Sports wagering terminals and ticket redemption terminals.
(15) Video gaming terminals, including bill validators and ticket printers.
(16) Video gaming voucher redemption terminals.
(17) Video gaming terminal tracking and reporting systems.
(d) Slot machine prototypes, table game prototypes, table game device prototypes, interactive game and platform prototypes, sports wagering device prototypes, video gaming terminal prototypes, and all associated equipment prototypes, and modifications thereto, which are subject to testing and approval under this section will be evaluated by the Bureau of Gaming Laboratory Operations for overall operational integrity and compliance with the act, this subpart and technical standards adopted by the Board as published in the Pennsylvania Bulletin and posted on the Board's web site. In addition, with regard to any slot machine, fully automated electronic gaming table, electronic wagering terminal or modification thereto, the Bureau of Gaming Laboratory Operations will test for compatibility and compliance with the central control computer and protocol specifications approved by the Department including the ability to communicate with the central control computer for the purpose of transmitting auditing program information, real time information retrieval and activation and disabling of slot machines, fully automated electronic gaming tables and electronic wagering terminals.
* * * * * (g) When an applicant for, or holder of, a manufacturer license to manufacture slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment or a gaming related gaming service provider seeks Board approval of a slot machine prototype, table game prototype, table game device prototype, as described in subsection (c)(12), interactive game and platform prototypes, sports wagering device prototype, video gaming terminal prototype, associated equipment prototype, or any modification thereto, the manufacturer or gaming related gaming service provider shall submit to the Bureau of Gaming Laboratory Operations the following:
* * * * * (10) In the case of gaming related services, as described in § 613a.1 (relating to definitions; general requirements), which are submitted by an applicant for or holder of a manufacturer license or gaming related gaming service provider certification:
* * * * * (v) Sketches or pictures of the equipment used to play the game.
(11) In the case of slot machines, table games, table games devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment or modifications thereto that have been tested by a registered private testing and certification facility, the manufacturer or gaming related gaming service provider shall direct the facility to provide to the Bureau of Gaming Laboratory Operations for review a detailed report from the registered private testing and certification facility regarding the scope of the testing and the results of the testing performed on the slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal, and all associated equipment or modification made thereto, in addition to all other items required in the specific submission checklist to be provided by the manufacturer or gaming related gaming service provider.
(h) At the conclusion of testing of a prototype or modification by the Bureau of Gaming Laboratory Operations, but prior to a decision to approve a prototype or modification, the Board's Executive Director may require a trial period of scope and duration as he deems appropriate to assess the operation of the prototype or modification in a live gaming environment. The conduct of the trial period shall be subject to compliance by the licensed manufacturer, licensed manufacturer designee, applicable licensed suppliers, gaming related gaming service provider and the slot machine licensee with specific terms and conditions as may be required by the Board's Executive Director, which may include development and implementation of product specific accounting and internal controls, periodic data reporting to the Board's Executive Director and compliance with technical standards on trial periods or the prototype or modification adopted by the Board as published in the Pennsylvania Bulletin and posted on the Board's web site. The Board's Executive Director may authorize the receipt of compensation by a licensed manufacturer, licensed manufacturer designee, licensed supplier or gaming related gaming service provider during the trial period. The Board's Executive Director may order termination of the trial period if it determines that the licensed manufacturer, licensed manufacturer designee, applicable licensed suppliers, gaming related gaming service provider or the slot machine licensee conducting the trial period has not complied with the terms and conditions required by the Board's Executive Director or that the product is not performing as expected.
(i) At the conclusion of testing of a prototype or modification or after review of the report provided by the registered private testing and certification facility, the Bureau of Gaming Laboratory Operations will report to the Board's Executive Director the results of its testing and the results from the private testing and certification facility, if applicable. Upon receipt of the Bureau of Gaming Laboratory Operations' report, the Board's Executive Director will either:
* * * * * (k) A licensee is prohibited from installing in its licensed facility or otherwise offering for play equipment, device or software, or modification thereto, that is required to be tested unless the equipment, device or software has been approved by the Board's Executive Director. A licensee may not modify, alter or tamper with an approved slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal or any associated equipment. Equipment, devices, or software installed in a licensed facility or otherwise offered for play in contravention of this requirement will be subject to seizure by the Board.
(l) Notwithstanding subsection (k), the Board's Executive Director may authorize installation of a modification to a slot machine prototype, table game prototype, table game device prototype, interactive game or platform prototype, sports wagering device prototype, video gaming terminal prototype or any associated equipment prototype on an emergency basis to prevent cheating or malfunction, upon the written request of a licensed manufacturer. The request must expressly detail the name and employer of any persons to be involved in the installation of the modification and the manner in which it is to be effected. Within 15 days of receipt of any authorization to install an emergency modification, the manufacturer shall submit the modification for full testing and approval in accordance with this subpart.
(m) A licensee shall immediately notify the Bureau of Gaming Laboratory Operations and the casino compliance representatives at the licensed facility, the Bureau of Gaming Operations for interactive gaming, the Office of Sports Wagering Operations, or the Bureau of Casino Compliance for video gaming of any known or suspected defect or malfunction in any slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal or any associated equipment installed in its licensed facility or on its interactive gaming web site or mobile application. The licensee shall comply with instructions issued by the Bureau of Gaming Laboratory Operations with regard to the continued operation of the slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal or any associated equipment.
(n) Concurrent with the initial receipt of slot machines, a slot machine licensee shall file a slot machine master list as required by § 463a.5 (relating to slot machine, electronic wagering terminal and fully automated electronic gaming table master lists).
(o) The testing of equipment, devices or software under this subpart may require the dismantling of the product and testing that may result in damage to, or destruction of, one or more systems or components. Once submitted for testing, equipment, devices or software will not be returned to the manufacturer.
(p) The Executive Director shall approve, approve with conditions, reject the submitted prototype or modification or require additional testing or a trial period under subsection (h) within 30 days of the complete submission of a slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal and all associated equipment by a manufacturer or gaming related gaming service provider that has been submitted to the Board for abbreviated certification with a testing report from a registered private testing and certification facility. The following apply:
(i) A submission will not be considered complete if it does not contain all necessary documentation as required by subsection (g)(11).
(ii) If after the submission is made the Bureau of Gaming Laboratory Operations determines that a submission is incomplete, the manufacturer or gaming related gaming service provider will be given written notice of the deficiencies in the submission.
(iii) In the instance of an incomplete submission, the 30-day review for abbreviated certification will only begin when the manufacturer or gaming related gaming service provider provides the supplemental information to the Bureau of Gaming Laboratory Operations.
(q) If the Executive Director fails to approve, approve with conditions, reject the submitted prototype or modification or require additional testing or a trial period under subsection (h) within 30 days of the completed submission a slot machine, table game device, interactive game, sports wagering device, video gaming terminal and all associated equipment submitted to the Board for abbreviated certification, the abbreviated certification shall be deemed conditionally approved until the Executive Director renders a decision under subsection (i).
(r) If a manufacturer or gaming related gaming service provider has provided a complete submission to the Bureau of Gaming Laboratory Operations for abbreviated certification but the review of the submission cannot feasibly be completed within 30 days, the manufacturer or gaming related gaming service provider will receive written notice tolling the review of the submission until a time as a review of the submission can be completed.
(s) If during the 30-day review period in subsection (p), the Bureau of Gaming Laboratory Operations preliminarily determines that a complete submission of a slot machine, table game, interactive game, sports wagering device, video gaming terminal and all associated equipment contains an issue or insufficiency likely to negatively affect the integrity of gaming operations, the Bureau of Gaming Laboratory Operations, by written notice to the manufacturer or gaming related gaming service provider, will do all of the following:
(i) Specify the nature of the insufficiency.
(ii) Direct that the 30-day review period in subsection (p) be tolled and that any slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal or any associated equipment not be implemented until approved under subsection (q).
CHAPTER 469a. PRIVATE TESTING AND CERTIFICATION FACILITIES Sec.
469a.1. Private testing and certification facilities generally. 469a.2. Registration of private testing and certification facilities. 469a.3. Standards and procedures for private testing and certification facilities. 469a.4. Responsibilities of a private testing and certification facility. 469a.5. Registration term and renewal. § 469a.1. Private testing and certification facilities generally.
(a) Manufacturers of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment or gaming related gaming service providers may submit products required to be tested under Chapter 461a (relating to slot machine, table game device, interactive game, sports wagering device, video game terminal, and associated equipment testing and controls) to a private testing and certification facility registered with the Board under this chapter.
(b) Manufacturers of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment or gaming related gaming service providers shall be responsible for any fees or costs imposed by the private testing and certification facility.
(c) Manufacturers of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment or gaming related gaming services providers shall be responsible for all costs incurred by the Board in reviewing the report issued by the private testing and certification facility and approving the slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal or any associated equipment.
(d) Slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment tested by a private testing and certification facility shall be considered under the abbreviated certification and approval process under § 461a.4 (relating to submission for testing and approval).
§ 469a.2. Registration of private testing and certification facilities.
(a) A private testing and certification facility seeking to test slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment for use in this Commonwealth shall register with the Board.
(b) A private testing and certification facility shall do all of the following:
(1) Submit a completed Gaming Service Provider Registration Form and Private Testing and Certification Facility supplement.
(2) Submit the nonrefundable application fee posted on the Board's web site, which includes the costs of all background investigation.
(3) Comply with the general application requirements in Chapters 421a and 423a (relating to general provisions; and applications; statement of conditions; wagering restrictions).
(4) Submit fingerprints of the following individuals in a manner prescribed by the Bureau:
(i) Each officer and director of the private testing and certification facility. For purposes of this subparagraph, ''officer'' means a president, chief executive officer, a chief financial officer and a chief operating officer, and any person routinely performing corresponding functions with respect to an organization whether incorporated or unincorporated.
(ii) Each individual who has a direct or indirect ownership or beneficial interest of 10% or more or the officers and directors of an entity who have a direct ownership or beneficial interest of 20% or more in the private testing and certification facility, if not otherwise required under subparagraph (i).
(c) A person who holds any direct or indirect ownership or beneficial interest in private testing and certification facility or has the right to any profits or distributions directly or indirectly, from the private testing and certification facility may be required to submit fingerprints if the Bureau determines that the submission of fingerprints of the person is necessary to protect the public interest or to enhance the integrity of gaming in this Commonwealth.
(d) Each of the individuals required to submit fingerprints under subsections (b)(4) and (c) must be found qualified by the Board under § 437a.4 (relating to qualification of individuals and entities).
(e) A private testing and certification facility registration will not be issued until all fees and costs have been paid.
(f) The Board will maintain a list of registered private testing and certification facilities.
§ 469a.3. Standards and procedures for private testing and certification facilities.
(a) A private testing and certification facility shall meet all of the following requirements:
(1) Be independent from any manufacturer of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment or gaming related gaming service provider licensed by the Board.
(2) Be accredited in accordance with ISO/IEC 17025 by an accreditation body that is a signatory to the International Laboratory Accreditation Cooperation Mutual Recognition Agreement.
(3) Demonstrate it is technically competent in testing of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals, or all associated equipment in a manner acceptable to and verified by the Bureau of Gaming Laboratory Operations.
(b) A private testing and certification facility and its owners, managers, supervisory personnel and employees may not do any of the following:
(1) Have a financial interest or a controlling interest, direct or otherwise, in a manufacturer of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment or gaming related gaming service providers licensed by the Board.
(2) Participate, consult or otherwise be involved in the design, development, programming or manufacture of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment.
(3) Have any other interest in or involvement with a manufacturer of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment or gaming related gaming service providers that could cause the private testing and certification facility to act in a manner that is not impartial.
§ 469a.4. Responsibilities of a private testing and certification facility.
(a) A holder of a private testing and certification facility registration shall have a continuing duty to comply with the general requirements in Chapters 421a and 423a (relating to general provisions; and applications; statement of conditions; wagering restrictions).
(b) A private testing and certification facility shall notify the Board immediately if a manufacturer of slot machines, table games, table game devices, interactive games, sports wagering devices, video gaming terminals and all associated equipment or a gaming related gaming service provider licensed by the Board does any of the following:
(1) Attempts, directly or indirectly, to influence improperly a private testing and certification facility or its owners, managers, supervisory personnel and employees, in regard to a slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminals, or all associated equipment, that it, or another person or entity, has submitted for testing or certification for use in a licensed facility, on an authorized interactive gaming or sports wagering web site or mobile application, or at a licensed truck stop establishment.
(2) Engages in any transaction with a private testing and certification facility that the manufacturer or gaming related gaming service provider is using, has used or intends to use to inspect or certify a slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminals, or all associated equipment for use in a licensed facility, on an authorized interactive gaming or sports wagering web site or mobile application, or at a licensed truck stop establishment, in which the private testing and certification facility is required to participate, consult or otherwise be involved in the design, development, programming or manufacture of these items. This restriction does not limit a manufacturer or gaming related gaming service provider from engaging the private testing and certification facility to provide consulting services, provided that the services do not directly or indirectly indicate, suggest or imply how to design, develop, program or manufacture these items.
(c) Private testing and certification facilities shall maintain copies of the results of any ISO/IEC 17025 audits or reviews and shall notify the Board in writing of the availability of the results within 15 days of when the results become available to the private testing and certification facility. These copies shall be provided to the Board upon request.
(d) In the interest of preserving the integrity of gaming in the Commonwealth, a private testing and certification facility shall not implement or maintain any procedure or policy or take any action that would do any of the following:
(1) Inhibit or prevent a manufacturer or gaming related gaming service provider from submitting a slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal and all associated equipment, for testing and certification for use in any form of regulated gaming in the Commonwealth.
(2) Call into question or tend to erode the independence of the private testing and certification facility from any clients that use the services of the facility.
(e) A private testing facility shall maintain a version-controlled system of testing documentation and methodologies that the facility uses to provide certification and these materials shall be made available to the Board upon request.
(f) Testing shall be conducted in accordance with Chapters 461a, 810a, 1112a and 1407a and all technical standards, policies and industry notices that the Board may implement or issue.
(g) A private testing and certification facility shall not use, rely on or otherwise refer to any testing, results or work product performed by another private testing and certification facility for any slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal and all associated equipment that has not previously been approved in writing by the Board.
(h) A private testing and certification facility shall implement and maintain a system of peer review to monitor the quality of the testing and certification procedures performed by the facility.
(i) A private testing and certification facility shall consult with the Board prior to testing, evaluating, analyzing, certifying, verifying or rendering opinions for or on behalf of the Board relating to any new technology or concept.
(j) A private testing and certification facility shall consult the Board on any questions relating to the testing and certification of any slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal, and all associated equipment.
(k) A private testing and certification facility shall keep confidential all information and data prepared or obtained as part of the testing and certification process.
(l) A private testing and certification facility shall implement and maintain security and access control systems designed to secure and protect the confidentiality of all equipment, software and other information entrusted to it as part of the testing and certification process.
(m) A private testing and certification facility shall maintain all test equipment in accordance with the manufacturer's specifications and recommendations and shall provide the Board with evidence of this upon demand.
(n) A private testing and certification facility shall retain all submission and testing-related documentation for such time as the tested item remains approved or authorized for use in this Commonwealth. The records may be maintained in electronic form. The obligation to maintain the records continues even if the private testing and certification facility ceases to be registered with the Board or otherwise ceases its business operation. The private testing and certification facility may turn the records over to the Board in electronic form as an alternative to having to maintain the records after the facility is no longer registered or after the facility ceases business operation.
(o) The Board may conduct periodically an onsite evaluation and review of each private testing and certification facility to evaluate certification results and to verify continued compliance with all registration requirements and protocols.
(p) The Board may establish a system to evaluate the continued quality of the testing and certification performed by a private testing and certification facility which would be posted on the Board's web site.
(q) A private testing and certification facility, its employees, management and owners shall remain independent of any licensed manufacturer of slot machines, table games, table game devices, interactive games, sports wagering device, video gaming terminals and all associated equipment or gaming related gaming service provider.
(r) A private testing and certification facility employee who was employed by, or performed any work for, a manufacturer or gaming related gaming service provider licensed by the Board within 1 year prior to the person's date of employment with the private testing and certification facility may not be permitted to inspect or certify any slot machine, table game, table game device, interactive game, sports wagering device, video gaming terminal and all associated equipment for use in a licensed facility, on an authorized interactive gaming or sports wagering web site or mobile application, or at a licensed truck stop establishment, with which the person had any involvement whatsoever while employed by the manufacturer or gaming related gaming service provider.
(s) Failure to fully comply with any provision contained herein constitutes a violation and may result in Board-imposed administrative sanctions, up to and including revocation, against the individual or entity to whom the registration was issued.
§ 469a.5. Registration term and renewal.
(a) Private testing and certification facility registrations and renewals issued under this chapter will be valid for 5 years from the date of Board approval.
(b) Registered private testing and certification facilities shall submit to the Board a completed renewal application or form and renewal fee at least 6 months prior to the expiration of a registration.
[Pa.B. Doc. No. 23-1507. Filed for public inspection November 3, 2023, 9:00 a.m.]
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