The purposes and effects of the proposed rules are to implement and interpret Florida Statutes relating to administrative rules regulating the conduct of slot machine operations at licensed pari-mutuel facilities in this state, and provide uniform ...

 

DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION

Division of Pari-Mutuel Wagering

RULE NO.: RULE TITLE:

61D-14.001: General Definitions

61D-14.002: Application Requirements

61D-14.005: Occupational License Requirements for Individual Persons

61D-14.0055: Temporary Individual Slot Machine Occupational License

61D-14.006: Occupational License Application Requirements for Business Entities

61D-14.008: Occupational License Renewal Application

61D-14.009: Denial Criteria for Occupational License Application or Renewal

61D-14.012: Change of Position, Place of Work, Name, or Address

61D-14.015: Slot Machine Licensee Organizational Structure

61D-14.016: Operational Requirements

61D-14.018: State Office Space Requirements

61D-14.020: Excluded Persons

61D-14.0211: Server Based Gaming Systems (SBGS) and Server Supported Gaming Systems (SSGS)

61D-14.022: Slot Machine, Slot Machine Component, and Progressive System Requirements

61D-14.024: Logic Compartment

61D-14.028: Printed Circuit Board (PCB) Identification

61D-14.032: Progressive System Requirements

61D-14.037: Games with Bonus Features, Multiple Win Lines, Prizes

61D-14.040: Game Cycle, Payment of Credits by Ticket Printer, and Ticket Redemption

61D-14.041: Randomness Requirements and Game Play Auditing

61D-14.046: Facility Based Monitoring System Functionality

61D-14.047: Facility Based Monitoring System and Computer Diagnostics

61D-14.050: Floor Plan

61D-14.051: Security Plan

61D-14.052: Electronic Identification and Access Control System

61D-14.054: Surveillance Equipment

61D-14.059: Slot Machine Licensee Personnel

61D-14.060: Business Entities, Internal Controls and Personnel Records

61D-14.063: Count Rooms

61D-14.065: Procedure for Slot Cash Storage Box Count

61D-14.067: Slot Booths and Change Machines

61D-14.072: Cashier’s Cage, Satellite Cages, Vaults, and Accounting Controls

61D-14.074: Security Requirements, System Access, and Firewalls

61D-14.075: Jackpot Payouts Not Paid Directly From the Slot Machine

61D-14.076: Player Tracking System

61D-14.082: Annual Financial Report

61D-14.0861: Annual Compliance Audit

61D-14.096: Requirement for Shipment of All Slot Machines and Software Components

61D-14.097: Responsibility for Control of Slot Machine or Slot Machine Component Shipment

61D-14.098: Slot Machine Seal

PURPOSE AND EFFECT: The purposes and effects of the proposed rules are to implement and interpret Florida Statutes relating to administrative rules regulating the conduct of slot machine operations at licensed pari-mutuel facilities in this state, and provide uniform rules addressing technological changes upon the request of industry participants.

SUMMARY: The proposed rules address server based gaming system requirements, server supported gaming system requirements, progressive system requirements, annual compliance audit requirements, modification of the term “slot booths” to “slot cashier’s cage” contained in Chapter 61D-14, F.A.C. electronic fingerprint submission requirements, approval of operating licenses and amending licensure renewal application dates, slot machine operational changes, slot machine form changes, and clarification of definitional terms referenced throughout Chapter 61D-14, F.A.C. slot machine gaming requirements.

SUMMARY OF STATEMENT OF ESTIMATED REGULATORY COSTS AND LEGISLATIVE RATIFICATION:

The Agency has determined that this will not have an adverse impact on small business or likely increase directly or indirectly regulatory costs in excess of $200,000 in the aggregate within one year after the implementation of the rule. A SERC has not been prepared by the Agency.

The Agency has determined that the proposed rule is not expected to require legislative ratification based on the statement of estimated regulatory costs or if no SERC is required, the information expressly relied upon and described herein: The Division of Pari-Mutuel Wagering conducted an analysis of the proposed rules’ potential economic impact and determined that they did not exceed any of the criteria established in Section 120.541(2)(a), F.S.

Any person who wishes to provide information regarding a statement of estimated regulatory costs, or provide a proposal for a lower cost regulatory alternative must do so in writing within 21 days of this notice.

RULEMAKING AUTHORITY: 551.0251, 551.103, 551.104, 551.1045, 551.109, 551.112, 551.118, 551.122, fs.

LAW IMPLEMENTED: 550.0251, 551.103, 551.104, 551.106, 551.107, 551.108, 551.109, 551.113, 551.114, 551.118, 551.121, 559.79, fs.

IF REQUESTED WITHIN 21 DAYS OF THE DATE OF THIS NOTICE, A HEARING WILL BE HELD AT THE DATE, TIME AND PLACE SHOWN BELOW:

DATE AND TIME: Friday, December 9, 2016, 9:30 a.m. – 5:00 p.m.

PLACE: Florida Department of Revenue Conference Room 1-1820, Capital Circle Office Center, 2450 Shumard Oak Boulevard, Tallahassee, Florida

THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: Bryan Barber, Division of Pari-Mutuel Wagering, [e-mail], 2601 Blairstone Rd., Tallahassee, FL 32399, [phone]

 

THE FULL TEXT OF THE PROPOSED RULE IS:

61D-14.001 General Definitions.

The following words and terms, when used in these regulations, shall have the following meanings unless the context clearly indicates otherwise:

(1) through (11) No change.

(12) “Gaming day” means the time sixteen hour period, not to exceed 24 hours, the slot machine gaming areas of a slot machine licensee are open pursuant to Section 551.116, F.S., and used by any casino for accounting and business reporting purposes.

(13) No change.

(14) “Local Area Progressive,” also referred to as “LAP,” means a progressive system located within the same licensed facility within this state.

(15)(14) “Play” means the making of a slot machine wager or the use of a free play award in lieu of a wager, the activation of the slot machine game by the patron, and an indication to the patron of the outcome of the wager.

(16) “Program Storage Media” includes hard drives, card flash, USB, SIMM cards, SATA, and EPROMs.

(17) “Server Based Gaming Systems,” also referred to as “SBGS,” is the combination of server and client terminals in which the entire or integral portion of the game content resides on the server, and the system works collectively in such a fashion that the client terminal will not be capable of functioning when disconnected from the server or system.

(18) “Server Supported Game System,” also referred to as “SSGS,” is the combination of server and client terminals which together allow the transfer of the entire control program and the game content to the client terminals for the purpose of downloading control programs and game content on an intermittent basis, which client terminals are connected to the system and are capable of operations independently from the system once the downloading process is completed. This configuration encompasses cases where the system may take control of peripheral devices or associated equipment typically considered part of a conventional client terminal such as a bill validator or a printer. In a system supported game, the game outcome is determined by the client terminals connected to the system and not by the system itself, and the client terminal is capable of functioning if disconnected from the system.

(19)(15) “Slot cash storage box” is a tamper-resistant container, used in slot machine gaming that provides storage for bills, tickets, and vouchers accepted by a device such as a slot machine or automated ticket redemption machine.

(20)(16) “Ticket” means a receipt printed by a slot machine or ticket issuing machine used for slot machine play or redeemed by the slot machine licensee.

(21)(17) “Voucher” means a receipt for cash or property which is issued at a cashier’s cage and that is inserted into a slot machine to initiate play.

(22) “Wide Area Progressive,” also referred to as “WAP,” means a progressive system located in more than one licensed facility within this state or other jurisdictions.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(a), (b), (d), (e), (g), (i), 551.104(4) FS. History–New 6-25-06, Amended 12-6-06,                    .

 

61D-14.002 Application Requirements.

(1) Each application for a slot machine license shall:

(a) through (f) No change.

(g) Provide for each individual listed in the application as an owner, partner, officer, or director a complete:

1. A complete set of each owner, partner, officer, or director’s fingerprints must be submitted electronically to the Florida Department of Law Enforcement (FDLE) and the Federal Bureau of Investigations (FBI) for state and national criminal history record checks. All sets of fingerprints must be submitted by a live-scan vendor or service provider that has been approved by FDLE to electronically submit criminal history requests. If the set of fingerprints are taken on a physical fingerprint card, it must be scanned and submitted by a FDLE-approved live-scan vendor or service provider.

i. Each owner, partner, officer, or director required to be reported pursuant to this section must provide the correct Originating Agency Identifier (ORI) number listed on the Division of Pari-Mutuel Wagering’s licensing portal website to the live-scan vendor or service provider.  Failure to provide the correct ORI number may result in an incomplete application;

ii. The cost of fingerprint processing shall be paid by the applicant directly to the FDLE-approved vendor or service provider Set of fingerprints that have been taken by a law enforcement officer or division staff to allow for electronic submission to FDLE; and

2. Form DBPR PMW-3460, Authorization for Release of Information, effective 6-21-10, adopted herein by reference, and can be obtained at www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering at 2601 Blair Stone Road, Tallahassee, Florida 32399-1035, authorizing the division and FDLE to obtain any record held by a financial or public institution.

(h) through (r) No change.

(2) through (4) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(a), (b), (f), (g), 551.104(4), (10), 551.106(1), 551.118 FS. History–New 6-25-06, Amended 6-21-10,                         .

61D-14.005 Occupational License Requirements for Individual Persons.

(1) through (3) No change.

(4) Every initial application and renewal thereafter for a slot machine occupational license shall include:

(a) through (b) No change.

(c) A set of the applicant’s fingerprints submitted electronically to FDLE and FBI for state and national criminal history record checks. All sets of fingerprints must be submitted by a live-scan vendor or service provider that has been approved by FDLE to electronically submit criminal history requests. If the set of fingerprints are taken on a physical fingerprint card, it must be scanned and submitted by a FDLE-approved live-scan vendor or service provider. 

1. Each applicant must provide the correct Originating Agency Identifier (ORI) number listed on the Division of Pari-Mutuel Wagering’s licensing portal website to the live-scan vendor or service provider.  Failure to provide the correct ORI number may result in an incomplete application;

2. The cost of fingerprint processing shall be paid by the applicant directly to the FDLE-approved vendor or service provider The electronic submission of fingerprints of the applicant taken by division staff that shall be submitted for state and federal regulatory inquiry purposes; and

(d) The slot machine occupational license fees are and fingerprint fees to be paid as provided in Rule 61D-14.011, F.A.C.

(5) No change.

(6) If the applicant for or holder of an occupational license intends to claim any exemption from public records disclosure under Section 119.07, F.S., or any other exemption from public records disclosure provided by law, for any part of its application or information provided therein, it shall identify, indicate in its application or by written notice to the division, the specific information sections for which it claims an exemption and the basis for the exemption.

(7) through (8) No change.

Rulemaking Authority 550.0251(2), 551.103(1), 551.122 FS. Law Implemented 550.0251(2), 551.103(1)(b), 551.107(4)(a), 551.108, 559.79(2) FS. History–New 6-25-06, Amended 12-6-06, 6-21-10, 9-26-13,                     .

 

61D-14.0055 Temporary Individual Slot Machine Occupational License.

(1) The division shall issue a temporary individual slot machine occupational license, general or professional, when the following conditions are met within 30 days of receipt of the application submitted pursuant to subsections subsection 61D-14.005(2) and 61D-14.006(2), F.A.C.:

(a) through (c) No change.

(2) through (4) No change.

Rulemaking Authority 551.103(1), 551.1045, 551.122 FS. Law Implemented 551.1045, 551.107 FS. History–New 6-21-10, Amended                   .

 

61D-14.006 Occupational License Application Requirements for Business Entities.

(1) through (2) No change.

(3) Failure to include the following information as required by Form DBPR PMW-3420, Slot Machine Business Entity Occupational License Application, adopted by reference in subsection (2) above, shall constitute grounds to deny the incomplete license application:

(a) through (b) No change.

(c) Whether the business is a sole proprietorship, corporation, estate, trust, partnership, limited liability company, or if not one of the foregoing, a description of the business entities ownership and management structure;

(d) through (f) No change.

(g) A copy of the business entity’s registration to do business in the state of Florida, or proof of attempting to obtain such registration;

(h)(g) The name and title of a contact person working for the business, including a primary telephone number, an alternate telephone number, and a primary e-mail address;

(i)(h) A list of all officers, directors, or managers of the business including:

1. A set of each officer, director, or manager’s fingerprints must be submitted electronically to FDLE and FBI for state and national criminal history record checks. All sets of fingerprints must be submitted by a live-scan vendor or service provider that has been approved by FDLE to electronically submit criminal history requests. If the set of fingerprints are taken on a physical fingerprint card, it must be scanned and submitted by a FDLE-approved live-scan vendor or service provider. 

i. Each officer, director, or manager required to be reported pursuant to this section must provide the correct Originating Agency Identifier (ORI) number listed on the Division of Pari-Mutuel Wagering’s licensing portal website to the live-scan vendor or service provider.  Failure to provide the correct ORI number may result in an incomplete application;

ii. The cost of fingerprint processing shall be paid by the applicant directly to the FDLE-approved vendor or service provider that have been taken by a law enforcement officer or division staff to allow for electronic submission to FDLE; and

2. A Form DBPR PMW-3460, Authorization for Release of Information, adopted by reference in Rule 61D-14.002, F.A.C., signed by the individual.

(j)(i) The name, title, and job description of each employee who is required to enter any area of a slot machine licensee’s facility;

(k)(j) Disclosure of other jurisdictions in which the applicant holds, has held, or is applying for a gaming license, including any license, permit, or registry required in order to participate in any legal gaming operation.

(l)(k) Disclosure of whether the applicant has had a gaming license in another jurisdiction suspended, revoked, or denied, or whether there are administrative, civil, or criminal proceedings in any other jurisdiction that could result in the imposition of any suspension, revocation, or denial in that jurisdiction. Such disclosure shall include:

1. through -3. No change.

(m)(l) A description of the services, products or goods which the business intends to provide;

(n)(m) A list of all ownership interests of five percent or greater. If a corporation, the name of the state in which incorporated and the names and addresses of the officers, directors, and shareholders holding five percent or more equity or, if a business entity other than a corporation, the names and addresses of the principals, partners, shareholders or any other person holding five percent or more equity;

(o)(n) The names and addresses of the ultimate equitable owners for a corporation or other business entity, if different from those provided under paragraph (3)(i)(h), unless:

1. through 2. No change.

(p)(o) If the applicant is a corporation, the application shall also disclose:

1. through 2. No change.

3. A copy of the corporation’s registration to do business in the state of Florida, or proof of attempting to obtain such registration;

4. through 6. No change.

(q)(p) A list of slot machine licensees to whom the applicant intends to provide services, products or goods.

(4) through (7) No change.

(8) If the applicant for or holder of an occupational license intends to claim any exemption from public records disclosure under Section 119.07, F.S., or any other exemption from public records disclosure provided by law, for any part of its application or information provided therein, it shall identify, indicate in its application or by written notice to the division, the specific information sections for which it claims an exemption and the basis for the exemption.

(9) No change.

Rulemaking Authority 550.0251(2), 551.103(1), 551.122 FS. Law Implemented 550.0251(2), 551.103(1)(b), 551.107, 559.79(2) FS. History–New 7-30-06, Amended 6-21-10, 8-14-11, 9-26-13,                     .

 

61D-14.008 Occupational License Renewal Application.

(1) through (2) No change.

(3) The completed renewal application shall be filed with and received by the division between April May 1st and June 30th of the year the license is due to expire.

(4) through (6) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(a), (b), 551.107(4) FS. History–New 6-25-06, Amended 6-21-10,                           .

 

61D-14.009 Denial Criteria for Occupational License Application or Renewal.

The division shall deny the application for a slot machine occupational license if a review of the application or the investigation of the applicant demonstrates any of the following:

(1) through -(7) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(a), (b), 551.107(4)(a), (b), (5), (6) FS. History–New 6-25-06, Amended                    .

 

61D-14.012 Change of Position, Place of Work, Name, or Address.

(1) In the event a person holding a slot machine general employee occupational license changes job duties or functions, or employment to a position requiring a slot machine professional occupational license or slot machine business employee occupational license, the licensee shall apply to upgrade the license by completing Form DBPR PMW-3450 -3170, Slot Machine Occupational License Upgrade, effective 9-26-13, incorporated herein by reference, http://flrules,org/Gateway/reference.asp?No=Ref-03159, which can be obtained at www.myfloridalicense.com or by contacting the Division of Pari-Mutuel Wagering at 2601 Blair Stone Road, Tallahassee, Florida 32399-1035, prior to performing the professional-level duties.

(2) Any person employed by a slot machine licensee or slot machine business entity licensee in a position that requires a slot machine occupational license shall notify the division in writing of any change of employment to a different slot machine licensee or to any business entity licensed pursuant to Rule 61D-14.006, F.A.C., prior to commencing the new employment.

(3) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(a), (b), (g), 551.107(4)(a) FS. History–New 6-25-06, Amended                   .

 

61D-14.015 Slot Machine Licensee Organizational Structure.

(1) through (2) No change.

(3) In addition to satisfying the requirements of subsection (1) above, each slot machine licensee’s organizational structure shall include, at a minimum, the following mandatory departments and supervisory positions:

(a) through (c) No change.

(d) The Security Department is responsible for the overall security of the facility including the following:

1. No change.

2. The physical safeguarding of assets, with the exception of slot machines whose cash boxes have been removed and are under active surveillance, transported to, from, or through the facility;

3. through 6. No change.

(e) through (g) No change.

(4) No person shall be assigned to duties of more than one department listed in subsection (3). Further, no person within a department shall be assigned job duties that would enable the such a person to both perpetrate an error or commit fraud and conceal evidence of the error or fraud in the course of their duties.

(5) The slot machine licensee shall designate a custodian of records for each department referenced in subsection (3). The slot machine licensee shall provide a written notification to the division and FDLE listing the custodian of records for each department. The slot machine licensee shall update the list whenever the employee designated as the custodian of records is changed.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(a), (b), (d), (e), (i) FS. History–New 6-25-06, Amended        .

 

61D-14.016 Operational Requirements.

(1) through (3) No change.

(4) The slot machine licensee shall provide written certification to the division and FDLE from each bank, financial institution, funds transmitter or other entity that handles or facilitates the slot machine licensee’s financial operations, that each such entity will accept and comply with any administrative or investigative subpoena or request for production of records from the division or FDLE and shall make all books and records related to the slot machine licensee available for audit or review when required by the division or FDLE.

(5) The slot machine licensee shall post separate signage throughout the designated slot machine gaming areas providing notice of the following:

(a) No change.

(b) Showing the odds of winning, which shall be updated quarterly and stated in one of the following ways as either:

1. The actual payout percentage for the facility based upon the previous quarter; or

2. The average of the overall certified payout percentage for the machines currently offered for play;

(c) through (d) No change.

(6) No change.

(7) No less than two weeks prior to a slot machine licensee opening its facility for slot machine play, the slot machine licensee shall contact the division and FDLE for a trial operation day to test slot machines, the facility based monitoring system, security systems, back up systems and employee training on internal controls. The division and FDLE shall test for contingencies or situations that impact slot machine operations at the slot machine licensee’s facility. If the slot machine licensee’s systems do not function as required by Chapter 551, F.S., Chapter 61D-14, F.A.C., and the internal controls submitted for compliance with the rules, the division shall provide the slot machine licensee with a written list of deficiencies. The slot machine licensee shall advise the division and FDLE when those deficiencies have been addressed and the division and FDLE shall retest those systems to verify compliance. A slot machine licensee shall not open its facility for slot machine play until the division acknowledges in writing that all deficiencies noticed by the division are resolved.

(8) No slot machine or any part of the logic compartment referenced in Rule 61D-14.024, F.A.C., shall be removed from its location designated by the facility floor plan without prior written notification to the surveillance department and the division or FDLE.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (e), (g), (h), (i), 551.113(3), 551.114 FS. History–New 7-30-06, Amended                .

 

61D-14.018 State Office Space Requirements.

(1) There shall be, for the exclusive use of the division and FDLE employees, office space for a Licensing/Compliance Room at each facility for regulatory and law enforcement purposes. The slot machine licensee shall not have access to the designated space unless authorized by the division or FDLE and a division or FDLE representative is present.

(2) The Licensing/Compliance Room shall be at least 600 500 square feet in office area at each facility in order to station on-site division employees to facilitate the licensing process and provide workspace for compliance auditors, investigators, and other regulatory staff and meet the following minimum requirements:

(a) through (j) No change.

(k) Adequate lighting, power outlets, and ventilation as provided in other office space in the slot facility; and

(l) Four internal security radios capable of containing all facility security channel frequencies; .

(3) The Secure Room space shall be at least 1,086 square feet at each facility in order to station FDLE and task force partners and shall meet the following minimum requirements:

(a) One bay area not less than 936 square feet (includes 80 square feet for a work station for real time video surveillance) to accommodate 7 special agents/analysts/task partners;

(b) One office not less than 100 square feet;

(m)(c) One telecommunications closet not less than 50 square feet. This closet shall have plywood installed to facilitate the installation of a T-1 circuit or equivalent function(s) T-1 circuit(s) for connectivity to FDLE’s and the division’s secure state network;

(n)(d) The Licensing/Compliance Room secure monitoring room shall be accessible through a solid core door with locking mechanism that permits entry only by employees of the division and FDLE. The office within the secure monitoring room shall be accessible through a solid core door only from the bay area;

(o)(e) The interior of the Licensing/Compliance Room secure monitoring room shall not be visible to the public or to the slot machine licensee;

(f) Access to the secure monitoring room shall be controlled by FDLE;

(p)(g) Switching capabilities to insure that all surveillance cameras are accessible to the monitors in the secure monitoring room; and

(q)(h) Cabling and connecting media to accommodate telephone and communications media and computers. ; and

(i) Eight internal security radios capable of containing all facility security channel frequencies.

(3)(4) The Interview/Detention Room shall be at least 100 square feet and shall include a bench or other apparatus which is permanently affixed to the facility and to which the person in custody can be handcuffed.

(4)(5) Five Ten parking spaces shall be provided adjacent to the facility, six which are marked for FDLE use and four marked for division use.

(5)(6) The Licensing/Compliance Room, the Secure Room, and the Interview/Detention Room shall be contiguous or adjacent unless otherwise approved by the division.

(6)(7) The telephone and communication media systems required by this section shall be segregated so that the slot machine licensee is prohibited from accessing calls or communications made from and into the licensing/compliance and secure monitoring rooms.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(i), 551.114(5) FS. History–New 6-25-06, Amended               .

 

61D-14.020 Excluded Persons.

(1) No change.

(2) Each slot machine licensee shall maintain a database of persons entitled “Exclusion List, .” and report such list to the division on no less than a weekly basis. The Exclusion List shall contain information on:

(a) Persons the slot machine licensee has excluded from its facilities for a specific amount of time as determined by the licensee, not including persons self-excluded as compulsive gamblers; and

(b) Persons who have been excluded by a final order of the division or an emergency order of suspension or exclusion by the division pursuant to Section 120.60, F.S.

(3) through (8) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1), (g), (i), 551.112, 551.118 FS. History–New 6-25-06, Amended 6-21-10,                   .

 

61D-14.0211 Server Based Gaming Systems (SBGS) and Server Supported Gaming Systems (SSGS)

(1) Prior to sale or delivery of a SBGS or SSGS for play in this state, the division must receive written certification by a licensed independent testing laboratory that all criteria for operation contained in Chapter 551, F.S. and Chapter 61D-14, F.A.C., are met. The testing laboratory that certifies the system shall perform an initial onsite test to confirm the install of the system to ensure proper configuration of all security applications.

(2) Each component of a SBGS or SSGS must function as indicated by the communication protocol implemented.  All protocols must use communication techniques that have proper error detection and/or recovery mechanisms which are designed to prevent tampering. Encryption with secure seeds or algorithms is required.

(3) For a SBGS, the client must be rendered unplayable if communication from the server or system is lost. In the event of lost communication, the SBGS must provide a means for patrons to cash out credits indicated on the server based client terminal at the time communication was lost.

(4) In the event the SBGS or SSGS is utilized in conjunction with another approved progressive network, all communications must pass through at least one approved application-level firewall and must not have a facility that allows for an alternate network path. If an alternate network path exists for redundancy purposes, it too must pass through at least one application-level firewall.

(5) Except as provided in this section, the SBGS or SSGS shall not allow for remote access.  A slot machine licensee shall provide in its system of internal controls a method of providing limited remote access to the SBGS or SSGS for a slot machine business occupational licensee pursuant to Subsection 551.107(2)(a)3, F.S.  Limited remote access, where permitted, shall authenticate all computer systems based on the authorized settings of the SBGS or SSGS, or firewall application that establishes a connection with the SBGS or SSGS, and:

(a) Prohibit unauthorized remote user administration functionality;

(b) Prohibit unauthorized access to any database other than information retrieval using existing functions;

(c) Prohibit unauthorized access to the operating system;

(d) The SBGS or SSGS must maintain an activity log either automatically or have the ability to manually enter the logs depicting all remote access information, which includes:

1. Log on name;

2. Time and date the connection was made;

3. Duration of connection; and

4. Activity while logged in, including the specific areas accessed and changes that were made.

(e) Meets all other requirements for remote access as provided for under Chapter 61D-14, F.A.C.

(6) A SBGS or SSGS may be a collection of servers for load balancing, redundancy or functionality reasons. The system as a whole, which may be a collection of such servers, must meet the full requirements of Chapter 61D-14, F.A.C., but not necessarily each individual server.

(7) For a SBGS, the game server shall generate and transmit to the client terminals control, configuration and information data, depending upon the actual implementation.  For a SSGS, the game server will not participate in the game determination process, but it’s primary functions will be that of downloading control programs and other software resources, or providing command and control instruction that may change the configuration of the software already loaded on the client terminal, on an intermittent basis.

(8) The servers shall be housed in a secure computer room or secure locked cabinet located at a Florida licensed slot facility and shall have dedicated cameras that offer unobstructed views and meet all camera requirements as specified in Rule 61D-14.054, F.A.C. All servers shall have sufficient physical and/or logical intrusion protection against unauthorized access. The system shall require manufacturer and division authority providing joint but not separate access.

(9) The SBGS or SSGS interface element setup and/or configuration menu(s) must not be available unless using an authorized access method that is secure. There shall be no means available for an operator to conduct programming on the server in any configuration. However, it shall be acceptable for licensed network administrators to perform authorized network infrastructure maintenance, provided that all requirements are met as detailed under Rule 61D-14.074, F.A.C.  All SBGS or SSGS servers and client devices shall have:

(a) Industry-standard virus protection; and

(b) Copy protection to prevent unauthorized proliferation or modification of software, for servers or clients, provided that:

1. The method of copy protection is fully documented and provided to the licensed independent testing laboratory, who will verify that the protection works as described; and

2. Any device(s) involved in enforcing the copy protection can be individually verified by the division.

(10) The SBGS or SSGS shall be designed to protect the integrity of pertinent data in the event of a failure. Audit logs, system databases, and any other pertinent data must be stored using a protection method determined as reasonable by the division. If hard disk drives are used as storage media, data integrity must be assured in the event of a disk failure. The protection method employed must also provide open support for backups and restoration. Backup scheme implementation must occur at least once every twenty-four (24) hours. In the event of a catastrophic failure when the SBGS or SSGS cannot be restarted in any other way, it shall be permitted, with prior written approval of the division, to reload the database from the last viable backup point and fully recover the contents of that backup. The SBGS or SSGS must implement self-monitoring of all critical interface elements, including but not limited to central hosts, network devices, firewalls, and links to third parties, and shall have the ability to effectively notify the system administrator of the condition, provided the condition is not catastrophic. The SBGS or SSGS shall be able to perform this operation with a frequency of at least once in every twenty-four (24) hour period. 

(11) Each component of the SBGS or SSGS must have a method to be verified via a division approved third-party verification procedure.  The third-party verification process shall not include any process or security software provided by the operating system or manufacturer.  The SBGS or SSGS must be capable of verifying that all control programs contained on the server or system portion are authentic copies of approved components both automatically at least once every twenty-four (24) hours and on demand if requested. The method of validation must provide at least 128 bits of resolution or must be a bit-for-bit comparison and must prevent the execution of any control program component if the component is determined to be invalid. If an error(s) is detected, the system must provide a visual notification of the invalid program. A program component of the verification mechanism must reside on and securely load from non-alterable media. A report shall be available at the request of the division which details the outcome of each automated execution of the validation mechanism and shall identify any invalid program components.

(12) Program devices that only use read-only memory, such as smart cards, may be used provided they are able to be verified by the following methodology:

(a) A challenge is sent by the peer device, such as a hashing seed, to which the device must respond with a checksum of its entire program space using the challenge value; and

(b) The challenge mechanism and means of loading the software into the device is verified by the licensed independent testing laboratory.

(13) The SBGS or SSGS shall provide the ability to conduct an independent integrity check of all applicable controlled components residing on the system.  The third-party verification process shall be approved by the division, and shall not include any process or security software provided by the operating system manufacturer.

(14) The SBGS or SSGS shall provide the ability to authenticate all applicable controlled components for which a copy resides on the system on demand and once every twenty-four (24) hours and:

(a) The SBGS or SSGS shall authenticate all critical files including, but not limited to, executables, data, operating system files and other files, which may affect the game outcome or operation, and for which a copy resides on the system.

(b) The SBGS or SSGS shall employ a third-party industry-standard secure hashing algorithm. If embedded, the manufacturer must be able to demonstrate the algorithm of choice to both the licensed independent testing laboratory and the division.

(c) A report shall be available at the request of the division that details the verification results for each controlled component verification.

(d) In the event of failed authentication, the SBGS or SSGS shall deactivate the controlled component in a manner in which the download, install, and configuration of the controlled component to a connected client terminal is not possible. The SBGS or SSGS shall also provide a mechanism to provide notification of the authentication failure to the division.

(15) The server that supports a SBGS or SSGS must be able to provide the following information display:

(a) A complete play history for the most recent game played and at least nine (9) games prior to the most recent game for each client station connected to the server based game. The display must indicate the game outcome, intermediate play steps, credits available, bets placed, credits or coins paid, and credits cashed out. The capability to initiate game recall must be available at the client, for recall information specifically associated with the particular client station initiating the game recall. The capacity to initiate game recall for any and all clients that make up the SBGS must be available from the system or server portion of the SBGS. The requirement to display game recall applies to all game programs currently installed on the server portion of the server based game.

(b) A complete transaction history for transactions with a cashless wagering system to include the most recent and the previous thirty-four (34) transactions prior to the most recent transaction for each client station that incremented any of the cashless in-or out meters. The capability to initiate transaction history must be available at the client terminal for the transaction history specifically associated with the particular client terminal initiating the history information request.

(16) The SSGS download data library shall only be written to using a secure methodology by which the licensed manufacturer and/or Florida licensed slot machine operator will be able to access the download data library, provided that this access does not permit adding new download data files; or the download data library shall only be written to using a method that is acceptable by the licensed independent testing laboratory and the division.  Any changes that are made to the download data library, including the addition, changing or deletion of game programs, must be stored in an un-alterable audit log, which shall be available at the request of the division, and shall include, at a minimum:

(a) Time and date of the access and/or event;

(b) Log-in name; and

(c) Download data files added, changed, or deleted.

(17) Any record of activity between the server and the client that involves the downloading of program logic, the adjustment of client settings and/or configurations, or the activation of previously downloaded program logic, must be stored in an unalterable audit log, which shall be available at the request of the division, and shall include:

(a) The client terminal(s) which the game program was downloaded to and, if applicable, the program it replaced; and

(b) The client terminal(s) which the game program was activated on and the program it replaced; and

(c) Changes to the client terminal configuration settings and/or configurations and what the changes were.

(18) The client terminal and/or the SSGS server must have a method to monitor and report to the facility based monitoring system (FBMS) all external door access during a foreground program download and/or activation process.  Prior to execution of updated software, the client terminal must be in an idle state for four (4) minutes and the software successfully authenticated, as provided for under Chapter 61D-14, F.A.C.  Prior to any software being added or removed from a gaming device or client station comprising a part of a system supported game, that would result in the loss or change of mandatory accounting meter information; a complete set of meter information must be successfully communicated to a slot accounting system.  It must be possible for the division to perform an analysis of the game, which may include viewing the game data at the SBGS or SSGS server and/or being able to place the game data back onto another client terminal for further examination.

(19) Client terminal control programs that offer multiple paytables and/or denominations that can be configured via the SBGS or SSGS server will not require additional approval by the division to change the paytable selected, provided:

(a) All paytables that are available are certified by a licensed independent testing laboratory as meeting the requirements contained in Chapter 551, F.S. and Chapter 61D-14, F.A.C.;

(b) Received the prior approval of the division;

(c) The client terminal and/or SBGS server maintains the amounts bet and amounts won meters within critical memory for each of the paytables that are available;

(d) The client terminal maintains the master accounting meters in currency amounts;

(e) The game is in an idle state when the update occurs; and

(f) The change will not cause any inaccurate crediting or payment.

(20) The process of clearing memory on the client terminals via the SBGS or SSGS must utilize a secure method that meets all requirements as provided for under Rule 61D-14.044, F.A.C. In the event the SBGS has the ability to download random values to the client terminal, the random number generator shall function in accordance with at least a 99% confidence level and meet all other requirements as outlined in Chapter 61D-14, F.A.C.

(21) The SBGS or SSGS client terminal(s) may receive game play information from the game server, in the case of a SBGS, or make its own determination in the case of a SSGS, and then display the information to the player. All SBGS or SSGS client terminals must conform to the requirements established by Chapter 551, F.S., and Chapter 61D-14, F.A.C.

 

Rulemaking Authority 551.103(1), (2) 551.122 FS. Law Implemented 551.103(1)(c), (d), (e), (h), (i), (2) FS. History–New                     .

 

61D-14.022 Slot Machine, Slot Machine Components, and Progressive System Requirements.

(1) Slot machine licensees shall only offer slot machines that transmit or track financial data using a game services protocol, such as the Slot Accounting System (SAS), except for progressive systems, and SBGS or SSGS which, when communicating from machine to machine, may use any generally accepted communication protocol certified by an independent testing laboratory.

(2) Prior to the sale or delivery of a slot machine, or progressive system, SBGS, or SSGS for play in this state, the division must receive written certification by a licensed independent testing laboratory that all criteria for operation contained in Chapter 551, F.S., and Chapter 61D-14, F.A.C., are met.

(3) The manufacturer of any slot machine, slot machine game, or progressive system, SBGS, or SSGS to be offered for play in this state is responsible for all compliance testing.

(4) through (18) No change.

(19) Games that have software, software components, and/or associated hardware shall meet the following requirements:

(a) Any software (19) Software, software components, SBGS, SSGS, and associated hardware shall:

1.(a) Not be introduced into a facility before division approval;

2.(b) Not be duplicated by the facility;

3.(c) Be stored within a locked cabinet located at the Florida licensed slot facility or, if a SBGS or SSGS, in a secure system server located at a Florida licensed slot facility. with:

1. Titles that require complete software reload and contain both game title and RAM clear software on the same piece of storage media along with other RAM clear software utilized only for RAM clear purposes secured within a single lock cabinet accessible by the slot licensee.

(b)2. Actual game title software and logic software secured within a dual locked cabinet accessible only by the slot licensee in the presence of a division representative, and: .

1.(d) Be tracked using a log that includes:

i.1. Date and time inventory is changed;

ii.2. Independent testing laboratory certification number;

iii.3. Software version;

iv.4. Software status;

v.5. Manufacturer name;

vi.6. Count of total on-hand inventory that includes software added and removed; and

vii.7. License number and signature of the slot machine licensee employee adding or removing software from inventory.

2.(e) Must be Be released to the division for destruction when it reaches obsolete or revoked status; and

3.(f) Must be for Exclude those slot machine game titles that require complete software reload and contain both game title and RAM clear software on the same piece of storage media. This type of game/RAM clear software shall be stored in the same cabinet as the other RAM clear software to be utilized when needed for RAM clear purposes only.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (d), (h), (i) FS. History–New 7-30-06, Amended 8-14-11, 9-26-13,                     .

 

61D-14.024 Logic Compartment.

(1) No change.

(2) A slot machine, or slot machine game, SBGS, or SSGS may not be offered for play at a slot machine licensed facility until:

(a) through (c) No change.

(3) through (4) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (i) FS. History–New 7-30-06, Amended 8-14-11, 9-26-13,                       .

 

61D-14.028 Printed Circuit Board (PCB) Identification.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (d), (e), (i) FS. History–New 6-25-06, Repealed                      .

 

61D-14.032 Progressive System Requirements.

(1) No change. 

(2) To obtain the approval to participate in WAP gaming, a slot machine licensee shall provide the division with a copy of the WAP agreement, which must specifically describe and identify the role, authority, and responsibilities of each casino licensee and each WAP provider participating in the conduct of the wide area progressive systems, and the WAP provider must:

(a) through (b) No change.

(c) Not use a terminal connection to connect to any progressive system outside of the United States.

(3) No change.

(4) The progressive jackpot amount displayed on any WAP or LAP slot machine jackpot meter shall not be altered, unless:

(a) The jackpot amount is awarded;

(b) The meter requires an adjustment because of a functional error and the slot machine licensee provides written notification to the division within 24 hours of approves the adjustment; or

(c) The amount of the progressive jackpot, minus the reset amount, is distributed to another WAP or LAP slot machine, in which case:

1. The licensee must document the redistribution and report it in writing to the division within 24 hours of the redistribution;

2. The redistribution must be dispersed to another WAP or LAP slot machine that does not require a higher wager amount on a single play to win the for its progressive jackpot than the WAP or LAP slot machine from which the incremental amount is distributed win; and

3. The redistribution must be dispersed to another WAP slot machine of the same host or a LAP within the same licensed facility; and .

4. The redistribution shall occur no later than seven (7) days after the progressive jackpot is removed from play.

(5) through (11) No change.

(12)  Gaming machines connected to the progressive system or device must ensure uniformity in denomination and payoff schedules and/or awards at all game locations.  A description of the conduct and manner establishing the uniformity in denomination and payoff schedules and/or awards must be included in any progressive system agreement.

(13) In the event the progressive system resides on a SBGS or SSGS, all progressive functionality over the client server system must be verified by the independent laboratory including hardware, software, and connectivity.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (d), (e), (g), 551.121(5) FS. History–New 8-14-11, Amended                 .

 

61D-14.037 Games with Bonus Features, Multiple Win Lines, Prizes.

(1) If the slot machine game or progressive system slot machine contains a bonus feature including a “game within a game,” the following requirements shall be met:

(a) through (e) No change.

(2) Any “game within a game” or bonus feature of a progressive system slot machine shall:

(a) No change.

(b) Not add bonus feature amounts to the progressive jackpot total; and

(c) No change.

(3) If a mystery progressive jackpot is offered:

(a) All machines of the same play denomination linked to the mystery progressive jackpot must have the same probability of winning the mystery progressive jackpot and shall notify the patron of the award; or

(b) All machines of differing denominations linked to the mystery progressive jackpot shall have an adjusted probability of winning the mystery jackpot based upon the contribution to the jackpot and shall notify the patron of the award.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (d), (e), (g), 551.121(5) FS. History–New 6-25-06, Amended 8-14-11,                                    .

 

61D-14.040 Game Cycle, Payment of Credits by Ticket Printer, and Ticket Redemption.

(1) through (4) No change.

(5) Where ticket validation is to take place at the cashier’s cage a cashier/change booth, the cashier shall print a validation receipt or note in the cashier’s reconciliation report, after the ticket is electronically validated. The validation receipt or report shall contain the following printed information:

(a) through (e) No change.

(6) through (8) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (d), (e), (i) FS. History–New 7-30-06, Amended                             .

 

61D-14.041 Randomness Requirements and Game Play Auditing.

(1) Each slot machine shall use a random number generator (RNG) located within a Florida slot machine licensee’s facility. The RNG shall:

(a) through (g) No change.

(2) through (5) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (e), (g) FS. History–New 7-5-06, Amended 6-21-10, 9-26-13,                  .

 

61D-14.046 Facility Based Monitoring System Functionality.

A facility based monitoring system shall provide for the following security and audit requirements:

(1) through (3) No change.

(4) Password access or logon. There shall be a provision for system administrator notification and user lockout or audit trail entry after no more than five (5) unsuccessful login attempts; and

(5) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(d), (e), (i), 551.104(4)(f) FS. History–New 6-25-06, Amended                      .

61D-14.047 Facility Based Monitoring System and Computer Diagnostics.

(1) through (10) No change.

(11) The FBMS shall:

(a) through (d) No change.

(e) Report all events in real-time; and

(f) Employ security systems, support measures, or networks to ensure that there is no alteration of any information as it is being communicated from a slot machine to the FBMS; and .

(g) Annually test data recovery and reload procedures, and report such results to the division.

(12) through (14) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(e), (g), (i), 551.104(4)(f) FS. History–New 8-13-06, Amended 6-21-10, 8-14-11,                             .

 

61D-14.050 Floor Plan.

(1) No slot machine licensee shall operate any slot machine unless it has submitted a floor plan of the slot machine gaming area to the division, and the division has and FDLE have approved the floor plan pursuant to the requirements of this section.

(2) The floor plan shall be based on a scale of one quarter inch equals one foot and demonstrates the placement or location of the following:

(a) through (e) No change.

(f) The office space provided for use by the division and FDLE as required by Rule 61D-14.018, F.A.C.;

(g) through (h) No change.

(3) No change.

(4) A slot machine licensee who proposes to make changes to the floor plan shall submit the proposed changes to the division for review. The division shall review the proposed changes with FDLE for compliance with the security standards set forth in these rules prior to approving the changes. Floor plan changes shall not be made without the approval of the division and FDLE. The division shall notify the slot machine licensee in no less than 30 days of whether it approves the new floor plan. If the floor plan is a pre-approved slot machine tournament floor plan, the slot machine licensee can change the floor plan upon seven days notice to the division and FDLE.

(5) A copy of the floor plan shall be maintained in the surveillance control room and the slot department office. A copy shall be provided to the division and FDLE for use in the secure monitoring room.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(i), 551.104(4)(h), 551.114(5) FS. History–New 6-25-06, Amended                    .

 

61D-14.051 Security Plan.

(1) through (2) No change.

(3) Any change to the security plan shall be submitted to the division and FDLE for approval pursuant to the requirements of Rules 61D-14.050 through 61D-14.056, F.A.C., prior to implementation.

(4) A security plan shall include a system of internal controls, which shall include the following:

(a) through (j) No change.

(k) A plan to provide for an security escort by a licensed employee of the slot machine licensee and/or surveillance of access to the gaming areas by either non-gaming employees of the slot machine licensee or employees of non-gaming businesses who might require incidental access to slot machine gaming areas. A list of such employees shall be pre-approved by the slot machine licensee. The slot machine licensee shall maintain a record of the employee’s name, job title, driver’s license number, date of birth, home address, and name of the employer.

(5) through (7) No change.

(8) In the event any security alarm or alert is activated for any reason other than a drill or test, a written report outlining the cause of the alarm or alert’s activiation shall be submitted to the division within 24 hours of the alarm or alert activity in the area covered by the security plan for that alarm or alert shall not be resumed until clearance has been obtained from FDLE.

(9) No change.

(10) The slot machine licensee shall notify the division and FDLE of any event which requires additional staffing.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(i), 551.104(4)(h) FS. History–New 6-25-06, Amended                    .

 

61D-14.052 Electronic Identification and Access Control System.

(1) No change.

(2) The electronic identification and access control system shall be capable of immediately creating an event log of doors opened by use of the identification card or badge upon the request of the security or surveillance departments, or the division or FDLE. The system shall:

(a) Be able to display a photograph of the employee opening any door; and

(b) Cause an alarm to alert the security and surveillance departments, which would then notify the division, and FDLE if a door is opened:

1. through -2. No change.

(3) The division and FDLE shall be provided access to any data contained in the electronic identification and access control system.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(g), (i), 551.104(4)(h) FS. History–New 6-25-06, Amended               .

 

61D-14.054 Surveillance Equipment.

(1) No change.

(2) The surveillance system shall meet the following requirements:

(a) through (e) No change.

(f) The system shall have a failure notification system that provides an audible alarm, as well as a visual alert of any failure in the surveillance system or the media storage system. The alarm and alert system shall advise the division and FDLE as well as the facility surveillance department of the failure;

(g) through (h) No change.

(i) A video verification encryption code, shall be submitted to the division and FDLE, before the inspection and approval of the system;

(j) through (k) No change.

(3) Access, or the ability to access, a surveillance system from any location outside of the surveillance room, shall be disclosed in a quarterly report filed with the division and FDLE which sets forth the location and to whom access is being provided, other than surveillance personnel, and certifies that the transmission is encrypted, firewalled on both ends and password protected. The password protection shall contain alpha and numeric characteristics with a minimum of six characters and be changed to a previously unused password when the employment of any employee of the surveillance department is terminated or transferred.

(4) through (8) No change.

(9) The surveillance room shall be maintained at all times by a sufficient number of approved surveillance operators as reflected in the surveillance plan approved by the division. The division, after consultation with FDLE, shall require additional surveillance personnel should it be determined that an inadequacy of surveillance monitoring exists.

(10) Before implementing any changes to a surveillance system, the slot machine licensee shall submit the proposed changes to the division and FDLE for approval.

(11) A slot machine licensee shall notify the division and FDLE immediately of any failure of the surveillance system to continuously monitor the eligible facility or to otherwise operate properly. Play of slot machines in any area for which there is inadequate monitoring shall be suspended until the surveillance system is restored.

(12) through (13) No change.

(14) Failure of any storage system for video or audio recordings shall be repaired or the storage system replaced within 8 hours of the failure. The surveillance system shall provide back-up for video or audio recording during the repair and replacement time. If after 8 hours, activity in the affected area cannot be recorded, the slot machines in that area shall be closed for play until recording is restored. A log of all malfunctions of the surveillance and recording equipment shall be kept and such malfunctions shall be reported to the division and FDLE each day.

(15) No change.

(16) A slot machine licensee shall provide written notification to the division and FDLE prior to the video or audio format of any portion of their surveillance system being changed, setting forth what the change will be, when the change will occur, and how the change will affect their surveillance system as a whole.

(17) through (18) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(g), (i), 551.104(4)(h) FS. History–New 6-25-06, Amended              .

 

61D-14.059 Slot Machine Licensee Personnel.

(1) through (2) No change.

(3) The slot licensee shall maintain a personnel file for each employee that shall contain without limitation the following:

(a) No change.

(b) The initial credit report and all subsequent credit reports that shall be obtained at least every 36 24 months;

(c) through (h) No change.

(i) All federal and state income tax returns filed by the employee for the previous three five years, if the employee is identified in paragraph 61D-14.002(1)(e), F.A.C., or is required to hold a professional occupational license.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(g), (j) FS. History–New 6-25-06, Amended 9-26-13,                        .

 

61D-14.060 Business Entities, Internal Controls and Personnel Records.

(1) through (2) No change.

(3) Any business entity holding an occupational license shall:

(a) Conduct pre-employment screening referenced in subsection 61D-14.059(2), F.A.C., for any employee that would be required to obtain an occupational license referenced in Rule 61D-14.005, F.A.C.; and

(b) Maintain a copy of the business entity’s internal controls; and

(b)(c) The documentation required by this subsection shall be maintained in an office of the business entity located in this state or with a registered agent of the business entity located in this state.

(4) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(d), (g), (i) FS. History–New 8-6-06, Amended 9-26-13,                    .

 

61D-14.063 Count Rooms.

(1) No change.

(2) The count room shall have:

(a) Metal doors equipped with:

1. through 2. No change.

(b) Tables constructed of clear lexan or similar material; and

(c) Audio-video surveillance equipment as referenced in subparagraph 61D-14.054(2)(b)3., F.A.C.; and

(d) A fixed door type or hand-held metal detector which shall be used in accordance with the facility internal control procedures to inspect all persons exiting the count room.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(d), (g), (i) FS. History–New 6-25-06, Amended 6-21-10,              .

 

61D-14.065 Procedure for Slot Cash Storage Box Count.

(1) No change.

(2) Pre-count requirements in the internal controls shall include:

(a) through (d) No change.

(e) Each person entering the count room The count room supervisor shall record, in writing, their the name and license number in the count room log. The count room supervisor shall record of each member of the count team, as well as any entries and exits of the count room during the process by any persons.

(3) Count process requirements in the internal controls shall include:

(a) through (i) No change.

(j) The count team members shall not leave the count room until all money is counted, verified, sorted, and totaled into the computer and cash drop funds are transferred to the cash vault. If a count team member leaves the count room, all count team members shall secure all of the bills, tickets and vouchers in the count room, and notify security that the count team needs to leave the count room. All count team members shall be screened by security before leaving the count room. No count team member shall remain in the count room alone. The count team members shall not reenter the count room until all count team members are present;

(k) through (l) No change.

(m) If a discrepancy in excess of $500 occurs during verification of the count funds, it shall be brought to the immediate attention of the division and FDLE and a detailed written report explaining the problem and the corrective action taken shall be filed by the count room supervisor with the division within 48 hours of the conclusion of the count.

(4) Post-count requirements in the internal controls shall include:

(a) through (b) No change.

(c) A count room employee, in the presence of security personnel or a count room supervisor, shall conduct an inspection of the entire count room and all counting equipment located therein to verify that no bills, tickets, or vouchers remain in the room; and

(d) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(d), (g), (i) FS. History–New 6-25-06, Amended                  .

 

61D-14.067 Slot Cashier’s Cage Booths and Change Machines.

(1) through (2) No change.

(3) The slot cashier’s cage booth inventory shall be used to supply change persons with an imprest inventory of bills, tickets or vouchers. The slot cashier’s cage booth inventory shall also be used to provide a change person with bills, tickets, and vouchers in exchange for an equal amount of any combination of bills, tickets, or vouchers.

(4) The slot cashier’s cage booth inventory shall be used to supply any mechanical, electrical or other device which operates independently of a slot machine and which, upon insertion of a ticket or voucher, dispenses an amount of currency equivalent to the face value of the ticket or voucher, and which immediately upon exchange cancels the ticket or voucher with an imprest inventory of slot tickets.

(5) A slot attendant shall not be permitted to function as a slot change person.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(d), (g), (i) FS. History–New 6-25-06, Amended                             .

 

61D-14.072 Cashier’s Cage, Satellite Cages, Vaults, and Accounting Controls.

(1) No change.

(2) The cage shall be designed and constructed to provide security for the materials housed therein and the activities performed therein; such design and construction shall provide for the following:

(a) Fully enclosed except for openings through which materials such as cash, records, and documents can be passed to service the public and slot cashier’s cages booths;

(b) through (d) No change.

(3) through (7) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(d), (g), (i) FS. History–New 7-30-06, Amended                      .

 

61D-14.074 Security Requirements, System Access, and Firewalls.

(1) through (6) No change.

(7) There shall be a maximum ticket value of $1,199.99 $500 that can be paid by an automated ticket redemption machine, per individual ticket.

(8) through (12) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(d), (g), (i) FS. History–New 8-13-06, Amended                     .

 

61D-14.075 Jackpot Payouts Not Paid Directly From the Slot Machine.

(1) through (2) No change.

(3) Each series of manual jackpot payout slips shall be:

(a) A three-part form located in a locked manual form dispenser, bound booklet from which the original and first duplicate jackpot payout slips may be detached while the second duplicate jackpot payout slip remains in the locked manual form dispenser bound booklet; and

(b) through (c) No change.

(4) through (11) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (d), (g), (i) FS. History–New 6-25-06, Amended 6-21-10, 9-26-13,                    .

 

61D-14.076 Player Tracking System.

(1) through (4) No change.

(5) The following errors related to the use of a card or device shall be recorded by the facility based monitoring system and a message shall be displayed by the slot machine to the patron:

(a) An invalid PIN. This error shall cause the slot machine to prompt the patron for re-entry of the PIN. However, the slot machine shall not allow more than five (5) three attempts to re-enter a PIN number for the card or device;

(b) through (c) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(d), (e) FS. History–New 1-16-07, Amended             .

 

61D-14.082 Annual Financial Report.

(1) through (2) No change.

(3) One copy Two copies of the annual financial report on Form DBPR PMW-3690, Uniform Report System Prescribed for Pari-Mutuel Permitholders, effective xx-xx-xx, adopted and incorporated herein by reference, shall be filed with the division no more than 120 days after completion of the slot machine licensee’s fiscal year. Form DBPR PMW-3690, Uniform Report System Prescribed for Pari-Mutuel Permitholders, can be obtained at [insert hyperlink] or by contacting the Division of Pari-Mutuel Wagering at 2601 Blair Stone Road, Tallahassee, Florida 32399-1035.

(4) through (5) No change.

(6) Each slot machine licensee shall include in its annual financial report:

(a) No change.

(b) A report expressing that the slot machine licensee has followed in all material respects during the period covered by this examination, the system of internal accounting controls on file with the division. Whenever the slot machine licensee has materially deviated from the system of internal accounting controls on file with the division, the report shall enumerate any deviations and any areas of the system no longer considered effective, and shall make recommendations regarding improvements in the system of internal accounting control; and

(c) Any corrective actions taken to deviations referenced in paragraph (b); and .

(d) Any loans, installment contracts, guarantees, leases, or capital contributions with a value of $25,000 or more per year.

(7) through (8) No change.

(9) Slot machine licensees shall report to the division details of any loans, borrowings, installment contracts, guarantees, leases, or capital contributions with a value of over $25,000 per year no later than 10 days after the end of the month in which the transaction or event occurs.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(d), (e), (g) FS. History–New 6-25-06, Amended                .

 

61D-14.0861 Annual Compliance Audit.

(1) In addition to the annual financial report required by Rule 61D-14.082, F.A.C., each slot machine licensee shall file an annual compliance audit report no less than 60 days after the completion of the permitholder’s pari-mutuel meet to comply with the requirements of Section 551.104(8), F.S. 

(2) The compliance audit report shall include a written statement by the independent Florida certified public accountant who previously engaged as the principal accountant to the annual financial report required under Rule 61D-14.082, F.A.C., indicating whether or not any deviations or adjustments were made from the licensee’s annual financial report on file with the division.  In the event of any adjustments or deviations, a revised annual financial report shall identify such deviations and/or adjustments and shall be included in the annual compliance report.

(3) If an independent Florida certified public accountant who was previously engaged as the principal accountant to the annual financial report resigns or is dismissed as the licensee’s principal accountant, or another independent certified public accountant is engaged as principal accountant, the licensee shall give written notice to the division when such event occurs setting forth the name and business address of the certified public accountant and the date of such resignation, dismissal, or engagement.

(4) The compliance audit shall also contain recommendations of all findings and observations made by the slot licensee’s internal audit function referenced in paragraph 61D-14.015(2)(f), F.A.C.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(d), (g), 551.104(8) FS. History–New              .

 

 

61D-14.096 Requirement for Shipment of All Slot Machines and Software Components.

(1) through (2) No change.

(3) Shipment of any slot machine or software component shall comply with the following requirements:

(a) through (c) No change.

(d) All software components shall be delivered to the division regional office at 1400 W. Commercial Blvd., Ft. Lauderdale, Fl., 33309, for verification and subsequently scheduled by division personnel for delivery to the appropriate facility.

(d)(e) If shipping seals described above are broken, removed, or show signs of tampering, upon inspection at the delivery site, the Chief of Slot Operations or his or her designee shall instruct the facility and shipper as to the course of action to be taken. The course of action may involve:

1. through 2. No change.

(4) No change.

Rulemaking Authority 551.103(1), 551.109(2)(a), (b), 551.122 FS. Law Implemented 551.103(1)(c), (e), (i), 551.109(2)(a), (b) FS. History–New 6-21-10, Amended                .

 

61D-14.097 Responsibility for Control of Slot Machine or Slot Machine Component Shipment.

(1) No change.

(2) Licensed manufacturers and distributors must request and receive approval from the Chief of Slot Operations, Division of Pari-Mutuel Wagering, North Broward Service Center, 1400 W. Commercial Blvd., Ft. Lauderdale, Florida 33309-3787, or his or her designee for shipment into, out of, or within the State of Florida prior to at least five days in advance of the proposed shipment date to or from an approved destination in Florida.

(3) Entities identified in subsection 61D-14.096(1), F.A.C., (entity) shall take the following actions to arrange a shipment of a slot machine or slot machine component to a facility licensed pursuant to Chapter 551, F.S., into or within the State of Florida. The entity shall:

(a) Notify the Chief of Slot Operations prior to no later than five days in advance of the date of the proposed shipment of any slot machine or slot machine component as defined in Chapter 551, F.S.;

(b) through (d) No change.

(4) Slot machine licensees shall follow additional procedures that are required for making requests for shipment of a slot machine or slot machine component out of the State of Florida. The slot machine licensee shall:

(a) Notify the Chief of Slot Operations prior to no later than five days in advance of the date of the proposed shipment of any slot machine or component as defined in Chapter 551, F.S., out of the State of Florida.

(b) through (d) No change.

(5) The following applies to the shipment of slot machine or slot machine components within or out of the State of Florida for which an entity identified in subsection 61D-14.096(1), F.A.C., intends to achieve permanent divestiture of ownership. The entity shall:

(a) Notify the Chief of Slot Operations no later than five days prior to the proposed shipment of slot machine or slot machine component as defined in Chapter 551, F.S.

(b) through (e) No change.

(6) The following applies to the shipment of slot machine or slot machine component within or out of the State of Florida when the entity identified in subsection 61D-14.096(1), F.A.C., intends to dispose of the slot machine or slot machine component through permanent destruction. The entity shall:

(a) Notify the Chief of Slot Operations prior to the no later than five days in advance of proposed shipment of any slot machine or component as defined in Chapter 551, F.S., within or out of the State of Florida to any destination for disposal. The notification shall include:

1. through 3. No change.

(b) through (f) No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (e), (i), 551.109(2)(a), (b) FS. History–New 6-21-10, Amended             .

 

61D-14.098 Slot Machine Seal.

(1) through (2) No change.

(3) For slot machines maintained at a slot machine licensed facility:

(a) through (b) No change.

(c) When a slot machine seal or additional seal (security tape) has been found to have been broken or tampered with, the following actions shall be taken:

1. No change.

2. The facility shall notify the surveillance department to provide coverage of the machine area involved; remove the slot machine involved from play (if it is not in storage); retain all surveillance records regarding the slot machine; notify the division FDLE of the incident; and secure the slot machine until such time as the division FDLE investigator may make a determination regarding the slot machine seal or additional seal (security tape);

3. A An FDLE and division representative shall conduct an investigation, including a verification check of game-related storage media and obtain confirmation that all games comply with requirements for games in the state;

4. through 5. No change.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(c), (e), (i) FS. History–New 6-21-10, Amended           .

 

NAME OF PERSON ORIGINATING PROPOSED RULE: Director Anthony Glover, Division of Pari-Mutuel Wagering

NAME OF AGENCY HEAD WHO APPROVED THE PROPOSED RULE: Secretary Ken Lawson, Department of Business and Professional Regulation

DATE PROPOSED RULE APPROVED BY AGENCY HEAD: November 16, 2016

DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAR: December 23, 2015 & July 1,