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CHAPTER 465a. ACCOUNTING AND INTERNAL CONTROLS Sec.
465a.1. Accounting records.
465a.2. Internal control systems and audit protocols.
465a.3. Forms, records and documents.
465a.4. Standard financial and statistical reports.
465a.5. Annual audit; other reports; suspicious activity and currency transaction reporting.
465a.6. Retention, storage and destruction of books, records and documents.
465a.7. Complimentary services or items.
465a.8. Licensed facility.
465a.9. Surveillance system; surveillance department control; surveillance department restrictions.
465a.10. Surveillance system recording formats.
465a.11. Slot machine licensees organization; jobs compendium.
465a.12. Access badges and temporary access credentials.
465a.13. Possession of weapons within a licensed facility.
465a.14. Security department minimum staffing.
465a.15. Cage characteristics.
465a.16. Accounting controls for the cage.
465a.17. Bill validators, slot cash storage boxes and table game drop boxes.
465a.18. Transportation of slot cash storage boxes and table game drop boxes to and from the gaming floor; storage.
465a.19. Acceptance of tips or gratuities from patrons.
465a.20. Personal check cashing.
465a.21. Wire transfers.
465a.22. Cash equivalents.
465a.23. Customer deposits.
465a.24. Count room characteristics.
465a.25. Counting and recording of slot cash storage boxes and table game drop boxes.
465a.26. Jackpot and credit meter payouts.
465a.27. Annuity jackpots.
465a.28. Merchandise jackpots.
465a.29. Automated teller machines.
465a.30. Waiver of requirements.
465a.31. Gaming day.
465a.32. Signature.
465a.33. Access to areas containing central control computer equipment.
465a.34. Automated gaming voucher and coupon redemption machine accounting controls.
465a.35. Personnel assigned to the operation and conduct of table games.
465a.36. Table inventories.
465a.37. Procedures for opening table games.
465a.38. Procedures for distributing value chips, coins and plaques to gaming tables.
465a.39. Procedures for removing value chips, coins and plaques from gaming tables.
465a.40. Procedures for accepting cash for gaming chips, plaques or electronic wagering credits at table games.
465a.41. Procedures for drops at open table games.
465a.42. Procedures for closing table games.
465a.43. Table inventories for Poker tables.
465a.44. Table inventory counts on a per shift basis.Authority The provisions of this Chapter 465a issued under 4 Pa.C.S. § § 1202(b)(30), 1207, 1322 and 1520, unless otherwise noted.
Source The provisions of this Chapter 465a adopted July 27, 2007, effective July 28, 2007, 37 Pa.B. 4068, unless otherwise noted.
Cross References The provisions of this § 465a.1 amended under 4 Pa.C.S. § § 1103, 1202(b)(30), 1207, 1209(b), 1317(c), 1317.1(c), 1317.2, 1322, 1326, 13A02(1)(6), 13A25 and Chapter 16.
Source The provisions of this § 465a.2 amended under 4 Pa.C.S. § § 1202(b)(9)(23) and (30), 1205, 1206(f) and (g), 1207, 1208(1)(iii), 1209(b), 1212, 1213, 1321, 1322, 13A02(1)(6), 13A11, 13A1213A14, 13A15, 13A25, 13A62(a) and 1802 and Chapter 13.
Source The provisions of this § 465a.2 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended December 12, 2008, effective December 13, 2008, 38 Pa.B. 6749; amended August 28, 2009, effective August 29, 2009, 39 Pa.B. 5125; 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 May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended January 31, 2014, effective February 1, 2014, 44 Pa.B. 599; amended June 12, 2015, effective June 13, 2015, 45 Pa.B. 2829; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (362061) to (362062), (377541) to (377542) and (375781).
Cross References This section cited in 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.11 (relating to automated gaming voucher and coupon redemption machines: accounting controls); 58 Pa. Code § 461a.12 (relating to progressive slot machines); 58 Pa. Code § 461a.18 (relating to cashless funds transfer systems); 58 Pa. Code § 461a.19 (relating to remote system access); 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 § 465a.1 (relating to accounting records); 58 Pa. Code § 465a.7 (relating to complimentary services or items); 58 Pa. Code § 465a.9 (relating to surveillance system; surveillance department control; surveillance department restriction); 58 Pa. Code § 465a.11 (relating to slot machine licensees organization; jobs compendium); 58 Pa. Code § 465a.12 (relating to access badges and temporary access credentials); 58 Pa. Code § 465a.14 (relating to security department minimum staffing); 58 Pa. Code § 465a.20 (relating to personal check cashing); 58 Pa. Code § 465a.21 (relating to wire transfers); 58 Pa. Code § 465a.22 (relating to cash equivalents); 58 Pa. Code § 465a.23 (relating to customer deposits); 58 Pa. Code § 465a.25 (relating to counting and recording of slot cash storage boxes and table game drop boxes); 58 Pa. Code § 465a.26 (relating to jackpot and credit meter payouts); 58 Pa. Code § 465a.27 (relating to annuity jackpots); 58 Pa. Code § 465a.28 (relating to merchandise jackpots); 58 Pa. Code § 465a.31 (relating to gaming day); 58 Pa. Code § 465a.33 (relating to access areas containing central control computer equipment); 58 Pa. Code 465a.34 (relating to automated gaming voucher and coupon redemption machine accounting controls); 58 Pa. Code § 603a.5 (relating to Roulette chips; permitted uses, inventory and impressments); 58 Pa. Code § 603a.9 (relating to plaques; issuance and use, denominations and physical characteristics); 58 Pa. Code § 603a.10 (relating to permissible wagering; exchange and redemption of gaming chips and plaques); 58 Pa. Code § 603a.11 (relating to receipt of gaming chips or plaques from a manufacturer or supplier; inventory, security, storage and destruction of chips and plaques); 58 Pa. Code § 603a.13 (relating to dice); 58 Pa. Code § 603a.15 (relating to cards; physical characteristics); 58 Pa. Code § 603a.16 (relating to cards; receipt, storage, inspection and removal from use); 58 Pa. Code § 603a.19 (relating to Pai Gow tiles; receipt, storage, inspection and removal from use); 58 Pa. Code § 603a.20 (relating to Match Play Coupons; physical characteristics and issuance); 58 Pa. Code § 605a.7 (relating to progressive table games); 58 Pa. Code § 605a.8 (relating to linked progressive table games); 58 Pa. Code § 625a.1 (relating to Sic Bo table; Sic Bo Shaker; physical characteristics); 58 Pa. Code § 627a.5 (relating to shuffle and cut of the cards); 58 Pa Code § 633a.7 (relating to procedure for dealing the cards; completion of each round of play); 58 Pa. Code § 639.11 (relating to procedure for completion of each round of play); 58 Pa. Code § 641a.11 (relating to procedures for completion of each round of play); 58 Pa. Code § 643a.11 (relating to procedures for completion of each round of play); 58 Pa. Code § 647a.11 (relating to procedure for completion of each round of play); 58 Pa. Code § 649a.11 (relating to procedures for completion of each round of play); 58 Pa. Code § 651a.5 (relating to shuffle and cut of the cards); 58 Pa. Code § 653a.11 (relating to procedures for completion of each round of play); 58 Pa. Code § 655a.11 (relating to procedures for completion of each round of play); and 58 Pa. Code § 657a.11 (relating to procedures for completion of each round of play).
§ 465a.3. Forms, records and documents.
(a) Information required under this part to be placed on any form, record or document and in stored data shall be recorded on the form, record or document and in stored data in ink or other permanent manner.
(b) Whenever duplicate or triplicate copies are required of a form, record or document, the original, duplicate and triplicate copies must have the name of the department receiving the copy preprinted on the bottom of that copy so as to differentiate between the copies.
(c) Whenever under this part, forms or serial numbers are required to be accounted for and an exception is noted, the exceptions shall be reported in writing to the slot machine licensees internal audit department within 2 days of identification of the exception or upon its confirmation, whichever occurs earlier.
(d) Unless otherwise specified in this part, all forms, records, documents and stored data required to be prepared, maintained and controlled by this chapter must have the name of the licensed facility and the title of the form, record, document and, for stored data, the date imprinted or preprinted thereon.
(e) Nothing in this chapter shall be construed as prohibiting a slot machine licensee from preparing more copies of any form, record or document than those prescribed by this chapter.
Authority The provisions of this § 465a.3 amended under 4 Pa.C.S. § § 1207, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.3 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585. Immediately preceding text appears at serial page (349923).
§ 465a.4. Standard financial and statistical reports.
(a) Within 30 days of the close of each calendar quarter, slot machine licensees shall file a report which includes a detailed reconciliation of the amount invoiced by the Department to the tax accrual determined by the slot machine licensees revenue/income audit process. The reconciliation shall be determined by the slot machine licensee on at least a weekly basis and the report must provide the date and the amount of any differences found during the reconciliation process. The report shall be filed electronically with the Bureau of Gaming Operations and the Departments Bureau of Fiscal Management.
(b) The Board may prescribe standard reporting forms and corresponding filing instructions to be used by a slot machine licensee in filing the report referenced in subsection (a).
(c) The Board may request, in writing, financial, statistical or other reports to determine compliance by the slot machine licensee with the act and the Boards regulations.
Authority The provisions of this § 465a.4 amended under 4 Pa.C.S. § § 1202(b)(30), 1207 and 1322.
Source The provisions of this § 465a.5 amended under 4 Pa.C.S. § § 1207, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.6 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.6 amended May 22, 2009, effective May 23, 2009, 39 Pa.B. 2588; amended August 28, 2009, effective August 29, 2009, 39 Pa.B. 5125; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended January 31, 2014, effective February 1, 2014, 44 Pa.B. 619; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (370350) to (370352).
Cross References This section cited in 58 Pa. Code § 464a.2 (relating to conduct of a slot machine tournament); 58 Pa. Code § 465a.2 (relating to internal control systems and audit protocols); 58 Pa. Code § 465a.9 (relating to surveillance system; surveillance department control; surveillance department restriction); 58 Pa. Code § 465a.11 (relating to slot machine licensees organization; jobs compendium); and 58 Pa. Code § 465a.33 (relating to access to areas containing central control computer equipment).
§ 465a.7. Complimentary services or items.
(a) A slot machine licensee shall develop, maintain and apply adequate internal controls over the authorization and issuance of complimentary services or items as defined in § 401a.3 (relating to definitions). The slot machine licensee shall submit for approval in accordance with § 465a.2 (relating to internal control systems and audit protocols) internal controls for complimentary services and items.
(b) The internal controls must include the following:
(1) The procedures by which the slot machine licensee delegates to its employees the authority to approve the issuance of complimentary services or items.
(2) The procedures by which the slot machine licensee establishes, modifies or limits delegated authority, including limits based on relationships between the authorizer and recipient.
(3) A matrix of job titles authorized to issue complimentary services or items and a list of which complimentary services or items or the maximum dollar value of complimentary services or items each job title is authorized to issue.
(c) Complimentary services or items shall be recorded as follows:
(1) A complimentary service or item provided directly to a patron in the normal course of a slot machine licensees business shall be recorded at an amount based upon the full retail price normally charged for the service or item by the licensee.
(2) A complimentary service or item not offered for sale to a patron in the normal course of a slot machine licensees business but provided directly by the slot machine licensee shall be recorded at an amount based upon the actual cost to the slot machine licensee of providing the service or item.
(3) A complimentary service or item provided directly or indirectly to a patron on behalf of a slot machine licensee by a third party not affiliated with the slot machine licensee shall be recorded at an amount based upon the actual cost to the slot machine licensee of having the third party provide the service or item.
(4) A complimentary service or item provided directly or indirectly to a patron on behalf of a slot machine licensee by a third party who is affiliated with the slot machine licensee shall be recorded by the slot machine licensee in accordance with this section as if the affiliated third party were the licensee.
(d) If a slot machine licensee provides complimentary cash and noncash gifts recorded at a value of $10,000 or more to a patron and the patrons guests within a consecutive 5-day period, the slot machine licensee shall record the reason why the gifts were provided, maintain the records and make them available for inspection by the Board and the Pennsylvania State Police. When the reason complimentary cash and noncash gifts were provided involves the patrons player rating, that rating must be based upon an evaluation of the amount and frequency of play by the patron as recorded in the slot machine licensees player rating system. For the purposes of this section, guest means any individual who receives complimentary services or items as a result of his relationship with the patron receiving the primary complimentary services or items.
(e) A slot machine licensee shall submit to the Bureau of Casino Compliance a report listing each patron who, under subsection (d), received $10,000 or more in complimentary cash and noncash gifts within a consecutive 5-day period ending during the preceding month. The report shall be filed by the last day of the month following the month in which the complimentary cash and noncash gifts or reimbursements were issued and include the total amount of complimentary cash or noncash gifts or reimbursements provided to each patron broken down into categories for food and beverage, hotel accommodations, travel, reimbursements and other services.
(f) Notwithstanding the requirements in subsections (a)(e), a slot machine licensee is not required to submit internal controls for the nondiscretionary awarding of the following:
(1) Points to patrons who are members of the licensees player rewards program.
(2) Promotional slots play.
Authority The provisions of this § 465a.7 amended under 4 Pa.C.S. § § 1207, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.7 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585. Immediately preceding text appears at serial pages (350692) and (348419) to (348420).
Cross References The provisions of this § 465a.8 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 1321, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.8 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended December 12, 2008, effective December 13, 2008, 38 Pa.B. 6749; 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 May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585. Immediately preceding text appears at serial pages (348420) and (349925).
Cross References The provisions of this § 465a.9 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(7), 13A23(a), 13A25, 13A62(a), 1321 and 1322.
Source The provisions of this § 465a.9 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended December 12, 2008, effective December 13, 2008, 38 Pa.B. 6749; 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 May 14, 2010, effective May 15, 2010, 40 Pa.B. 2535; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended January 31, 2014, effective February 1, 2014, 44 Pa.B. 619; amended August 26, 2016, effective August 27, 2016, 46 Pa.B. 5540; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (382914) to (382916), (370359) to (370360) and (382917) to (382918).
Cross References This section cited in 58 Pa. Code § 461a.10 (relating to automated gaming voucher and coupon redemption machines); 58 Pa. Code § 465a.8 (relating to licensed facility); 58 Pa. Code § 465a.11 (relating to slot machine licensees organization; jobs compendium); 58 Pa. Code § 465a.25 (relating to counting and recording of slot cash storage boxes and table game drop boxes); 58 Pa. Code § 465b.1 (relating to digital video recording formats); and 58 Pa. Code § 467a.1 (relating to gaming floor plan).
§ 465a.10. Surveillance system recording formats.
(a) A slot machine licensee may utilize either an analog or digital video recording format provided the format selected incorporates current technology with regard to secure system access, video cameras, monitors, recorders, video printers, switches, selectors and other ancillary equipment and provides for surveillance of activities inside and outside the licensed facility.
(b) Digital video recording systems utilized by a slot machine licensee must be in compliance with the technical standards on digital video recording systems under § 465b.1 (relating to digital video recording formats).
Cross References The provisions of this § 465a.11 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.11 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended December 12, 2008, effective December 13, 2008, 38 Pa.B. 6749; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (362081) to (362088) and (377543).
Cross References The provisions of this § 465a.12 amended under 4 Pa.C.S. § § 1207, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.12 amended August 28, 2009, effective August 29, 2009, 39 Pa.B. 5125; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585. Immediately preceding text appears at serial page (349932).
Cross References The provisions of this § 465a.13 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended May 15, 2015, effective May 16, 2015, 45 Pa.B. 2358. Immediately preceding text appears at serial pages (362090) to (362091).
Cross References The provisions of this § 465a.14 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 1308, 1318, 1322, 1331, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.15 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 1321, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.16 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 1321, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.17 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.18 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.18 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended September 25, 2009, effective September 26, 2009, 39 Pa.B. 5562; amended May 14, 2010, effective May 15, 2010, 40 Pa.B. 2535; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (362098) to (362100) and (375101).
Cross References The provisions of this § 465a.19 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.19 amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended January 31, 2014, effective February 1, 2014, 44 Pa.B. 599; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (375101) to (375102).
Cross References The provisions of this § 465a.20 amended under 4 Pa.C.S. § § 1103, 1202(b)(15) and (30), 1207, 1209(b), 1212, 1317(c), 1317.1(c), 1317.2, 1322, 1326, 13A02(1)(6), 13A25, 13A26(c), 1509, 1516, 1518(a)(13) and 1602.
Source The provisions of this § 465a.20 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended October 22, 2010, effective October 23, 2010, 40 Pa.B. 6083; corrected May 20, 2011, effective June 6, 2009, 41 Pa.B. 2580; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended November 7, 2014, effective November 8, 2014, 44 Pa.B. 7057. Immediately preceding text appears at serial pages (370364) and (362103) to (362105).
Cross References This section cited in 58 Pa. Code § 437a.7 (relating to registered, certified and authorized gaming service provider responsibilities); 58 Pa. Code § 465a.16 (relating to accounting controls for the cage); 58 Pa. Code § 465a.22 (relating to cash equivalents); 58 Pa. Code § 465a.23 (relating to customer deposits); 58 Pa. Code § 609a.3 (relating to application and verification procedures for granting credit); 58 Pa. Code § 609a.15 (relating to redemption of Counter Checks); and 58 Pa. Code § 609a.16 (relating to substitution and consolidation of Counter Checks).
§ 465a.21. Wire transfers.
(a) A slot machine licensee may accept a wire transfer on behalf of a patron to enable the patron to take part in gaming. A wire transfer accepted by a slot machine licensee shall be recorded in the slot machine licensees cage accountability no later than the next gaming day.
(b) Prior to commencing acceptance of wire transfers for gaming purposes, a slot machine licensee shall establish a comprehensive system of internal controls addressing the acceptance, verification, accounting for and sending of wire transfers. The internal controls shall be submitted to and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).
(c) The internal control procedures developed and implemented by the slot machine licensee under subsection (b) must include:
(1) A cage log to record the following information with regard to wire transfers accepted:
(i) A sequential number assigned by the slot machine licensee to the wire transfer transaction.
(ii) The date and time of notification.
(iii) The name of the financial institution and account number to which the funds were transferred.
(iv) The amount of funds transferred.
(v) The name of the patron for whose benefit the funds were transferred.
(vi) The name and address of the financial institution from which the funds were transferred and the account number from which the funds were debited.
(vii) The method by which the slot machine licensee was notified of the receipt of the wire transfer and, if noticed by telephone, the name and title of the person providing notice.
(viii) The signature of the cage employee receiving and recording the information required under this subsection.
(ix) A notation that the wire transfer has been reversed under subsection (d), when applicable.
(2) A requirement that a cage supervisor other than the cage employee who initially documented receipt of the wire transfer verify receipt of the wire transfer.
(3) A requirement that the cage supervisor verifying receipt of the wire transfer document the verification process performed in the log required under paragraph (1) including:
(i) The method by which the receipt of the wire transfer was verified and, if verified by telephone, the name and title of the individual providing the verification.
(ii) The date and time of verification.
(iii) The signature of the cage supervisor verifying receipt of the wire transfer.
(4) The procedures used to:
(i) Establish, verify and document the identity of the patron.
(ii) Make the wire transfer proceeds available to the patron at the cage.
(iii) Adjust the cage accountability.
(5) A cage log to record the following information with regard to wire transfers sent on behalf of a patron:
(i) The name of the patron.
(ii) The date of the transaction.
(iii) The amount of funds transferred.
(iv) The source of funds transferred (cash, cash equivalent, jackpot payout).
(v) The name and address of the financial institution to which the funds will be transferred and the account number to which the funds will be credited.
(vi) The signature of the patron if the request to send a wire transfer is made in person at the cage.
(vii) Documentation supporting the receipt of a request by the slot machine licensee to send a wire transfer on behalf of a patron if the request was not made in person at the cage.
(viii) The signature of the cage employee receiving and recording the information required under this subsection.
(ix) The signature of the cage supervisor or accounting department supervisor authorizing the wire transfer.
(6) When sending a wire transfer on behalf of a patron, the procedures used to:
(i) Verify and document the identity of the patron.
(ii) Adjust the cage accountability.
(d) A slot machine licensee, on the next gaming day, shall take all steps necessary to return to a patron by wire transfer an amount initially accepted by wire transfer if, at the expiration of 14 gaming days following the deposit into its operating account of a wire transfer which has no documented business purpose other than having been accepted to enable a patron to take part in gaming, both of the following circumstances exist:
(1) The wired funds remain in a slot machine licensees operating account or cage accountability.
(2) The patron has engaged in minimal or no slot or table game play.
(e) The wire transfer returned under subsection (d) shall be sent to the financial institution from which the funds were debited. This reversal of the wire transfer shall be recorded in the wire transfer log maintained under subsection (c)(1).
Authority The provisions of this § 465a.21 amended under the Pennsylvania Race Horse Development and Gaming Act, 4 Pa.C.S. § § 1202(b)(15) and (30), 1207, 1212, 1322, 13A02(1)(6), 13A25, 13A26(c), 1509, 1516, 1518(a)(13) and 1602.
Source The provisions of this § 465a.21 amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended November 7, 2014, effective November 8, 2014, 44 Pa.B. 7057. Immediately preceding text appears at serial pages (362105) to (362107).
Cross References The provisions of this § 465a.22 amended under the Pennsylvania Race Horse Development and Gaming Act, 4 Pa.C.S. § § 1202(b)(15) and (30), 1207, 1212, 1322, 13A02(1)(6), 13A25, 13A26(c), 1509, 1516, 1518(a)(13) and 1602.
Source The provisions of this § 465a.22 amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended November 7, 2014, effective November 8, 2014, 44 Pa.B. 7057. Immediately preceding text appears at serial pages (362107) to (362108).
Cross References The provisions of this § 465a.23 amended under 4 Pa.C.S. § § 1202(b)(15) and (30), 1207, 1212, 1322, 13A02(1)(6), 13A25, 13A26(c), 1509, 1516, 1518(a)(13) and 1602.
Source The provisions of this § 465a.23 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended November 7, 2014, effective November 8, 2014, 44 Pa.B. 7057. Immediately preceding text appears at serial pages (362108) to (362109).
Cross References The provisions of this § 465a.24 amended under 4 Pa.C.S. § § 1202(b)(9)(23), 1205, 1206(f) and (g), 1207, 1208(1)(iii), 1209(b), 1212, 1213, 1322, 13A02(1)(6), 13A11, 13A1213A14, 13A15, 13A25 and 1802 and Chapter 13.
Source The provisions of this § 465a.25 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.25 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended September 25, 2009, effective September 26, 2009, 39 Pa.B. 5562; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (375111) to (375118) and (377549).
Cross References The provisions of this § 465a.26 amended under 4 Pa.C.S. § § 1202(b)(15) and (30), 1207, 1212, 13A02(1)(6), 13A25, 13A26(c), 13A62(a), 1322, 1509, 1516, 1518(a)(13) and 1602.
Source The provisions of this § 465a.26 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended September 25, 2009, effective September 26, 2009, 39 Pa.B. 5562; amended January 15, 2010, effective February 16, 2010, 40 Pa.B. 416; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended November 7, 2014, effective November 8, 2014, 44 Pa.B. 7057; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (377549) to (377550) and (375121) to (375122).
Cross References The provisions of this § 465a.28 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended August 28, 2009, effective August 29, 2009, 39 Pa.B. 5125. Immediately preceding text appears at serial pages (338712) to (338714).
§ 465a.29. Automated teller machines.
(a) Automated teller machines may be placed at any location within a licensed facility. Automated teller machines that offer credit card advances may not be placed on the gaming floor.
(b) An automated teller machine must have a label on the top and front of the automated teller machine that displays a unique identification number of the automated teller machine. The labels must have white lettering on a black background or another color combination approved by the Bureau of Casino Compliance, may not be easily removed and must be easily visible to the surveillance department. The label on the top of the automated teller machine must be at least 1.5 inches by 5.5 inches and the label on the front of the automated teller machine must be at least 1 inch by 2.5 inches.
(c) A slot machine licensee may utilize an automated teller machine that also contains an automated gaming voucher redemption machine, an automated coupon redemption machine or bill breaker provided that the machine complies with § 465a.34 (relating to automated gaming voucher and coupon redemption machine accounting controls).
(d) Automated teller machines located within a licensed facility may not accept Pennsylvania Access/Electronic Benefits Transfer Cards.
Authority The provisions of this § 465a.29 amended under the Pennsylvania Race Horse Development and Gaming Act, 4 Pa.C.S. § § 1202(b)(15) and (30), 1207, 1212, 1322, 13A02(1)(6), 13A25, 13A26(c), 1509, 1516, 1518(a)(13) and 1602.
Source The provisions of this § 465a.29 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended August 28, 2009, effective August 29, 2009, 39 Pa.B. 5125; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended November 7, 2014, effective November 8, 2014, 44 Pa.B. 7057. Immediately preceding text appears at serial page (362125).
§ 465a.30. Waiver of requirements.
(a) The Boards Executive Director may waive one or more of the requirements of this chapter or technical standards applicable to accounting and internal controls adopted by the Board and published in the Pennsylvania Bulletin and posted on the Boards web site upon a determination that the nonconforming control or procedure nonetheless meets the operational integrity requirements of the act, this subpart and technical standards adopted by the Board and published in the Pennsylvania Bulletin and posted on the Boards web site.
(b) A slot machine licensee may submit a request to the Boards Executive Director for a waiver for one or more of the requirements in this chapter or the technical standards applicable to accounting and internal controls adopted by the Board and published in the Pennsylvania Bulletin and posted on the Boards web site. The request must:
(1) Be filed with the Boards Executive Director.
(2) Include supporting documentation demonstrating how the accounting and internal controls for which the waiver has been requested will still meet the operational integrity requirements of the act, this subpart and technical standards adopted by the Board and published in the Pennsylvania Bulletin and posted on the Boards web site.
(3) Be approved by the Boards Executive Director.
Authority The provisions of this § 465a.30 amended under 4 Pa.C.S. § § 1207, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.30 corrected May 20, 2011, effective November 7, 2009, 41 Pa.B. 2580; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585. Immediately preceding text appears at serial pages (357097) to (357098).
§ 465a.31. Gaming day.
(a) For the purposes of determining gross terminal and gross table game revenue, the beginning and ending times of the gaming day will be 6:00 a.m. to 5:59.59 a.m.
(b) Prior to commencing slot or table game operations, each slot machine licensee shall submit to the Board, in writing, its hours of operation. A slot machine licensee may not commence gaming operations until its hours of operation are approved by the Board.
(c) Any change in a slot machine licensees hours of operation shall be submitted as a change to the slot machine licensees internal controls in accordance with the requirements in § 465a.2(f) (relating to internal control systems and audit protocols) but may not be implemented until approved by the Boards Executive Director.
Authority The provisions of this § 465a.31 amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 1321, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.31 amended October 10, 2008, effective October 11, 2008, 38 Pa.B. 5652; amended February 26, 2010, effective February 27, 2010, 40 Pa.B. 1082; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585. Immediately preceding text appears at serial page (357098).
§ 465a.32. Signature.
An employee signature may be in either of the following formats:
(1) The employees first initial, last name and Board-issued credential number, written by the employee, immediately adjacent to or above the clearly printed or preprinted title of the employee.
(2) The employees unique identification number or other computer identification code issued to the employee by the slot machine licensee, if the document to be signed is authorized by the Board to be generated by a computer system and the method of signature is approved or required by the Board.
Authority The provisions of this § 465a.32 amended under 4 Pa.C.S. § § 1207, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.33 adopted under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 1322 and 13A25; amended under 4 Pa.C.S. § § 1207(b)(30), 1207(3), (6), (9) and (21) and 13A02(1), (2) and (4).
Source The provisions of this § 465a.33 adopted December 12, 2008, effective December 13, 2008, 38 Pa.B. 6749; amended May 14, 2010, effective May 15, 2010, 40 Pa.B. 2535; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended January 31, 2014, effective February 1, 2014, 44 Pa.B. 599. Immediately preceding text appears at serial pages (362127) to (362128).
§ 465a.34. Automated gaming voucher and coupon redemption machine accounting controls.
(a) Prior to commencing use of an automated gaming voucher redemption machine, an automated coupon redemption machine, bill breaker or some combination thereof, a slot machine licensee shall establish a comprehensive system of internal controls. The internal controls shall be submitted to, and approved by the Board under § 465a.2 (relating to internal control systems and audit protocols).
(b) The internal controls required under subsection (a) must:
(1) Address the distribution of currency or coin, or both, to the machines, the removal of gaming vouchers, coupons or currency accepted by the machines and the reconciliations associated therewith.
(2) Include a detailed description of which departments maintain and control the keys to the locks securing each compartment of the automated gaming voucher redemption machine, automated coupon redemption machine, bill breaker or combination thereof, provided that:
(i) The keys to each compartment of the machine must be different from each other.
(ii) The key to the lock securing the compartments containing currency shall be maintained and controlled by the finance department.
(iii) The keys to the remaining compartments shall be maintained and controlled by a designated department to ensure the proper segregation of duties.
(3) Require either the finance department or slot operations department to clear the error conditions listed in § 461a.10(o) (relating to automated gaming voucher and coupon redemption machines).
Authority The provisions of this § 465a.34 adopted under 4 Pa.C.S. § § 1202(b)(30), 1207, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.34 adopted May 14, 2010, effective May 15, 2010, 40 Pa.B. 2535; amended May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585. Immediately preceding text appears at serial page (349938).
Cross References The provisions of this § 465a.35 issued and amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.35 adopted May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended January 31, 2014, effective February 1, 2014, 44 Pa.B. 619; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (370369) to (370370) and (375785).
Cross References The provisions of this § 465a.36 issued under 4 Pa.C.S. § § 1207, 1322, 13A02(1)(6) and 13A25; amended under 4 Pa.C.S. § § 1202(b)(30), 13A02(1), (2), (2.1), (4) and (6), 13A25(c) and 13A62(a).
Source The provisions of this § 465a.36 adopted May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended December 12, 2014, effective December 13, 2014, 44 Pa.B. 7683; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (375785) to (375787).
Cross References The provisions of this § 465a.37 issued and amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.37 adopted May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (375787) and (362133) to (362134).
Cross References The provisions of this § 465a.38 issued and amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.38 adopted May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (362134) to (362136).
Cross References The provisions of this § 465a.39 issued and amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.39 adopted May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (362136) to (362140).
Cross References The provisions of this § 465a.40 issued and amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.40 adopted May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial page (362140).
§ 465a.41. Procedures for drops at open table games.
(a) When a table game that is not a fully automated electronic gaming table or electronic wagering terminal is being dropped is to remain open for gaming activity, the value chips, coins and plaques remaining in the table inventory at the time of the drop shall be counted by the dealer or boxperson assigned to the gaming table and recorded on a Table Inventory Slip.
(b) The count required under subsection (a) shall be observed by the floorperson who is responsible for supervising the table game at the time of the drop.
(c) Signatures attesting to the accuracy of the information recorded on the Table Inventory Slip shall be placed on both copies of the Table Inventory Slip by the dealer or boxperson assigned to the table and the floorperson that observed the dealer or boxperson count the contents of the table inventory.
(d) After the Table Inventory Slip is signed as required under subsection (c), the original copy of the Table Inventory Slip shall be deposited in the drop box that is attached to the gaming table immediately before the drop box is removed from the gaming table as part of the drop. The duplicate copy of the Table Inventory Slip shall be deposited in the drop box that is attached to the gaming table immediately following the removal of the drop box that is removed from the gaming table as part of the drop.
Authority The provisions of this § 465a.41 issued and amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.41 adopted May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial pages (362140) to (362141).
Cross References This section cited in 58 Pa. Code § 465a.43 (relating to table inventories for Poker tables); 58 Pa. Code § 465a.44 (relating to table inventory counts on a per shift basis); and 58 Pa. Code § 601a.9 (relating to table game taxes and gross table game revenue).
§ 465a.42. Procedures for closing table games.
(a) When gaming activity at a table game that is not a fully automated electronic gaming table or electronic wagering terminal is concluded, the value chips, coins and plaques remaining at the gaming table shall be counted by the dealer or boxperson assigned to the gaming table in the presence of the floorperson assigned to the gaming table.
(b) The amounts of the value chips, coins and plaques counted shall be recorded on the Table Inventory Slip by the floorperson assigned to the gaming table and the original copy of the Table Inventory Slip shall be signed by the dealer or boxperson who counted the table inventory and the floorperson who observed the dealer or boxperson count the contents of the table inventory.
(c) After the original copy of the Table Inventory Slip has been signed as required under subsection (b), the original copy of the Table Inventory Slip shall be immediately deposited in the table game drop box attached to the gaming table.
(d) After the original copy of the Table Inventory Slip has been deposited in the table game drop box attached to the gaming table, the duplicate copy of the Table Inventory Slip and the value chips, coins and plaques remaining at the gaming table shall be placed in the container required under § 465a.36 (relating to table inventories), after which the table inventory container shall be locked and either transported directly to the cage by a security department member or secured to the gaming table.
(e) If the locked table inventory containers are transported to the cage, a cage supervisor shall determine that all locked containers have been returned.
(f) If the locked table inventory containers are secured to the gaming table, a pit manager or above shall verify that all the containers are locked.
Authority The provisions of this § 465a.42 issued and amended under 4 Pa.C.S. § § 1202(b)(30), 1207, 13A02(1)(6), 13A25, 13A62(a) and 1322.
Source The provisions of this § 465a.42 adopted May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585; amended December 15, 2017, effective December 16, 2017, 47 Pa.B. 7563. Immediately preceding text appears at serial page (362141).
Cross References This section cited in 58 Pa. Code § 465a.36 (relating to table inventories); 58 Pa. Code § 465a.43 (relating to table inventories for Poker tables); 58 Pa. Code § 465a.44 (relating to table inventory counts on a per shift basis); and 58 Pa. Code § 601a.9 (relating to table game taxes and gross table game revenue).
§ 465a.43. Table inventories for Poker tables.
(a) Notwithstanding the requirements in § § 465a.36, 465a.37, 465a.41 and 465a.42, a certificate holder may establish procedures for the issuance of table inventories that are maintained by Poker dealers on an impress basis.
(b) The procedures developed under subsection (a) shall be submitted as part of the certificate holders internal controls.
Authority The provisions of this § 465a.43 issued under 4 Pa.C.S. § § 1207, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.43 adopted May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585.
§ 465a.44. Table inventory counts on a per shift basis.
(a) In addition to the requirements in § § 465a.37, 465a.41 and 465a.42 (relating to procedures for opening table games; procedures for drops at open table games; and procedures for closing table games), a certificate holder may establish procedures for the use of a three-compartment drop box which requires the preparation of a Table Inventory Slip for each shift that the table was open or at least once each gaming day.
(b) The procedures developed under subsection (a) shall be submitted as part of the certificate holders internal controls.
Authority The provisions of this § 465a.44 issued under 4 Pa.C.S. § § 1207, 1322, 13A02(1)(6) and 13A25.
Source The provisions of this § 465a.44 adopted May 11, 2012, effective May 12, 2012, 42 Pa.B. 2585.
Cross References This section cited in 58 Pa. Code § 465a.36 (relating to table inventories).
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