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PA Bulletin, Doc. No. 06-1755


[58 PA. CODE CHS. 451 AND 471]

Recordkeeping and Fees

[36 Pa.B. 5700]
[Saturday, September 9, 2006]

   The Pennsylvania Gaming Control Board (Board), under the general authority in 4 Pa.C.S. § 1202(b)(14) and the specific authority in 4 Pa.C.S. §§ 1207(3), 1208, 1209(d), 1308 and 1322, proposes to adopt Chapters 451 and 471 (relating to recordkeeping requirements; and filing fees) to read as set forth in Annex A.

Purpose of the Proposed Rulemaking

   Under the authority granted to the Board under 4 Pa.C.S. § 1203 (relating to temporary regulations), the Board initially adopted temporary regulations in Chapters 451 and 471 at 35 Pa.B. 4045 (June 16, 2005). Under 4 Pa.C.S. Part II (relating to gaming), the temporary regulations expire on July 5, 2007.

   The Board is proposing to replace the temporary regulations with the permanent regulations in this proposed rulemaking.

Explanation of Chapters 451 and 471

   Chapter 451 contains general provisions that address the recordkeeping requirements for manufacturer, supplier, junket enterprise, management company and slot machine licensees and registered and certified vendors.

   Amendments to the temporary regulations in this proposed rulemaking include a large number of editorial changes intended to improve the clarity of the language in the temporary regulations. The proposed rulemaking also expands the applicability of the provisions to include other regulated entities that were not originally covered when the temporary regulations were promulgated.

   Chapter 471 addresses the applicants' obligation to pay fees required by the Board, the method of payment, the nature of the fees and the publication of a fee schedule by the Board.

   Amendments to the temporary regulations in this proposed rulemaking are primarily editorial and are intended to improve the clarity of the regulations. The proposed rulemaking also expands the applicability of the temporary regulations to include other regulated entities that were not covered in the temporary regulations. Some of the language in § 471.3 (relating to adjustment of fees) has been moved to § 471.1 (relating to fees generally) for clarity purposes. Temporary § 471.2 has been deleted as it is duplicative of other provisions.

Affected Parties

   This proposed rulemaking imposes requirements on applicants for and holders of a license, permit, registration or certification.

Fiscal Impact

   Under 4 Pa.C.S. §§ 1401 and 1402 (relating to slot machine licensee deposits; and gross terminal revenue deductions), the costs and expenses of the Board, the Pennsylvania State Police, the Office of Attorney General and the Department of Revenue incurred in carrying out the responsibilities imposed by 4 Pa.C.S. Part II will be recovered from the slot machine licensees. Accordingly, the costs identified will be borne by the slot machine licensees, not the General Fund.


   This proposed rulemaking will have no significant fiscal impact on the Commonwealth.

Political Subdivisions

   This proposed rulemaking will have no significant fiscal impact on political subdivisions of the Commonwealth.

Private Sector

   Applicants for or holders of a license, permit, registration or certification will experience costs associated with the payment of fees for applications and other documents submitted to the Board for which a filing fee is required. These entities and individuals will also experience costs as a result of the cost of the investigations by the Bureau of Investigations and Enforcement. Applicants for or holders of a license, registration or certification may also experience some increased costs to comply with the document retention and storage requirements.

General Public

   This proposed rulemaking will have no fiscal impact on the general public.

Paperwork Requirements

   This proposed rulemaking does not impose new reporting or paperwork requirements on the Board or affected parties under the Board's jurisdiction. This proposed rulemaking clarifies how the applicants and holders of licenses, registrations and certifications must maintain certain records.

Effective Date

   The proposed rulemaking will become effective upon final-form publication in the Pennsylvania Bulletin.

Public Comments

   Interested persons are invited to submit written comments, suggestions or objections regarding the proposed rulemaking within 30 days after the date of publication in the Pennsylvania Bulletin to Paul Resch, Secretary, Pennsylvania Gaming Control Board, P. O. Box 69060, Harrisburg, PA 17106-9060, Attention: Public Comment on Regulation #125-46.

Contact Person

   The contact persons for questions about this proposed rulemaking are Richard Sandusky, Director of Regulatory Review, (717) 214-8111, and Michelle Afragola, Deputy Director of Regulatory Review, (610) 943-1338.

Regulatory Review

   Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), on August 28, 2006, the Board submitted a copy of this proposed rulemaking and a copy of a Regulatory Analysis Form to the Independent Regulatory Review Commission (IRRC) and to the Chairpersons of the House Tourism and Recreational Development Committee and the Senate Committee on Rules and Executive Nominations. A copy of this material is available to the public upon request.

   Under section 5(g) of the Regulatory Review Act, IRRC may convey any comments, recommendations or objections to the proposed rulemaking within 30 days of the close of the public comment period. The comments, recommendations or objections must specify the regulatory review criteria which have not been met. The Regulatory Review Act specifies detailed procedures for review, prior to final publication of the rulemaking, by the Board, the General Assembly and the Governor of comments, recommendations or objections raised.


   Fiscal Note:  125-46. No fiscal impact; (8) recommends adoption.

Annex A






451.1.Recordkeeping generally.

§ 451.1.  Recordkeeping generally.

   (a)  All manufacturer, supplier, junket enterprise, management company and slot machine licensees and all registered and certified vendors shall maintain adequate records of business operations which shall be made available to the Board upon request. These records shall be kept onsite in this Commonwealth in a place secure from theft, loss or destruction or at another secure location approved by the Board. These records include:

   (1)  Correspondence with the Board and other local, Commonwealth and Federal governmental agencies.

   (2)  Correspondence concerning gaming equipment with a manufacturer, supplier, management company or slot machine licensee.

   (3)  Copies of all promotional material and advertising.

   (4)  A personnel file on each current and former employee.

   (5)  Financial records of all transactions concerning slot machines and associated equipment with a manufacturer, supplier, management company or slot machine licensee.

   (6)  Copies of all tax returns, reports and other tax documents filed with a taxing entity of the Federal government, the Commonwealth or local taxing entity within this Commonwealth for 7 years or a longer period as prescribed by the taxing entity.

   (7)  Copies of all general accounting records.

   (b)  Except as provided in subsection (a)(6), regarding tax documents, the records listed in subsection (a) shall be maintained for at least 5 years.

Subpart F.  FEES



471.1.Fees generally.
471.2.Schedules of fees.
471.3.Adjustment of fees.

§ 471.1.  Fees generally.

   (a)  A pleading or other document for which a filing fee is required will be received, but will not be deemed filed, until the filing fee, bond, letter of credit or other cost has been paid.

   (b)  The fees collected by the Board will be deposited into the State Gaming Fund as established in section 1403 of the act (relating to establishment of State Gaming Fund and net slot machine revenue distribution).

   (c)  Fees shall be paid by money order or check made payable to the ''Commonwealth of Pennsylvania.'' Cash will not be accepted by the Board.

   (d)  To recover the initial cost of the investigation and processing of applications, each application for a license, permit, registration or certification must be accompanied by a nonrefundable fee.

   (e)  An applicant may be subject to additional fees based on the actual expenses incurred by the Board in conducting the background investigation.

§ 471.2.  Schedules of fees.

   Fee schedules established by the Board will be published in the Pennsylvania Bulletin and will be available on the Board's website.

§ 471.3.  Adjustment of fees.

   On or after July 5, 2006, and annually thereafter, the Board may increase the fees, charges, costs or administrative penalties specified in the act by an amount not to exceed an annual cost-of-living adjustment calculated under section 1208(2) of the act (relating to collection of fees and fines).

[Pa.B. Doc. No. 06-1755. Filed for public inspection September 8, 2006, 9:00 a.m.]


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