PENNSYLVANIA GAMING CONTROL BOARD
[58 PA. CODE CHS 401, 435, 437 AND 441]
Final Temporary Regulations; Vendor Registration and Certification
[35 Pa.B. 6411] The Pennsylvania Gaming Control Board (Board), under authority in 4 Pa.C.S § 1202(b)(14) (relating to general and specific powers), adopts temporary regulations to facilitate implementation of the provisions of 4 Pa.C.S. Part II (relating to gaming), enacted by the act of July 5, 2004 (P. L. 572, No. 71). The Board's temporary regulations will be added to Part VII (relating to Gaming Control Board). Subpart B, entitled Licensing, Registering, Certifying and Permitting, contains Chapter 435, entitled Employees and Chapter 437, entitled Vendor Registration and Certification. In addition, regulations will be added to Chapter 441, entitled Slot Machine Licensing.
Section 435.5 has been added to Chapter 435 to require the registration of a class of nongaming employees. Chapter 437 focuses primarily on the general application process for vendor registration and certification. Sections 441.15, 441.16 and 441.17 have been added to Chapter 441 and provide reporting requirements for slot machine licensees and applicants.
Purpose and Background
Under 4 Pa.C.S § 1203 (relating to temporary regulations), the Board is required to promulgate temporary regulations to facilitate the prompt implementation of Act 71. The regulations are necessary to enhance the credibility of the licensed operation of slot machines and associated equipment in this Commonwealth and to carry out the policy and purposes of the Board. In adopting the temporary regulations, the Board has considered the public comments submitted to the Board and the regulatory practices of other Commonwealth agencies and gaming jurisdictions.
Under 4 Pa.C.S § 1203, the temporary regulations adopted by the Board will expire no later than 3 years following the effective date of 4 Pa.C.S. Part II or upon promulgation of regulations as generally provided by the law. These temporary regulations are not subject to sections 201--205 of the act of July 31, 1968 (P. L. 769, No. 240) (45 P. S. §§ 1201--1205), known as the Commonwealth Documents Law (CDL), or to the Regulatory Review Act (71 P. S. §§ 745.1--745.15).
Paperwork
The Board will publish vendor registration and certification applications and other necessary forms for the administration of certifying and registering vendors.
Financial Impact
The regulations and 4 Pa.C.S. Part II will provide for the implementation and management of gaming within this Commonwealth and the collection of fees and taxes from entities and individuals authorized by the Board to be employed in, provide gaming related services or operate gaming facilities.
The appropriations from the State for the implementation of 4 Pa.C.S. Part II and costs of administering 4 Pa.C.S. Part II will be reimbursed by the licensed gaming entities as specified within 4 Pa.C.S. Part II. Individuals and entities that wish to obtain licenses as gaming entities shall pay to the gaming fund significant licensing fees to obtain the authority to do business within this Commonwealth. Part of these fees shall reimburse the Board and the Pennsylvania State Police for licensing processes and background investigations. The licensing and registration of individuals and other classes of licensees will be reimbursed by the individuals or licensees through fees established by the Board.
It is anticipated that all expenses of the Board and all associated activities shall be reimbursed by the applicants and gaming entities as previously specified. The Board will have no financial impact on the State budget.
Statutory Authority
Under 4 Pa.C.S. § 1203, the Board has authority to adopt and publish temporary regulations to implement the policies and purposes of 4 Pa.C.S. Part II.
Regulatory Review
Under 4 Pa.C.S. § 1203, the Board may adopt temporary regulations that are exempted from the Regulatory Review Act and sections 201--205 of the CDL. Under 4 Pa.C.S. § 1203, the Board has authority to adopt regulations that expire 2 years from the effective date of 4 Pa.C.S. Part II.
Findings
The Board finds that the adoption of the temporary regulations provided by this order is necessary and appropriate for the administration of the authorizing statute.
Order
The Board, acting under the authorizing statute, orders that:
(a) The Board acting under the authority of the Pennsylvania Race Horse Development and Gaming Act adopts as its final-form temporary regulations the draft regulations adopted by resolution at the July 21, 2005, Pennsylvania Gaming Control Board meeting. The temporary regulations of the Board, 58 Pa. Code Part VII, are amended by amending § 401.4 and by adding §§ 435.5, 437.1--437.10 and 441.15--441.17 to read as set forth in Annex A, with ellipses referring to the existing text of the regulations.
(b) The Board's final-form temporary regulations are designated as Title 58 Recreation, Part VII Gaming Control Board: Subpart B. Licensing, Registering, Certifying and Permitting, specifically Chapter 437 Vendor Registration and Certification.
(c) The temporary regulations are effective as of the date of this order.
(d) The temporary regulations will be posted in their entirety on the Board's website and published in the Pennsylvania Bulletin.
(e) The temporary regulations shall be subject to amendment as deemed necessary by the Board in accordance with the purpose of 4 Pa.C.S. Part II and to further the intent of 4 Pa.C.S. Part II.
THOMAS A. DECKER,
ChairpersonFiscal Note: 125-8. No fiscal impact; (8) recommends adoption.
Annex A
TITLE 58. RECREATION
PART VII. GAMING CONTROL BOARD
Subpart A. GENERAL PROVISIONS
CHAPTER 401. PRELIMINARY PROVISIONS § 401.4. Definitions.
The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise:
* * * * * Certified vendor--A vendor that holds a vendor certification.
* * * * * Gaming area--Any portion of a licensed facility where slot machines have been installed for use or play.
* * * * * Nongaming employee--An employee of a slot machine licensee or certified vendor whose duties are required to be performed in a gaming area or restricted area but who is not included within the definition of ''key employee qualifier,'' ''key employee'' or ''gaming employee,'' including, but not limited to, the following positions, regardless of job title:
(i) Bartender.
(ii) Cocktail server.
(iii) Persons solely engaged in preparing or serving food or beverages.
(iv) Clerical or secretarial personnel.
(v) Janitorial personnel.
(vi) Stage, sound and light technicians.
(vii) Other positions which the Board will determine based on detailed analyses by the Board of job descriptions as provided in the internal controls of the slot machine licensees as approved by the Board or provided in the slot machine licensee's verification of the location of vendor services included with the vendor registration or certification application.
* * * * * Regular or continuing basis--A vendor will be deemed to conduct business on a regular or continuing basis if:
(i) The total dollar amount of transactions with a single slot machine licensee or applicant is or will be greater than $200,000 within any consecutive 12-month period.
(ii) The total dollar amount of transactions with slot machine licensees or applicants is or will be greater than $500,000 within any consecutive 12 month period.
* * * * * Restricted area--Any area specifically designated by the Board as restricted, including:
(i) The cashiers' cage.
(ii) The soft count room.
(iii) The hard count room.
(iv) The slot booths.
(v) The surveillance room.
(vi) The slot machine repair room.
(vii) The progressive controller room.
(viii) The central control computer room.
(ix) The information technology department.
(x) The specific areas designated and approved by the Board for the conduct of gaming in the licensed facility.
(xi) Any additional area that a slot machine licensee designates a restricted in its approved internal controls.
* * * * * Vendor--A person who provides goods or services to a slot machine licensee or applicant, but who is not required to be licensed as a manufacturer, supplier or junket enterprise. The term includes:
(i) Suppliers of alcoholic beverages (other than the Liquor Control Board), food and nonalcoholic beverages.
(ii) Refuse handlers.
(iii) Vending machine providers and service personnel.
(iv) Linen and uniform suppliers.
(v) Janitorial and maintenance companies, not relating to the repair of slot machines or associated equipment.
(vi) Tenant businesses or franchises located within licensed facilities.
(vii) Providers of transportation services.
(viii) Companies, subcontractors and professionals involved in the construction of a facility for a slot machine licensee or applicant.
(ix) Lessors of real property or goods.
(x) Other entities which the Board will determine based on detailed analyses by the Board of vendor contracts.
Vendor certification--A certification issued by the Board authorizing a vendor to provide goods or services to a slot machine licensee or applicant.
Vendor registrant--A vendor that is registered with the Board.
Vendor registration--A registration issued by the Board authorizing a vendor to provide goods or services to a slot machine licensee or applicant.
Subpart B. LICENSING, REGISTERING AND PERMITTING
CHAPTER 435. EMPLOYEES § 435.5. Nongaming employee registration.
(a) In accordance with section 1318 of the act (relating to occupation permit application), the Board has the power to classify a category of nongaming employees.
(b) Nongaming employees shall apply for and receive a nongaming employee registration from the Board.
(c) An application for a nongaming employee registration must be on a form prescribed by the Board and include the following information:
(1) The name and address of the individual, to include the home address and residence history and all business addresses.
(2) Daytime and evening telephone numbers.
(3) Date of birth.
(4) Physical description of the applicant.
(5) Social Security number.
(6) Citizenship, and, if applicable, resident alien status, including employment authorization.
(7) Employment history, including gaming-related employment and contact information for prior employers.
(8) Verification of the applicant's employment or an offer of employment from a slot machine licensee or applicant or a certified vendor or vendor applicant.
(9) A description of the employment responsibilities of the individual and their relationship to the operation of the slot machine licensee or certified vendor.
(10) A signed, dated and notarized release authorization necessary to obtain information from governmental agencies and other institutions about the applicant.
(11) A description of the individual's arrests and convictions, if any.
(12) A photograph that meets the requirements prescribed by the Board.
(13) As deemed necessary by the Board, a set of fingerprints taken by the Pennsylvania State Police or a criminal justice agency designated by the Pennsylvania State Police and transmitted to the Pennsylvania State Police.
(14) Details relating to any similar licenses, permits or registrations obtained, denied or revoked in other jurisdictions.
(15) A nonrefundable application processing fee.
(16) Additional information requested by the Board.
(d) After review of the information required under subsection (c), the Board may register the individual if the individual has proven that he is qualified to be registered under this section.
(e) Nongaming employee registrations shall be submitted to the Board by a slot machine licensee or applicant or a certified vendor with a verification provided by the slot machine licensee or applicant or certified vendor confirming the location of the nongaming employee's duties at the licensed facility.
CHAPTER 437. VENDOR REGISTRATION AND CERTIFICATION Sec.
437.1. Vendor registration requirements. 437.2. Vendor Registration Form. 437.3. Vendor certification requirements. 437.4. Vendor Certification Application. 437.5. Active vendors list; prohibited vendors. 437.6. Existing agreements. 437.7. Permission to conduct business prior to certification. 437.8. Disqualification criteria. 437.9. Exemption from vendor registration or certification requirements. 437.10. Emergency vendor. § 437.1. Vendor registration requirements.
(a) Each slot machine licensee or applicant shall file a Vendor Registration Form with the Board to conduct business with a vendor if the total dollar amount of transactions with a slot machine licensee or applicant is or will be greater than $2,500 within any consecutive 12 month period, except as provided in §§ 437.3 and 437.7 (relating to vendor certification requirements; and permission to conduct business prior to certification).
(b) Vendor Registration Forms shall be submitted by a slot machine licensee or applicant with a verification provided by the slot machine licensee or applicant confirming the location of the vendor's services at the licensed facility.
(c) Vendor applicants for registration and registered vendors shall be subject to the general application, licensing and diversity participation requirements of Chapters 421, 423 and 481 (relating to general provisions; applications; and general provisions).
§ 437.2. Vendor Registration Form.
A Vendor Registration Form must be in a format prescribed by the Board requesting the following information:
(1) Any official or trade name used.
(2) Business address.
(3) Telephone number.
(4) The nature of the applicant's business and the type of goods or services to be provided and the name of the slot machine licensees or applicants to which the goods or services will be provided.
(5) Federal Employer Identification Number/Tax Identification Number.
(6) Whether the vendor is minority- or women-owned and controlled and the vendor's enterprise certification number, if any, as required by § 481.3 (relating to diversity participation).
(7) Form of business, state and date of incorporation or formation, if applicable.
(8) The date on which a formal acceptance of the agreement to conduct business with a slot machine licensee or applicant occurred and a description thereof including the expected duration and compensation.
(9) The name, address and percentage of ownership of each entity directly owning more than 5% of the vendor or its business.
(10) The names and addresses of each of the following:
(i) Any individual who entered into an agreement with or will deal directly with the slot machine licensee or applicant, including sales representatives; the immediate supervisors of those persons; and persons responsible for the office out of which the supervisors work.
(ii) Any officer, partner or director who will be significantly involved in the conduct of the vendor business with the slot machine licensee or applicant.
(iii) If the vendor is a sole proprietorship, the name of the sole proprietor.
(iv) Each beneficial owner of more than 5% of the vendor and the percentage of that ownership.
(11) The name, position or title and signature of the individual who supplied the information in the application.
(12) Properly executed forms for consents to inspections, searches and seizures; waivers of liability for disclosures of information and consents to examination of accounts and records in forms as prescribed by the Board.
(13) Other information requested by the Board.
§ 437.3. Vendor certification requirements.
(a) If a vendor will conduct business with a slot machine licensee on a regular or continuing basis, the vendor shall be certified by the Board prior to conducting business, except as provided in §§ 437.6 and 437.7 (relating to existing agreements; and permission to conduct business prior to certification).
(b) Notwithstanding the definition of ''regular or continuing basis,'' the Board may, at its discretion, require a vendor to apply for certification from the Board if one or more of the following apply:
(i) The Board determines certification is appropriate based on the Board's analysis of the vendor's services.
(ii) The vendor's employees will have access to a restricted area or gaming area.
(c) Vendor Certification Applications shall be submitted by a slot machine licensee or applicant with a verification provided by the slot machine licensee or applicant confirming the location of the vendor's services at the licensed facility.
(d) Vendor applicants for certification and certified vendors shall be subject to the general application, licensing and diversity participation requirements of Chapters 421, 423 and 481 (relating to general provisions; applications; and general provisions).
§ 437.4. Vendor Certification Application.
A Vendor Certification Application must consist of an application processing fee and be in a format prescribed by the Board requesting the following information:
(1) Any official or trade name used.
(2) Current and former business addresses.
(3) Telephone number.
(4) The nature of the applicant's business and the type of goods or services to be provided and the name of the slot machine licensees or applicants to which the goods or services will be provided.
(5) Federal Employer Identification Number/Tax Identification Number.
(6) Whether the vendor is minority- or women-owned and controlled and the vendor's enterprise certification number, if any.
(7) Form of business and a copy of the certificate of incorporation, charter, by-laws, partnership agreement, trust agreement or other basic documentation of the vendor.
(8) The date on which a formal acceptance of the agreement to conduct business with a slot machine licensee or applicant occurred and a copy of the agreement or in the absence of a written agreement, a description thereof, including the expected duration and compensation.
(9) The names and addresses of all subsidiaries.
(10) Whether the applicant has had any registration, license, permit or certificate granted, denied, suspended, conditioned or revoked by any government agency in this Commonwealth or any other jurisdiction, the nature of the registration, license, permit or certificate, the agency and its location, the date of the action and the facts related thereto.
(11) The names and addresses of each of the following:
(i) Any individual who entered into the agreement with or will deal directly with the slot machine licensee or applicant, including sales representatives; the immediate supervisors of the persons; and all persons responsible for the office out of which the supervisors work.
(ii) Any officer, partner or director who will be involved in the conduct of the vendor business with the slot machine licensee or applicant.
(iii) If the vendor is a sole proprietorship, the name of the sole proprietor.
(iv) Each beneficial owner of more than 5% of the vendor and the percentage of that ownership.
(12) The name, address and percentage of ownership of each entity directly owning more than 5% of the vendor or its business.
(13) A Vendor Certification Application for the applicant and for each affiliate, intermediary, subsidiary and holding company of the applicant.
(14) A Multi-Jurisdictional Personal History Disclosure Form and a Pennsylvania Supplement for each natural person who is a key employee qualifier or a Key Employee Qualifier Entity Form for each key employee qualifier that is an entity.
(15) The applicant's Federal tax returns and related documents for the 3 years, State tax returns, when appropriate and related documents for the year preceding application.
(16) Information regarding any judgments or petitions for bankruptcy or insolvency and any relief sought under any provision of the Federal Bankruptcy Act or any State insolvency law.
(17) Information regarding any civil, criminal, administrative and investigatory proceedings relating to the applicant and its key employees and key employee qualifiers.
(18) A diversity plan as set forth in section 1325(b) of the act (relating to license or permit issuance) and Chapter 481 (relating to general provisions), signed by the chief executive officer of the applicant.
(19) The name, position or title and signature of the individual who supplied the information in the application.
(20) Properly executed forms for consents to inspections, searches and seizures; waivers of liability for disclosures of information and consents to examination of accounts and records in forms as prescribed by the Board.
(21) Additional information requested by the Board.
§ 437.5. Active vendors list; prohibited vendors.
(a) The Board will maintain a list of active registered or certified vendors and a list of prohibited vendors.
(b) A slot machine licensee or applicant may not enter into an agreement or continue to do business with any vendor listed as a prohibited vendor.
(c) The Board will consider the following factors in determining whether a vendor will be listed as a prohibited vendor:
(1) The vendor has been found disqualified under § 437.8 (relating to disqualification criteria).
(2) The vendor's registration or certification is suspended, revoked or denied.
(3) The vendor is restricted from reapplication by action of the Board.
(4) The vendor is temporarily prohibited from doing business with slot machine license applicants or licensees by action of the Board.
(d) No person or entity may be removed from the list of prohibited vendors except as follows:
(1) By order of the Board.
(2) Upon expiration of the applicable period of restriction.
§ 437.6. Existing agreements.
(a) An applicant for a slot machine license who maintains an existing agreement with a noncertified or unregistered vendor shall file a vendor notification form on behalf of the vendor at the time of filing the slot machine license application or at a time directed by the Board.
(b) Upon the filing of the vendor notification form, the unregistered or noncertified vendor may be permitted to continue doing business with the slot machine license applicant provided that the slot machine license applicant, within 20 business days, submits to the Board the following:
(1) The slot machine license applicant certifies that it has performed due diligence on the vendor.
(2) The slot machine license applicant has filed a Vendor Registration Form or Vendor Certification Application on behalf of the vendor.
(3) Unless otherwise submitted under paragraph (2), the slot machine license applicant has submitted a copy of an existing written agreement or a precise written description of an oral agreement with the vendor to the Board.
(c) Notwithstanding the provisions of subsection (a), upon its review of the information pertaining to the vendor, the Board may, at its discretion, require termination of the agreement if the Board makes one or more of the following determinations:
(1) Disapproval of the agreement.
(2) Disapproval of the owners, officers, employees, or directors of the vendor.
(3) Denial of the vendor registration or certification.
§ 437.7. Permission to conduct business prior to certification.
(a) Notwithstanding §§ 437.1 and 437.3 (relating to vendor registration; and vendor certification requirements), the Board may, upon the written request of a slot machine licensee or applicant for each business transaction, allow an applicant for a vendor certification to conduct a business transaction with the slot machine licensee or applicant prior to the certification of the vendor applicant if the following criteria are met:
(1) A completed Vendor Certification Application has been filed by the slot machine licensee or applicant in accordance with § 437.3.
(2) The slot machine licensee or applicant shows good cause for granting the written request.
(b) Permission to conduct business under this section shall be limited to a period of 6 months, except that the Board may extend the relief for additional 6-month periods upon a showing of good cause by the slot machine licensee or applicant.
§ 437.8. Disqualification criteria.
A vendor registration or certification may be denied to any vendor applicant who has failed to prove by clear and convincing evidence that the vendor applicant or any of the persons required to be qualified, are in fact qualified in accordance with the act and with this part, or who has violated any of the provisions of the act or this part.
§ 437.9. Exemption from vendor registration or certification requirements.
(a) The following persons are exempt from the vendor registration requirements of § 437.1 (relating to vendor registration requirements) and the vendor certification requirements of § 437.3 (relating to vendor certification requirements):
(1) Entities which provide only one or more of the following services to a slot machine licensees which are the sole source provider of the services:
(i) Water.
(ii) Sewerage.
(iii) Electricity.
(iv) Natural gas.
(2) Regulated insurance companies providing insurance to the slot machine licensee or applicant and its employees.
(3) Employee benefit and retirement plans and related administrator including incorporated 401K plans and employee stock purchase programs.
(4) National or local professional associates that receive funds from the slot machine licensee for the cost of enrollment, activities and membership.
(5) State, Federal and municipal operated agencies.
(6) Liquor and wine industries regulated by the Liquor Control Board.
(7) State and Federally regulated banks or savings and loan associations where funds are deposited by slot machine licensees, not withstanding those sources or transactions provided to a slot machine licensee which require Board approval.
(8) Providers of professional services including accountants, attorneys or any person otherwise required to be licensed as such.
(9) Telecommunication service providers.
(10) Nationwide shipping services.
(11) Any person that engages in efforts to influence legislative action or administrative action on behalf of a principal for economic consideration.
(12) Public institutions of higher education.
(13) Professional entertainers, sports figures and other celebrities engaged by a slot machine licensee to appear at a slot machine licensee-sponsored special entertainment or promotional event.
(b) Nothing in this section shall be construed to bar any other business entities from seeking a waiver of vendor registration or certification requirements upon a showing of good cause.
(c) The Board may, in its sole discretion, revoke any exemption or waiver granted under this section and require any person to submit to the vendor registration and certification requirements under this part.
(d) This section does not relieve any slot machine licensee of any reporting obligations required by § 441.15 (relating to maintaining agreements; filing of agreements).
§ 437.10. Emergency vendor.
(a) A slot machine licensee may utilize an unregistered or noncertified vendor when a threat to public health, welfare or safety exists or circumstances outside the control of the slot machine licensee creates an urgency of need which does not permit the delay involved in using the formal method of vendor registration or certification.
(b) To make an emergency vendor procurement, the slot machine licensee shall:
(1) File a Vendor Notification Form with the Board within 72 hours of the vendor's commencement of services.
(2) Provide a written explanation to the Board of the basis for the emergency vendor procurement and for the selection of the particular vendor.
(3) File a Vendor Registration Form or Vendor Certification Application on behalf of the vendor within 20 business days of the filing of the Vendor Notification Form.
Subpart C. SLOT MACHINE LICENSING
CHAPTER 441. SLOT MACHINE LICENSES § 441.15. Maintaining agreements; filing of agreements.
(a) Maintaining agreements. Each slot machine licensee and applicant will be required to maintain all of the following:
(i) A fully signed copy of every written agreement.
(ii) Records with respect to any oral agreement.
(b) Changes or amendments to agreements. Slot machine licensees and applicants are under a continuing duty to maintain all changes or amendments to the terms of the agreements subject to subsection (a).
(c) Filing agreements. Each slot machine licensee shall submit the following to the Board:
(i) A fully signed copy of all written agreements with manufacturer licensees or applicants, supplier licensees or applicants and with vendors subject to certification under § 437.3 (relating to vendor certification requirements).
(ii) A precise written description of any oral agreement, in accordance with subsection (f), with a manufacturer licensees or applicants, supplier licensees or applicants and vendors subject to certification under § 437.3.
(d) Changes or amendments to filed agreements. Slot machine licensees and applicants are under a continuing duty to file all changes or amendments to the terms of the agreements subject to subsection (c).
(e) Additional agreements. Notwithstanding the requirements of subsection (c), slot machine licensees or applicants may be required to submit a copy of any written agreement or a precise written description of any oral agreement as requested by the Board.
(f) Oral agreements. Any written description submitted under this section shall provide, at a minimum, the following:
(1) The nature of the goods or services to be provided to the slot machine licensee or applicant.
(2) The full name and business address of the non-slot machine licensee or applicant party to the agreement.
(3) The duration of the agreement, or if provided in the agreement, the specific date or dates of performance.
(4) The financial terms of the agreement.
(5) A description of the goods or services provided, including the expected duration and compensation.
§ 441.16. Board review of agreements and records of agreements.
(a) The Board may review each agreement and record maintained or filed under § 437.4 or 441.15 (relating to Vendor Certification Application; and maintaining agreements; filing of agreements) to determine the following:
(1) The reasonableness of the terms of the agreement, including the terms of compensation.
(2) The qualifications of the persons involved in and associated with the agreement, after which the Board may make a finding as to the suitability of the persons to be involved or associated with the slot machine licensee or applicant.
(3) Whether any person involved therein or associated therewith is providing or likely to provide goods or services to, or conducting or likely to conduct business with, a slot machine licensee or applicant or its employees which requires a supplier license or a manufacturer license under section 1317 of the act (relating to supplier and manufacturer licenses application), in which case the Board will direct that a supplier or a manufacturer license application be promptly filed by the person.
(4) Whether any action is desirable or necessary to regulate, control or prevent economic concentration in any vendor industry or to encourage or preserve competition in any vendor industry.
(b) If the Board disapproves of an agreement or any person associated therewith, the Board may by order require the termination of the agreement or association or pursue any remedy or combination of remedies provided for in the act or this part. If the disapproved agreement or association is not thereafter promptly terminated, the Board may pursue any remedy or combination of remedies provided for in the act or this part. This subsection applies notwithstanding that the Board has granted an exemption under § 437.9 (relating to exemption from vendor registration or certification requirements) to any person involved in or associated with the agreement from the vendor certification requirements set forth therein.
(c) Each agreement maintained or filed under §§ 437.4 and 441.15 shall be deemed to include a provision for its termination without liability on the part of the slot machine licensee or applicant, or on the part of any qualified party to the agreement or any related agreement the performance of which is dependent upon the agreement, if the Board disapproves the agreement in accordance with subsection (b).
§ 441.17. Master purchasing and disbursement report.
(a) Each slot machine licensee or applicant shall generate a Master Purchasing and Disbursement Report for all vendor transactions. The report shall be submitted to the Board's Bureau of Licensing on the 22nd calendar day of each month by 5 p.m., unless that day is a Saturday, Sunday or a State or Federal holiday, in which case the report shall be provided by 5 p.m. on the first weekday thereafter. The report must include the following information:
(1) A payee register listing alphabetically by payee all nonpayroll transactions drawn by the slot machine licensee or applicant, including wire transfers and credits to vendors, and the following information next to the name of each payee:
(i) Vendor certification or registration number or exemption code.
(ii) Amount of each individual disbursement or credit.
(iii) Date of each individual disbursement or credit.
(iv) Subtotal of disbursements or credits by payee.
(v) The grand total of all disbursements made during the reporting periods.
(vi) The total summarizing all previous payments in the last 12 months beginning from the first payment date.
(2) A payee register listing alphabetically by payee all transactions drawn by any affiliate, intermediary, subsidiary, holding company or agent of the slot machine licensee or applicant for goods or services that benefit the slot machine licensee or applicant, including wire transfers and credits to vendors, and the following information next to the name of each payee:
(i) Vendor certification or registration number or exemption code.
(ii) Amount of each individual disbursement or credit.
(iii) Date of each individual disbursement or credit.
(iv) Subtotal of disbursements or credits by payee.
(v) The grand total of all disbursements made during the reporting periods.
(vi) The total summarizing all previous payments in the last 12 months beginning from the first payment date.
(3) A register listing alphabetically by vendor all transactions, including wire transfers and credits, in which the slot machine licensee or applicant itself acted in the capacity of a vendor by providing goods or services. The register must include:
(i) Vendor certification or registration number or exemption code of the vendor to whom the goods or services were provided.
(ii) Date of each individual transaction.
(iii) Amount of each individual transaction.
(iv) A general description of the type of goods or services provided.
(v) By vendor subtotals of payments or credits received by the slot machine licensee or applicant or disbursements or credits made by the slot machine licensee or applicant during the reporting period.
(vi) By vendor totals of payments or credits received or disbursements or credits made by the slot machine licensee or applicant within the applicable 12-month period.
(b) The reports shall be signed by the slot machine licensee or applicant and transmitted to the Board's Bureau of Licensing by means of electronic data transmission or in a form prescribed by the Board.
[Pa.B. Doc. No. 05-2161. Filed for public inspection November 18, 2005, 9:00 a.m.]
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