§ 461a.4. Submission for testing and approval.

 (a)  A slot machine, table game device or 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 slot machine 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 slot machine license develops software or a system that is functionally equivalent to any of the slot systems or table game systems enumerated in subsection (c), 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 slot machine license developing software or systems subject to testing and approval under this subpart.

 (c)  For the purposes of this section, slot machines, table game devices and 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).

 (d)  Slot machine prototypes, table game device prototypes and 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.

 (e)  The Bureau of Gaming Laboratory Operations may prescribe a standard product submission checklist, together with supplemental product specific submission checklists for completion by an applicant for, or holder of, a manufacturer license, to facilitate the examination and analysis of a prototype or modification.

 (f)  The Board may require the chief engineer of the applicant for, or holder of, a manufacturer license or the engineer in charge of the division of the manufacturer responsible for producing the product submitted to attest that the product was properly and completely tested by the manufacturer prior to its submission to the Bureau of Gaming Laboratory Operations.

 (g)  When an applicant for, or holder of, a manufacturer license seeks Board approval of a slot machine prototype, table game device prototype, as described in subsection (c)(12), associated equipment prototype, or any modification thereto, the manufacturer shall submit to the Bureau of Gaming Laboratory Operations the following:

   (1)  A prototype of the equipment, device or software accompanied by a written request for testing and approval. The manufacturer shall transport the equipment, device or software at its own expense and deliver it to the Bureau of Gaming Laboratory Operations in accordance with instructions provided.

   (2)  Certifications required under subsection (f) providing assurances from the manufacturer that the product was properly and completely tested and emulated by the manufacturer prior to its submission to the Bureau of Gaming Laboratory Operations and that the product, device or software complies 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, including applicable requirements related to the central control computer.

   (3)  An executed copy of a current product submission checklist, and any product specific supplemental submission checklists applicable to the submitted equipment, device or software.

   (4)  A complete, comprehensive and technically accurate description of the equipment, device or software, accompanied by applicable diagrams, schematics and specifications, together with documentation with regard to the manner in which the product was tested and emulated by the manufacturer prior to its submission to the Bureau of Gaming Laboratory Operations.

   (5)  Any hardware, software and other equipment, inclusive of technical support and maintenance applicable thereto, required by the Bureau of Gaming Laboratory Operations to conduct the testing and approval process contemplated by 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. The testing equipment and services required by this paragraph shall be provided at no cost to the Board.

   (6)  In the case of a slot machine prototype or table game device prototype, the following additional information:

     (i)   A copy of all executable software, including data and graphics information, on electronically readable, unalterable media.

     (ii)   A copy of all source code for programs that cannot be reasonably demonstrated to have any use other than in a slot machine or electronic gaming table, on electronically readable, unalterable media.

     (iii)   A copy of all graphical images displayed on the slot machine or table game device, including reel strips, rules, instructions and paytables.

     (iv)   A mathematical explanation of the theoretical return to the player, listing all assumptions, all steps in the formula from the first principles through to the final results of all calculations including bonus pays and, when a game requires or permits player skill in the theoretical derivations of the payout return, the source of strategy.

     (v)   Hardware block diagrams of the major subsystems.

     (vi)   A complete set of schematics for all subsystems.

     (vii)   A wiring harness connection diagram.

     (viii)   A technical and an operator manual.

     (ix)   A description of security methodologies incorporated into the design of the slot machine table game device, including, when applicable, encryption methodology for all alterable media, auto-authentication of software and recovery capability of the slot machine or table game device for power interruption.

     (x)   For meters required by this subpart or technical standards adopted by the Board as published in the Pennsylvania Bulletin and posted on the Board’s web site, a cross reference of product meters to the required meters, if necessary.

     (xi)   A description of tower light functions indicating the corresponding condition.

     (xii)   A description of error conditions and the corresponding action required by the operator.

     (xiii)   A description of the use and function of available dip switch settings or configurable options.

     (xiv)   A description of the pseudo random number generator or generators used to determine game outcome, including a detailed explanation of operational methodology, and a description of the manner by which the pseudo random number generator and random number selection process is impervious to outside influences, interference from electro-magnetic, electrostatic and radio frequencies, and influence from ancillary equipment by means of data communications. Test results in support of representations shall be submitted. For the purposes of this section, ‘‘game outcome’’ means the results of a wager.

     (xv)   Specialized hardware, software or testing equipment, inclusive of technical support and maintenance, needed to complete the evaluation, which may include an emulator for a specified microprocessor, PCs, extender cables for CPU boards, target reel strips and door defeats. The testing equipment and services required by this paragraph shall be provided at no cost to the Board.

     (xvi)   A compiler, or reasonable access to a compiler, for the purpose of building applicable code modules.

     (xvii)   Program storage media including EPROMs, EEPROMs and any type of alterable media for slot machine or table game device software.

     (xviii)   Technical specifications for any microprocessor or microcontroller.

     (xix)   A complete, comprehensive and technically accurate description of the manner in which the slot machine or fully automated electronic gaming table was tested 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 or fully automated electronic gaming tables.

     (xx)   Additional documentation requested by the Bureau of Gaming Laboratory Operations relating to the slot machine or table game device.

   (7)  In the case of a modification to a slot machine or table game device prototype, including a change in theme, the following additional information:

     (i)   A complete, comprehensive and technically accurate description of the proposed modification to the slot machine or table game device prototype, accompanied by applicable diagrams, schematics and specifications.

     (ii)   When a change in theme is involved, a copy of the graphical images displayed on the slot machine or table game device including reel strips, rules, instructions and paytables.

     (iii)   When a change in the manner in which the theoretical payout percentage is achieved is involved, a mathematical explanation of the theoretical return to the player, listing all assumptions, all steps in the formula from the first principles through to the final results of all calculations including bonus pays and, when a game requires or permits player skill in the theoretical derivations of the payout return, the source of strategy.

     (iv)   A complete, comprehensive and technically accurate description of the manner in which the slot machine or fully automated electronic gaming table was tested 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 or fully automated electronic gaming tables.

     (v)   Additional documentation requested by the Bureau of Gaming Laboratory Operations relating to the modification of the slot machine or table game device.

   (8)  In the case of a slot monitoring system, casino management system, player tracking system, wide area progressive system, gaming voucher system, external bonusing system, cashless funds transfer system, automated gaming voucher, coupon redemption or jackpot payout machine, coupon system, table game device or any other equipment or system required to be tested and approved under subsection (c):

     (i)   A technical and an operator manual.

     (ii)   A description of security methodologies incorporated into the design of the system to include, when applicable, password protection, encryption methodology and its application, auto-authentication, network redundancy, back-up and recovery procedures.

     (iii)   A complete schematic or network diagram of the system’s major components accompanied by a description of each component’s functionality and a software object report. The description must disclose the functions performed by each component.

     (iv)   A description of the data flow, in narrative and in schematic form, including specifics with regard to data cabling and, when appropriate, communications methodology for multisite applications.

     (v)   A list of computer operating systems and third party software incorporated into the system together with a description of their interoperability.

     (vi)   System software and hardware installation procedures.

     (vii)   A list of available system reports.

     (viii)   When applicable, features for each system which may include patron and employee card functions, promotions, reconciliation procedures and patron services.

     (ix)   A description of the interoperability testing including test results for each submitted system’s connection to, as applicable, slot machines, voucher, coupon redemption and jackpot payout machines, computerized systems for counting money, vouchers and coupons. This list must identify the tested products by manufacturer, model and software identification and version number.

     (x)   A narrative describing the method used to authenticate software.

     (xi)   All source code.

     (xii)   A complete, comprehensive and accurate description, accompanied by applicable diagrams, schematics and specifications, of the creation of a voucher and the redemption options available.

     (xiii)   A complete, comprehensive and technically accurate description, accompanied by applicable diagrams, schematics and specifications, of the creation of a coupon and the redemption options available.

     (xiv)   Any specialized hardware, software or other equipment, inclusive of technical support and maintenance applicable thereto, required by the Bureau of Gaming Laboratory Operations to conduct the testing and approval process contemplated by 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. The testing equipment and services required by this paragraph shall be provided at no cost to the Board.

     (xv)   Additional documentation requested by the Board related to the equipment or system being tested.

   (9)  In the case of a modification to any of the systems identified in paragraph (8), the following additional information:

     (i)   A complete, comprehensive and technically accurate description of the proposed modification to the system, accompanied by applicable diagrams, schematics and specifications.

     (ii)   A brief narrative disclosing the purpose for the modification.

     (iii)   Additional documentation requested by the Bureau of Gaming Laboratory Operations relating to the modification.

   (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:

     (i)   A mathematical explanation of the theoretical return to the player, listing all assumptions, all steps in the formula from the first principles through to the final results of all calculations including bonus pays and, when a game requires or permits player skill in the theoretical derivations of the payout return, the source of the strategy.

     (ii)   A detailed description of the gaming related service including the rules of play and wagering that would be used for the new table game or feature.

     (iii)   The true odds, the payout odds and the house advantage for each wager.

     (iv)   A sketch or picture of the game layout, if any.

     (v)   Sketches or pictures of the equipment used to play the game.

 (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, the Bureau of Gaming Laboratory Operations will report to the Board’s Executive Director the results of its testing. Upon receipt of the Bureau of Gaming Laboratory Operations’ report, the Board’s Executive Director will:

   (1)  Approve, approve with conditions or reject the submitted prototype or modification.

   (2)  Require additional testing or a trial period under subsection (h).

 (j)  The Board’s Executive Director approval of a prototype or modification does not constitute a guarantee of the prototype’s or modification’s safety.

 (k)  A slot machine licensee is prohibited from installing in its licensed facility a slot machine, table game device or associated equipment, 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 slot machine licensee may not modify, alter or tamper with an approved slot machine, table game device or associated equipment. A slot machine, table game device or associated equipment installed in a licensed facility 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 device prototype or 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 slot machine licensee shall immediately notify the Bureau of Gaming Laboratory Operations and the casino compliance representatives at the licensed facility of any known or suspected defect or malfunction in any slot machine, table game device or associated equipment installed in its licensed facility. The slot machine 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 device or 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.

Authority

   The provisions of this §  461a.4 amended under 4 Pa.C.S. § §  1202, 1207, 13A02(1), (2), (2.1), (4) and (6), 13A25(c), 13A41, 13A62(a), 1317.2, 1319, 1319.1, 1320, 1321, 1322 and 1517.

Source

   The provisions of this §  461a.4 amended March 28, 2008, effective March 29, 2008, 38 Pa.B. 1474; amended September 25, 2009, effective September 26, 2009, 39 Pa.B. 5562; amended February 26, 2010, effective February 27, 2010, 40 Pa.B. 1082; amended July 6, 2012, effective July 7, 2012, 42 Pa.B. 4305; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (365641), (362035) to (362040) and (385297) to (385298).

Cross References

   This section cited in 58 Pa. Code §  461a.3 (relating to testing and approval generally); 58 Pa. Code §  461a.8 (relating to gaming vouchers); 58 Pa. Code §  461a.9 (relating to coupons utilized in slot machine gaming); 58 Pa. Code §  461a.10 (relating to automated gaming vouchers and coupon redemption machines); 58 Pa. Code §  461a.12 (relating to progressive slot machines); 58 Pa. Code §  461a.14 (relating to slot machine, fully automated gaming tables and electronic wagering terminal monitoring systems); 58 Pa. Code §  461a.15 (relating to casino management systems); 58 Pa. Code §  461a.16 (relating to player tracking systems); 58 Pa. Code §  461a.17 (relating to external bonusing systems); 58 Pa. Code §  461a.18 (relating to cashless funds transfer systems); 58 Pa. Code §  461a.20 (relating to server supported slot systems); 58 Pa. Code §  461a.21 (relating to server based slot systems); 58 Pa. Code §  461a.22 (relating to automated jackpot payout machines); 58 Pa. Code §  461a.23 (relating to slot machines and associated equipment utilizing alterable storage media); 58 Pa. Code §  461a.26 (relating to testing and software installation on the live gaming floor); 58 Pa. Code §  461b.5 (relating to remote computer access); 58 Pa. Code §  464a.2 (relating to conduct of a slot machine tournament); 58 Pa. Code §  601a.3 (relating to request to offer a new table game or new feature for an existing game); 58 Pa. Code §  601a.10 (relating to approval of table game layouts, signage and equipment); 58 Pa. Code §  603a.16 (relating to cards; receipt, storage, inspection and removal from use); 58 Pa. Code §  603a.17 (relating to dealing shoes; automated card shuffling devices); 58 Pa.Code §  605a.2 (relating to electronic wagering systems); 58 Pa. Code §  605a.4 (relating to electronic gaming tables); 58 Pa. Code §  605a.7 (relating to progressive table games); 58 Pa. Code §  605a.8 (relating to linked progressive table games); 58 Pa. Code §  613a.7 (relating to requirements for use of a gaming related gaming service provider); 58 Pa. Code §  621a.2 (relating to Pai Gow table; Pai Gow shaker; physical characteristics); 58 Pa. Code §  625a.1 (relating to Sic Bo table; Sic Bo shaker; physical characteristics); 58 Pa. Code §  633a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  635a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  637a.7 (relating to Poker overview; general dealing procedures for all types of Poker); 58 Pa. Code §  639a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  641a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  643a.2 (relating to Let It Ride Poker table physical characteristics); 58 Pa. Code §  643a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  645a.2 (relating to Pai Gow Poker table; Pai Gow Poker shaker; physical characteristics); 58 Pa. Code §  645a.5 (relating to shuffle and cut of the cards; procedures for determining the starting position for dealing cards); 58 Pa. Code §  647a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  649a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  651a.3 (relating to cards; number of decks; dealing shoe); 58 Pa. Code §  651a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  653a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  655a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  657a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  659a.2 (relating to Fortune Asia Poker table; shaker; physical characteristics); 58 Pa. Code §  659a.5 (relating to shuffle and cut of the cards; procedures for determining the starting position for dealing cards); 58 Pa. Code §  663a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  665a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  669a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  670a.2 (relating to Six-Card Fortune Pai Gow Poker table; physical characteristics; shaker); 58 Pa. Code §  670a.5 (relating to shuffle and cut of the cards; procedures for determining the starting position for dealing cards); 58 Pa. Code §  671a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  672a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  673a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  674a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  676a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  677a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  678a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  679a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  680a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  681a.5 (relating to shuffle and cut of the cards); 58 Pa. Code §  1112.8 (relating to gaming vouchers); 58 Pa. Code §  1112.13 (relating to video gaming terminals and associated equipment utilizing alterable storage media); and 58 Pa. Code §  1407.3 (relating to testing and approval generally).



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