reglab/statecodes huggingface dataset:
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 401a - PRELIMINARY PROVISIONS › Section 401a.5 - Adjudicatory function of the Board; ex parte communications

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The Board or a presiding officer acts in
				  an adjudicatory capacity when considering any matter presented for a decision
				  by the Board or presiding officer in relation to an on-the-record proceeding.
				  To ensure the integrity and impartiality of the Board or presiding officer
				  acting in an adjudicatory capacity, there will be no commingling of the
				  adjudicatory functions of the Board or presiding officer and the investigatory
				  or prosecutorial functions of the Bureau or Office of Enforcement
				  Counsel.
(b) When acting in an
				  adjudicatory capacity regarding the facts at issue or merits of a matter
				  pending before the Board or presiding officer, or which may reasonably be
				  expected to come before the Board or presiding officer in a contested
				  on-the-record proceeding, a member or presiding officer of the Board or an
				  attorney from the Office of Chief Counsel who is advising the Board on the
				  matter may not engage in an ex parte communication with any person including
				  the Bureau or the Office of Enforcement Counsel.
(c) An ex parte communication received or
				  engaged in by a member or presiding officer of the Board will be recorded in a
				  log which will be available for public inspection at the Board's office during
				  normal business hours and will be posted on the Board's web site. The log must
				  include:
(1) The name of the individual
				  documenting the ex parte communication.
(2) The date and time of the ex parte
				  communication.
(3) The names of all
				  individuals involved in the ex parte communication.
(4) The subject discussed.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403 - RESERVED › Section 403.1-403.4 - Reserved

Current through Register Vol. 54, No. 28, July 13, 2024
The provisions of these §§
												403.1-403.4 reserved June 22, 2007,
						effective June 23, 2007, 37 Pa.B. 2808.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403 - RESERVED › Section 403.5 - Reserved

Current through Register Vol. 54, No. 28, July 13, 2024
The provisions of this §
												403.5 adopted July 21, 2006,
						effective June 28, 2006, 36 Pa.B. 3943; reserved June 23, 2007, effective June
						24, 2007, 37 Pa.B. 2808.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403 - RESERVED › Section 403.6 - Reserved

Current through Register Vol. 54, No. 28, July 13, 2024
The provisions of this §
												403.6 adopted July 21, 2006,
						effective November 21, 2006, 36 Pa.B. 3940; reserved June 22, 2007, effective
						June 23, 2007, 37 Pa.B. 2808.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403 - RESERVED › Section 403.7 - Reserved

Current through Register Vol. 54, No. 28, July 13, 2024
The provisions of this §
												403.7 adopted December 8, 2006,
						effective November 21, 2006, 36 Pa.B. 7455; reserved June 22, 2007, effective
						June 23, 2007, 37 Pa.B. 2808.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403a - BOARD OPERATIONS AND ORGANIZATIONS › Section 403a.1 - Definitions

Current through Register Vol. 54, No. 28, July 13, 2024
The following words and terms, when used in this chapter,
					 have the following meanings, unless the context clearly indicates
					 otherwise:
Financial interest
-
(i) An ownership, property, leasehold or
				  other beneficial interest in an entity.
(ii) The term does not include an interest
				  which is held or deemed to be held in any of the following:
(A) Securities that are held in a pension
				  plan, profit-sharing plan, individual retirement account, tax sheltered
				  annuity, a plan established pursuant to section 457 of the Internal Revenue
				  Code of 1986 (26 U.S.C.A.
				  §
												457), or any successor provision,
				  deferred compensation plan whether qualified or not qualified under the
				  Internal Revenue Code of 1986, or any successor provision, or other retirement
				  plan that:
(I) Is not self-directed by the
				  individual.
(II) Is advised by an
				  independent investment adviser who has sole authority to make investment
				  decisions with respect to contributions made by the individual to these
				  plans.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403a - BOARD OPERATIONS AND ORGANIZATIONS › Section 403a.2 - Participation at meetings and voting

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
Qualified majority vote
.
				  An action by the Board, except as set forth in subsections (b) and (c),
				  including the approval, issuance, denial or conditioning of a license or the
				  making of an order or the ratification of a permissible act done or order made
				  by one or more of the members of the Board will require a qualified majority
				  vote consisting of at least one gubernatorial appointee and the four
				  legislative appointees.
(b)
Majority vote
. An action by the Board to suspend, revoke, not
				  renew, void or require forfeiture of a license, permit, certification or
				  registration previously issued by the Board, to impose an administrative fine
				  or penalty or to issue cease and desist will require a majority vote of all the
				  Board members.
(c)
Participation
. A member may not participate in a hearing,
				  proceeding or other matter in which the member, or the immediate family
				  thereof, has a financial interest in the subject matter of the hearing or
				  proceeding or other interest that could be substantially affected by the
				  outcome of the hearing or proceeding, without first fully disclosing the nature
				  of the interest to the Board and other persons participating in the hearing or
				  proceeding. For purposes of the subsection, the term "immediate family" means
				  spouse, parent, brother, sister or child.
(d)
Disqualifying interest
.
				  If a Board member has a disqualifying interest in a voting matter, the member
				  shall disclose the nature of the disqualifying interest, disqualify himself and
				  abstain from voting in a proceeding in which his objectivity, impartiality,
				  integrity or independence of judgment may be reasonably questioned, including
				  instances where he knows that he possesses a substantial financial interest in
				  the subject matter of the proceeding or an interest that could be substantially
				  affected by the outcome of the proceeding. If it is a legislative appointee
				  member that has disqualified himself, the qualified majority will consist of
				  the remaining three legislative appointees and at least two gubernatorial
				  appointees.
(e)
Member
				  abstention
. When a member has disqualified himself, the member's
				  abstention from voting will apply only to the singular voting matter that led
				  to the disqualification and not apply to other matters under consideration by
				  the Board for which the member is otherwise qualified.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403a - BOARD OPERATIONS AND ORGANIZATIONS › Section 403a.3 - Meetings

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
Public
				  sessions
. The proceedings of all public sessions will be conducted in
				  accordance with 65 Pa.C.S. Chapter 7 (relating to the Sunshine Act).
(b)
Regularly scheduled
				  meetings
. The Board will meet once a month, and on other dates as the
				  Board determines.
(c)
Participation by means of telephone or video teleconference
. A
				  Board member may participate in a meeting by means of telephone or video
				  teleconference when it is impractical for the Board member to attend the
				  meeting in person.
(d)
Record of proceedings
. The Board will keep a record of all
				  proceedings held at public meetings of the Board. A verbatim transcript of
				  those proceedings will be prepared by and will be the property of the Board.
				  The verbatim transcript will be available for inspection at the Board's office
				  during normal business hours.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403a - BOARD OPERATIONS AND ORGANIZATIONS › Section 403a.4 - Board office hours

Current through Register Vol. 54, No. 28, July 13, 2024
Board offices will be open from 8:30 a.m. to 5 p.m. on
					 business days except Saturdays, Sundays, legal holidays and Commonwealth office
					 closures declared by the Governor, unless otherwise directed by the
					 Board.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403a - BOARD OPERATIONS AND ORGANIZATIONS › Section 403a.5 - Public communication

Current through Register Vol. 54, No. 28, July 13, 2024
Requests for information regarding the Board may be
					 directed to:
Office of Communications Pennsylvania Gaming Control Board
					 Commonwealth Tower 303 Walnut Street, 5th Floor Harrisburg, PA 17101
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403a - BOARD OPERATIONS AND ORGANIZATIONS › Section 403a.6 - Delegation of powers

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The Board
				  may, consistent with the act and this part, delegate its authority to perform
				  any of its functions to a Board member or member of the Board's
				  staff.
(b) A delegation of Board
				  authority will be effected by promulgation of a regulation or the adoption of
				  an order or a resolution at a public meeting of the Board. The regulation,
				  order or resolution will specify:
(1) The
				  specific authority delegated.
(2)
				  The Board member or Board staff members to whom the authority is
				  delegated.
(3) Limitations or
				  conditions imposed on the authority delegated.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403a - BOARD OPERATIONS AND ORGANIZATIONS › Section 403a.7 - Temporary emergency orders

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  Upon request of the Office of Enforcement Counsel in accordance with subsection
				  (d), a temporary emergency order may be issued by the Executive Director of the
				  Board or the Executive Director's designee. A temporary emergency order may be
				  issued without a hearing and without advanced notice in accordance with this
				  section.
(b) A temporary emergency
				  order may be issued to do one of the following:
(1) Suspend a license, certification, permit
				  or registration.
(2) Temporarily
				  exclude a person from a licensed facility pending Board action on an underlying
				  petition for exclusion.
(3) Direct
				  that a person cease and desist engaging in specific conduct.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 403a - BOARD OPERATIONS AND ORGANIZATIONS › Section 403a.8 - Licensed entity representative meetings

Current through Register Vol. 54, No. 28, July 13, 2024
(a) If a Board member conducts a meeting with
				  a licensed entity representative under section
				  1201.1(c)(7) of
				  the act (relating to code of conduct), the Board member will record the
				  following in the log:
(1) The names of
				  individuals with whom the Board member met.
(2) The date and time of the
				  meeting.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 405a - BUREAU OF INVESTIGATIONS AND ENFORCEMENT › Section 405a.1 - General duties and powers

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Except
				  for administrative purposes, the Bureau is a distinct entity, independent of
				  the Board, the Office of Chief Counsel and the Office of Hearings and
				  Appeals.
(b) The Bureau has the
				  powers and duties set forth in section 1517 of the act (relating to
				  investigations and enforcement) including:
(1) The investigation and review of
				  applicants seeking a license, permit, certification or registration.
(2) The investigation of licensees,
				  permittees, registrants, certified gaming service providers and other persons
				  for potential violations of the act, including potential violations referred to
				  the Bureau by the Board or other persons.
(3) The monitoring of slot machine operations
				  to ensure compliance with the act, this part and the integrity of gaming,
				  including internal controls, exclusion list enforcement, underage gaming and
				  drinking, individual complaints, information systems, integrity and security
				  issues.
(4) The inspection and
				  examination of all premises where slot machine operations are conducted, gaming
				  devices or equipment are manufactured, sold, distributed or serviced or where
				  records of these activities are prepared or maintained as provided in section
				  1517(e) of the act. Inspections may include the review and reproduction of any
				  document or record.
(5) The conduct
				  of audits of slot machine operations as necessary to ensure compliance with the
				  act and this part. An audit may include, but is not limited to, reviews,
				  examinations and inspections of:
(i)
				  Accounting, administrative and financial records and procedures utilized by the
				  licensed entity.
(ii) Internal
				  control procedures and management control procedures.
(iii) Security and surveillance
				  departments.
(iv) Corrective action
				  taken by the licensee to resolve reported deficiencies.
(v) Reports issued by an independent
				  certified public accountant or independently registered public accounting firm
				  pertaining to the adequacy of the licensee's system of internal controls over
				  financial reporting.
(vi) The
				  licensee's responses, if any, to the reports noted in paragraph (v).
(vii) Other matters required by the Board or
				  the Bureau.
(6) The
				  referral of possible criminal violations under the act to the Pennsylvania
				  State Police.
(7) Being a criminal
				  justice agency under 18 Pa.C.S. Chapter 91 (relating to criminal history record
				  information).
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 405a - BUREAU OF INVESTIGATIONS AND ENFORCEMENT › Section 405a.2 - Information

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An applicant
				  for or holder of a license, permit, certification or registration shall provide
				  all information, data and documents requested by the Bureau under section
				  1517(a) of the act (relating to enforcement). The Bureau may also request the
				  execution of a release which would enable the Bureau and the Board to receive
				  information pursuant to a request for information under the Freedom of
				  Information Act (5 U.S.C.
				  §
											552).
(b) The Director of the Bureau, the Chief
				  Enforcement Counsel, and their designees, will have the power and authority to
				  administer oaths and affirmations for the purpose of obtaining voluntary sworn
				  statements with regard to any matter or thing which may properly fall within
				  the jurisdiction of the Board. Any person so designated will have the power and
				  authority to obtain by subpoena the sworn statement of a person deemed to have
				  information relevant to an investigation that the Board is authorized to
				  conduct. Designation pursuant to this section will be made in writing, filed
				  with the Clerk, and remain in effect until revoked.
(c) A State or local law enforcement agency,
				  including the Pennsylvania State Police and the Office of Attorney General, the
				  Department or other executive agency may provide information, data and
				  documents requested by the Bureau relating to an applicant for or holder of a
				  license, permit, certification or registration.
(d) The Bureau may, upon request, provide
				  pertinent information relating to an applicant for or holder of a license,
				  permit, certification or registration to law enforcement agencies, including
				  the Federal Bureau of Investigation or other domestic or foreign agencies or
				  jurisdictions.
(e) Information
				  under this section may be provided or received by electronic
				  distribution.
The provisions of this § 405a.2 amended
						4
						Pa.C.S. §§
													1202(b)(30),
						1311,
						1311.1,
						1311.2,
						1317,
						1317.1,
						1318 and
						1517.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 405a - BUREAU OF INVESTIGATIONS AND ENFORCEMENT › Section 405a.3 - Office of Enforcement Counsel

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  The Office of Enforcement Counsel within the Bureau has the following powers
				  and duties:
(1) Advise the Bureau on all
				  matters, including the granting of licenses, permits, certifications or
				  registrations, the conduct of background investigations, audits and inspections
				  and the investigation of potential violations of the act or this
				  part.
(2) Make recommendations and
				  objections relating to the issuance of licenses, permits, certifications and
				  registrations.
(3) Initiate, in its
				  sole discretion, proceedings for violations of the act or this part by filing a
				  complaint or other pleading with the Board seeking civil fines or penalties,
				  the imposition of conditions on a license, permit, certification or
				  registration, or the suspension or revocation of a license, permit,
				  certification or registration.
(4)
				  Act as the prosecutor in enforcement actions under the act.
(5) Seek a settlement that may include fines,
				  penalties or other actions subject to approval by the Board.
(6) Appear at administrative hearings and
				  other proceedings before the Board.
(7) Petition the Board for the appointment of
				  a trustee under section 1332 of the act (relating to appointment of
				  trustee).
(8) Review all
				  information discovered during an investigation relating to an applicant's
				  suitability and eligibility for a license, permit, certification or
				  registration and, in accordance with law, independently determine the content
				  and scope of that information to be included in the final background
				  investigation report.
(9) Prepare a
				  final background investigation report for inclusion in the applicant's
				  suitability report to the Board relating to an applicant's suitability and
				  eligibility for a license, permit, certification or registration.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 405a - BUREAU OF INVESTIGATIONS AND ENFORCEMENT › Section 405a.4 - Conduct

Current through Register Vol. 54, No. 28, July 13, 2024
(a) As provided in
				  section 1202.1(c.1) of
				  the act (relating to code of conduct), an attorney representing the Bureau or
				  Office of Enforcement Counsel, or an employee involved in the hearing process,
				  may not engage in an ex parte communication with a member or presiding officer
				  of the Board, the Chief Counsel or an attorney from the Office of Chief Counsel
				  who is advising the Board in relation to that matter.
(b) A member or presiding officer of the
				  Board, the Chief Counsel or an attorney from the Office of Chief Counsel who
				  advises the Board may not direct, restrict or influence any employee of the
				  Board or Bureau with respect to the conduct and scope of an enforcement
				  proceeding or hearing with which the employee is involved.
(c) If it becomes necessary for the Chief
				  Counsel or an attorney from the Office of Chief Counsel or a Board member to
				  become involved on behalf of the Board in any enforcement proceeding, the Chief
				  Counsel or the attorney from the Office of Chief Counsel or the Board member
				  involved shall be prohibited from participating in the adjudication of that
				  matter.
(d) The Bureau may not
				  disclose any portion of a background investigation report to a member of the
				  Board, the Chief Counsel or an attorney from the Office of Chief Counsel who is
				  advising the Board, prior to the Office of Enforcement Counsel's submission to
				  the Board of the final background investigation report relating to an
				  applicant's suitability and eligibility for a license, permit, certification or
				  registration.
The provisions of this § 405a.4 amended
						4
						Pa.C.S. §§
													1202.1 and
						1516.1.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 405a - BUREAU OF INVESTIGATIONS AND ENFORCEMENT › Section 405a.5 - Investigatory subpoena

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The Chief
				  Enforcement Counsel is authorized to require the attendance and testimony of
				  witnesses and the production of books, accounts, papers, records, documents,
				  files, computer files and photographs in original or electronic format
				  necessary for all action within the authority of the Bureau under the act or
				  this part.
(b) The Chief
				  Enforcement Counsel or a representative may issue subpoenas.
(c) In case of disobedience of any subpoena
				  or the contumacy of any witness appearing before the Chief Enforcement Counsel
				  or a representative, the Chief Enforcement Counsel or a representative may
				  invoke the aid of Commonwealth Court or any court of record of this
				  Commonwealth to require the person subpoenaed to obey the subpoena or to give
				  evidence or to produce books, accounts, papers, records, documents, files,
				  computer files and photographs in original or electronic format relative to the
				  matter in question.
(d) The
				  issuance of a subpoena under this section will not be required to secure the
				  cooperation of a person who is an applicant for, or the holder of, a license,
				  permit, certification or registration issued by the Board, or to secure the
				  voluntary cooperation of any person.
The provisions of this § 405a.5 amended under
						4
						Pa.C.S. §§
													1202,
						1207,
						1320 and
						1517.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 405a - BUREAU OF INVESTIGATIONS AND ENFORCEMENT › Section 405a.6 - Enforcement action

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Upon a
				  determination by the Office of Enforcement Counsel that sufficient facts exist
				  to support enforcement action against a person holding a license, permit,
				  certification or registration issued by the Board, the Office of Enforcement
				  Counsel will initiate a complaint in accordance with §
										493a.2 (relating to complaints),
				  including a proposed order for an enforcement action and serve the complaint in
				  accordance with §
										491a.5 (relating to
				  service).
(b) The complaint for an
				  enforcement action will include a statement of the facts, the statute,
				  regulation or statement of conditions that the person is being charged with
				  violating and the remedy sought. The proposed order will be accompanied by a
				  certificate of service demonstrating the date of service.
(c) Within 30 days from the date of service
				  of complaint for an enforcement action, the person may file an answer in
				  accordance with §
										493a.5 (relating to answers to
				  complaints, petitions, motions and other filings requiring a response) and
				  serve a copy of the answer to the Office of Enforcement Counsel. Failure to
				  file an answer within 30 days will be deemed:
(1) A waiver by the person of any right to an
				  administrative hearing before the Board or the Office of Hearings and
				  Appeals.
(2) An admission by the
				  person of all matters and facts alleged in the proposed order for enforcement
				  action.
(3) Consent by the person
				  to the entry of a final order by the Board disposing of the enforcement
				  matter.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 407a - PUBLIC ACCESS TO BOARD FILES › Section 407a.1 - Case files

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The Clerk
				  will maintain a file for all formal records.
(b) Access to formal records will be governed
				  by the following:
(1) Nonconfidential
				  information in formal records will be available for inspection during normal
				  Board business hours.
(2) A request
				  for access to information will be addressed in accordance with the
				  Right-to-Know Law (65 P. S. §§
												67.101-67.3104).
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 407a - PUBLIC ACCESS TO BOARD FILES › Section 407a.2 - Minutes of public meeting and annual report

Current through Register Vol. 54, No. 28, July 13, 2024
Minutes of the public meeting and annual reports will be
					 available for public inspection upon request to the Secretary during normal
					 Board business hours. Copies will be provided upon request and payment of the
					 cost for copying as the Board may establish through a schedule published in the
Pennsylvania Bulletin
.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart A - General Provisions › Chapter 407a - PUBLIC ACCESS TO BOARD FILES › Section 407a.3 - Confidential information

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  Confidential information may include background investigation information,
				  including information provided under section 1310(a) of the act (relating to
				  slot machine license application character requirements), submitted in
				  connection with an application required for the issuance of any license,
				  permit, certification or registration under this part, discovery procedures, or
				  cross-examination or that is provided as a courtesy to a party in a formal
				  proceeding received by the Board or the Department as well as records obtained
				  or developed by the Board or the Department as part of an investigation related
				  to an applicant for or holder of a license, permit, certification or
				  registration containing any of the following:
(1) Personal information, including home
				  addresses, telephone numbers, Social Security numbers, educational records,
				  memberships, medical records, tax returns and declarations, actual or proposed
				  compensation, financial account records, credit-worthiness or financial
				  condition relating to an applicant, licensee or permittee or the immediate
				  family thereof.
(2) Documents and
				  information relating to proprietary information, trade secrets, patents or
				  exclusive licenses, architectural and engineering plans and information
				  relating to competitive marketing materials and strategies which may include
				  customer-identifying information or customer prospects for services subject to
				  competition.
(3) Security
				  information including risk prevention plans, detection and countermeasures,
				  emergency management plans, security and surveillance plans, equipment and
				  usage protocols and theft and fraud prevention plans and
				  countermeasures.
(4) Information
				  with respect to which there is a reasonable possibility that public release or
				  inspection of the information would constitute an unwarranted invasion into
				  personal privacy as determined by the Board.
(5) Records or information that is designated
				  confidential by statute or the Board.
(6) Records of an applicant or licensee not
				  required to be filed with the SEC by issuers that either have securities
				  registered under section 12 of the Securities Exchange Act of 1934
				  (15 U.S.C.A. §
												781) or are required to file reports under
				  section 15(d) of that act (15 U.S.C.A. §
												78o(d)).
(7) Records considered nonpublic matters or
				  information by the SEC as provided by
				  17 CFR
				  200.80 (relating to commission records
				  information).
(8) Information
				  obtained about an applicant for or holder of a license, permit, certification
				  or registration as a result of a release executed by the individual at the
				  request of the Bureau or the Board.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 421a - GENERAL PROVISIONS › Section 421a.1 - General requirements

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A
				  license, permit, certification, registration or authorization issued by the
				  Board is a revocable privilege. No person holding a license, permit,
				  certification, registration or authorization is deemed to have any property
				  rights related to the license, permit, certification, registration or
				  authorization.
(b) By filing an
				  application with the Board, an applicant consents to an investigation, to the
				  extent deemed appropriate by the Bureau, of the applicant's general
				  suitability, financial suitability, character, integrity and ability to engage
				  in, or be associated with, gaming activity in this Commonwealth.
(c) By filing an application for a license,
				  permit, certification, registration or authorization from the Board, an
				  applicant agrees to:
(1) Abide by the
				  provisions of the act and this part.
(2) Waive liability as to the Board, its
				  members, its employees, the Pennsylvania State Police, the Commonwealth and its
				  instrumentalities for damages resulting from disclosure or publication in any
				  manner, other than a willfully unlawful disclosure or publication of material
				  or information acquired during an investigation of the applicant.
(3) Execute all releases requested by Board
				  staff, including releases whereby the applicant consents to the release of
				  information that may be requested by the individual under section 1 of the
				  Freedom of Information Act (5
				  U.S.C.A. §
												552).
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 421a - GENERAL PROVISIONS › Section 421a.2 - Disqualification criteria

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An
				  application for issuance or renewal of a license, permit, certification,
				  registration or authorization may be denied, or a license, permit,
				  certification, registration or authorization may be suspended or revoked if:
(1) The applicant has failed to prove to the
				  satisfaction of the Board that the applicant or any of the persons required to
				  be qualified are in fact qualified in accordance with the act and with this
				  part.
(2) The applicant for or
				  holder of a license, permit, certification, registration or authorization has
				  violated the act or this part.
(3)
				  The applicant for or holder of a license, permit, certification, registration
				  or authorization is disqualified under the criteria in the act.
(4) The applicant for or holder of a license,
				  permit, certification, registration or authorization has misrepresented,
				  falsified or omitted a fact in the application for licensure or
				  renewal.
(5) The applicant for or
				  holder of a license, permit, certification, registration or authorization has
				  failed to comply with Federal, state or local laws or regulations.
(6) The applicant for or holder of a license,
				  permit, certification, registration or authorization is not current or is in
				  arrears on a financial obligation owed to the Commonwealth or a subdivision
				  thereof, including court-ordered child support payments.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 421a - GENERAL PROVISIONS › Section 421a.3 - Investigations; supplementary information

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The Bureau may make an inquiry or
				  investigation concerning an applicant for or holder of a license, permit,
				  certification, registration or authorization or any affiliate, intermediary,
				  subsidiary or holding company of the applicant for or holder of a license,
				  permit, certification, registration or authorization as it may deem appropriate
				  either at the time of the initial application or at any time
				  thereafter.
(b) It is the
				  continuing duty of an applicant and a holder of a license, permit,
				  certification, registration or authorization to provide full cooperation to the
				  Bureau in the conduct of an inquiry or investigation and to provide
				  supplementary information requested by the Bureau.
(c) An applicant for an initial or renewal
				  license, permit, registration, certification or authorization will be required
				  to reimburse the Board for additional costs, based on the actual expenses
				  incurred, in conducting the background investigation.
The provisions of this § 421a.3 amended under
						4
						Pa.C.S. §§
													1202(b)(9)-(23), 1205,
						1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 13A11,
						13A12-13A14, 13A15 and 1802 and Chapter
						13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 421a - GENERAL PROVISIONS › Section 421a.4 - Presuitability determination

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  Upon request from an eligible applicant for or holder of a license and upon
				  receipt of an application and appropriate fees, the Bureau will make an inquiry
				  or investigation of a potential purchaser of an applicant for or holder of a
				  license as if the purchaser were an eligible applicant.
(b) The eligible applicant for or holder of a
				  license making the request shall reimburse the costs associated with the
				  inquiry or investigation.
(c) This
				  inquiry or investigation does not replace the application process required
				  under the act and this part which is a requirement for licensure.
The provisions of this § 421a.4 amended under
						4
						Pa.C.S. §§
													1202(b)(9)-(23), 1205,
						1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 13A11,
						13A12-13A14, 13A15 and 1802 and Chapter
						13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 421a - GENERAL PROVISIONS › Section 421a.5 - Undue concentration of economic opportunities and control

Current through Register Vol. 54, No. 28, July 13, 2024
(a) In accordance
				  with section 1102(5) of the act (relating to legislative intent), a slot
				  machine license, management company license or principal license may not be
				  issued to or held by a person if the Board determines that the issuance or
				  holding will result in the undue concentration of economic opportunities and
				  control of the licensed gaming facilities in this Commonwealth by that
				  person.
(b) For purposes of this
				  section, "undue concentration of economic opportunities and control of the
				  licensed gaming facilities" means that a person:
(1) Would have actual or potential domination
				  of the gaming market in this Commonwealth contrary to the legislative
				  intent.
(2) Could substantially
				  impede or suppress competition among licensees.
(3) Could adversely impact the economic
				  stability of the gaming industry in this Commonwealth.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 421a - GENERAL PROVISIONS › Section 421a.6 - Reserved

Current through Register Vol. 54, No. 28, July 13, 2024
The provisions of this § 421a.6 adopted under
						4
						Pa.C.S. §
													1202(b)(30);
						reserved under
						4
						Pa.C.S. §§
													1202(b)(15) and
						(30),
						1207(2), (5), (8) and (9),
						1212, 13A02(2), 13A26(c), 1509, 1516, 1518(a)(13) and
						1602.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 423a - APPLICATIONS; STATEMENT OF CONDITIONS; WAGERING RESTRICTIONS › Section 423a.1 - General requirements

Current through Register Vol. 54, No. 28, July 13, 2024
(a) For the
				  purposes of this section, a reference to an applicant includes the applicant's
				  affiliates, intermediaries, subsidiaries and holding companies.
(b) An application shall be submitted on
				  forms or in an electronic format supplied or approved by the Board, contain the
				  information and documents required by the Board and include the applicable
				  fees.
(c) Upon request of the Board
				  or Board staff, the applicant shall further supplement information provided in
				  the application. The applicant shall provide requested documents, records,
				  supporting data and other information within the time period specified in the
				  request, or if no time is specified, within 30 days of the date of the request.
				  If the applicant fails to provide the requested information within the required
				  time period as set forth in the request, the Board may deny the
				  application.
(d) The application,
				  and amendments thereto, and other specific documents designated by the Board
				  shall be sworn to or affirmed by the applicant before a notary public. If there
				  is any change in the information provided to the Board or Board staff, the
				  applicant shall promptly file a written amendment.
(e) The Board will deny the application of an
				  applicant who refuses to submit to a background investigation or provide
				  requested information as required under the act.
(f) An applicant that submits a document to
				  the Board which is in a language other than English shall also submit an
				  English translation of the non-English language document. At its discretion,
				  the Board may accept an English summary of a document instead of a complete
				  translation of the document. The summary or translation must include the
				  signature, printed name, address and telephone number of the translator and a
				  verification by the translator of the truth and accuracy of the summary or
				  translation.
(g) An application and
				  related materials that have been submitted to the Board will become the
				  property of the Board and will not be returned to the applicant.
The provisions of this § 423a.1 amended under
						4
						Pa.C.S. §§
													1202(b)(9)-(23), 1205,
						1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 13A11,
						13A12-13A14, 13A15 and 1802 and Chapter
						13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 423a - APPLICATIONS; STATEMENT OF CONDITIONS; WAGERING RESTRICTIONS › Section 423a.2 - Preliminary submission review

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  Upon receipt of an application submission, the Bureau of Licensing will review
				  the submission to ensure that it contains:
(1)
				  The applicable application fee.
(2)
				  The applicable application forms and additional information and accompanying
				  documentation required by the act or the Board's regulations governing the
				  specific type of application.
(3)
				  Completed authorization forms for release of information from governmental
				  agencies and other entities required for the specific type of
				  application.
(4) For slot machine
				  license applications only, a bond or letter of credit as required by section
				  1313(c) of the act (relating to slot machine license application financial
				  fitness requirements).
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 423a - APPLICATIONS; STATEMENT OF CONDITIONS; WAGERING RESTRICTIONS › Section 423a.3 - Application processing

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Upon a
				  determination that an application is required and the prerequisites for filing
				  have been met, the application will be accepted for filing and Board staff, if
				  applicable, will:
(1) Obtain information as
				  may be necessary to determine the qualifications of the applicant and any
				  matter relating to the application.
(2) Promptly conduct an investigation of the
				  applicant and on any matter relating to the application.
(3) Request the Pennsylvania State Police to
				  provide a criminal history background investigation report, determine employee
				  eligibility consistent with §
											435a.1 (relating to general
				  provisions), conduct fingerprinting, photograph the applicant and perform other
				  related duties in accordance with the act.
(4) Request the Department to promptly
				  conduct a tax clearance review.
(5)
				  Request the Department of Labor and Industry to perform an Unemployment
				  Compensation Tax clearance review and a Workers Compensation Tax clearance
				  review.
(6) Request any agencies,
				  entities or persons to conduct investigations or evaluations or to provide
				  information to the Board as deemed necessary by the Board.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 423a - APPLICATIONS; STATEMENT OF CONDITIONS; WAGERING RESTRICTIONS › Section 423a.4 - Deficient and abandoned applications

Current through Register Vol. 54, No. 28, July 13, 2024
(a) If an application is found to be
				  deficient, Board staff will notify the applicant of the deficiencies in the
				  application and permit the applicant to cure the deficiencies within a time
				  period prescribed by Board staff.
(b) Failure to provide the information
				  necessary to cure the deficiencies required under subsection (a) may result in
				  the denial of the application or in the application being declared abandoned.
				  The Bureau of Licensing may close and declare abandoned an incomplete or
				  deficient application which is not recommended for denial.
(c) An applicant whose application is denied
				  will be subject to the restrictions on filing a new application in §
										423a.7 (relating to restriction on
				  application after denial or revocation). An applicant whose application has
				  been declared abandoned may file a new application at any time.
(d) When an application is denied or declared
				  abandoned under subsection (b), the applicant will be given written notice of
				  this action.
The provisions of this § 423a.4 amended under
						4
						Pa.C.S. §§
													1202(b)(30),
						1308,
						1311,
						1311.1,
						1311.2,
						1317.2,
						1321,
						1406 and
						1518(a)(13).
This section cited in 58 Pa. Code §
												423a.7 (relating to restriction on
						application after withdrawal with prejudice, denial or revocation); and 58 Pa.
						Code §
												1110a.3 (relating to deficient and
						abandoned applications).
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 423a - APPLICATIONS; STATEMENT OF CONDITIONS; WAGERING RESTRICTIONS › Section 423a.5 - Application withdrawal and surrender

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A request for withdrawal of an
				  application may be made at any time prior to the Board taking action on the
				  application in accordance with the following requirements:
(1) A request for withdrawal of an entity
				  applying for a license, certification or registration, or an individual
				  applying for a principal license or a qualifier of an entity applying for a
				  license or certification shall be made by filing a petition with the Board in
				  accordance with §
											493a.4 (relating to petitions
				  generally).
(2) A request for
				  withdrawal of an individual applying for a key employee license, a permit or
				  registration shall be made on a form supplied by the Bureau of Licensing. If
				  Board staff objects to the request for withdrawal, the person filing the form
				  will be notified and may be required to file a petition for withdrawal with the
				  Board in accordance with § 493a.4.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 423a - APPLICATIONS; STATEMENT OF CONDITIONS; WAGERING RESTRICTIONS › Section 423a.6 - License, permit, registration and certification issuance and statement of conditions

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
Issuance criteria.
In addition to the criteria contained in
				  the act, the Board will not issue or renew a license, permit, certification or
				  registration unless the Board finds that the following criteria have been
				  established by the applicant:
(1) The
				  applicant has paid all applicable fees.
(2) The applicant has fulfilled each
				  condition set by the Board or contained in the act, including the execution of
				  a statement of conditions.
(3) The
				  applicant is found suitable consistent with the laws of the Commonwealth and is
				  otherwise qualified to be issued a license, permit, certification, registration
				  or other authorization.