The purpose and effect of the proposed rules will be to implement Florida Statutes pertaining to the regulation of slot machine operations at pari-mutuel racing facilities.

 

DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION

Division of Pari-Mutuel Wagering

RULE NOS.:RULE TITLES:

61D-14.003Renewal of Slot Machine Licenses

61D-14.005Occupational License Requirements for Individual Persons

61D-14.006Occupational License Application Requirements for Business Entities

61D-14.011Occupational License and Fingerprint Fees

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

61D-14.024Logic Compartment

61D-14.041Randomness Requirements and Game Play Auditing

61D-14.044Identification of Program Storage Media, and Slot Machine Technical Requirements

61D-14.059Slot Machine Licensee Personnel

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

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

61D-14.080Retention, Storage and Destruction of Books, Records, and Documents

61D-14.081Monthly Remittance Reports

61D-14.200Educational or Training Facilities

61D-14.203Certified Educational Facility License Application

PURPOSE AND EFFECT: The purpose and effect of the proposed rules will be to implement Florida Statutes pertaining to the regulation of slot machine operations at pari-mutuel racing facilities.

SUMMARY: The amendment to Rule 61D-14.003, F.A.C., revises the qualification required for renewal of slot machine licenses. The amendment to Rule 61D-14.005, F.A.C., revises application forms related to slot machine individual occupational licensing and incorporates relevant forms by reference. The amendment to Rule 61D-14.006, F.A.C., revises the application form related to slot machine business entity occupational licensing and incorporates the form by reference. The amendment to Rule 61D-14.011, F.A.C., revises the license fee structure and clarifies language in the current rule. The amendments to Rules 61D-14.022, 14.024, and 14.044, F.A.C., will implement a process whereby slot machine facilities perform the clearing of Random Access Memory (RAM clears) on machines independently while maintaining safeguards that ensure the integrity of the machines. The amendment to Rule 61D-14.041, F.A.C., deletes the requirement for an internal slot machine random number generator. The amendment to Rule 61D-14.059, F.A.C., revises requirements for the drug testing program for licensed facilities. The amendment to Rule 61D-14.060, F.A.C., addresses requirements related to a business entity’s internal controls. The amendment to Rule 61D-14.075, F.A.C., revises the verification check for machines with a jackpot. The amendment to Rule 61D-14.080, F.A.C., addresses the records retention schedule for tickets and vouchers. The amendment to Rule 61D-14.081, F.A.C., revises language related to the calculation of slot machine revenue, revises forms relating to monthly remittance reports for slot operations and incorporates relevant forms by reference. Rule 61D-14.200, F.A.C., provides the requirements and procedures for licensure and operation of storage and maintenance facilities and educational, training, and testing facilities. Rule 61D-14.203, F.A.C., provides procedures to obtain licensure for certified educational facilities that intend to provide training and education services related to slot machine gaming in the state.

OTHER RULES INCORPORATING THIS RULE: Rule 61D-14.0055 incorporates Rule 61D-14.005. Rule 61D-14.007 incorporates Rule 61D-14.006. Rule 61D-14.008 incorporates Rules 61D-14.005 and 61D-14.011. Rule 61D-14.009 incorporates Rules 61D-14.005 and 61D-14.006. Rule 61D-14.012 incorporates Rule 61D-14.006. Rule 61D-14.016 incorporates Rule 61D-14.024. Rule 61D-14.020 incorporates Rule 61D-14.081. Rule 61D-14.038 incorporates Rule 61D-14.080. Rule 61D-14.047 incorporates Rules 61D-14.044 and 61D-14.080. Rule 61D-14.048 incorporates Rule 61D-14.044. Rule 61D-14.058 incorporates Rule 61D-14.080. Rule 61D-14.074 incorporates Rules 61D-14.022, 14.024, 14.041, and 14.044. Rule 61D-14.076 incorporates Rule 61D-14.080. Rule 61D-14.079 incorporates Rule 61D-14.080. Rule 61D-14.096 incorporates Rule 61D-14.080. Rule 61D-14.097 incorporates Rules 61D-14.022 and 61D-14.080.

EFFECT ON THOSE OTHER RULES: Rule 61D-14.005 has no effect on Rule 61D-14.0055. Rule 61D-14.006 has no effect on Rule 61D-14.007. Rule 61D-14.005 has no effect on Rule 61D-14.008. Rule 61D-14.011 reduces licensing fees for three-year licenses in Rule 61D-14.008. Rules 61D-14.005 and 14.006 have no effect on Rule 61D-14.009. Rule 61D-14.006 has no effect on Rule 61D-14.012. Rule 61D-14.024 has no effect on Rule 61D-14.016. Rule 61D-14.020 requires a technical change to conform to new numbering of Rule 61D-14.081. Rule 61D-14.080 has no effect on Rule 61D-14.030. Rule 61D-14.047 requires a technical change to conform to new numbering of Rule 61D-14.044. Rule 61D-14.080 has no effect on Rule 61D-14.047. Rule 61D-14.044 has no effect on Rule 61D-14.048. Rule 61D-14.080 has no effect on Rule 61D-14.058. Rules 61D-14.022, 14.024, 14.041, and 14.044 have no effect on Rule 61D-14.074. Rule 61D-14.080 has no effect on Rule 61D-14.076. Rule 61D-14.080 has no effect on Rule 61D-14.079. Rule 61D-14.080 has no effect on Rule 61D-14.096. Rules 61D-14.022 and 14.080 have no effect on Rule 61D-14.097.

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: 550.0251(2), 551.103(1), (2), (5), 551.109(2)(b), 551.122 FS.

LAW IMPLEMENTED: 550.0251(2), 551.103(1)(a), (b), (c), (d), (e), (f), (g), (h), (i), (2), 551.104(4), 551.105, 551.106(3), 551.107(4)(a), (d), 551.108, 551.109(2)(a), (b), 551.122, 559.79(2), 849.15(2) 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 (IF NOT REQUESTED, THIS HEARING WILL NOT BE HELD):

DATE AND TIME: June 11, 2013, 1:00 p.m. – 5:00 p.m.

PLACE: Florida Department of Business and Professional Regulation, Northwood Centre, Board Room, 1940 N. Monroe Street, Tallahassee, Florida 32399

Pursuant to the provisions of the Americans with Disabilities Act, any person requiring special accommodations to participate in this workshop/meeting is asked to advise the agency at least 5 days before the workshop/meeting by contacting: Mary Polombo at [phone]. If you are hearing or speech impaired, please contact the agency using the Florida Relay Service, 1(800)955-8771 (TDD) or 1(800)955-8770 (Voice).

THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: Mary Polombo, Clerk, Division of Pari-Mutuel Wagering, 1940 North Monroe Street, Tallahassee, Florida 32399-1035

 

THE FULL TEXT OF THE PROPOSED RULE IS:

 

61D-14.003 Renewal of Slot Machine Licenses.

(1) A Any slot machine license in effect shall be renewed annually by the division on the anniversary date of the issuance of the initial license, provided there are no disqualifications upon review of the renewal application. for the next succeeding license period upon proper application for renewal and payment of fees as required by Section 551.106, F.S.

(2) The license renewal application shall be submitted on Form DBPR PMW-3405, Permitholder Renewal Application for Annual Slot Machine License, effective ______________, adopted herein by reference, which can be obtained at www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering at 1940 North Monroe Street, Tallahassee, Florida 32399-1035. The license renewal application shall be submitted to the division no less than 90 days prior to the anniversary date of the license and include the following: The license period for a renewed slot machine license shall be 1 year, which shall be concurrent with the pari-mutuel wagering annual license issued pursuant to Section 550.01215 or Section 550.5251, F.S.

(a) Any changes to the information previously submitted pursuant to Rule 14.002, F.A.C.;

(b) A copy of the licensee’s current internal controls; and

(c) Certification of renewal of the surety bond, or proof of a new bond, meeting the requirements specified by Rule 14.002(l), F.A.C.

(3) A slot machine license will not be renewed until payment of the annual license fee specified in Section 551.106(1)(a), F.S., and the compulsive or addictive gambling prevention regulatory fee specified in Section 551.118(3), F.S., is received by the Division of Pari-Mutuel Wagering, which payment must be submitted by electronic funds transfer. An application for a slot machine license renewal shall be filed with the division in conjunction with the filing of the annual application for a pari-mutuel wagering license pursuant to Section 550.01215 or Section 550.5251, F.S., by the pari-mutuel wagering permitholder. Such application shall include any changes to any of the information set forth in Rule 61D-14.002, F.A.C., and identify any changes to internal controls that have not been previously approved by the division.

(4) Each renewal applicant shall provide certification of renewal of the bond required by paragraph 61D-14.002(1)(j), F.A.C., or a new bond meeting the requirements of that section.

Rulemaking Authority 550.0251(2), 551.103(1), 551.122 FS. Law Implemented 550.0251(2), 551.103(1)(a), (b), 551.104(4), 551.105, 551.106, 559.79(2) FS. History–New 7-30-06, Amended__________.

 

61D-14.005 Occupational License Requirements for Individual Persons.

(1) No change.

(2) As part of the initial application for or renewal of a slot machine occupational license provided in Section 551.107, F.S., an applicant shall submit the following information on Form DBPR PMW-3410, Slot Machine Individual Occupational License Application, effective 6-21-10, or Form DBPR PMW-3415, Slot Machine Individual Occupational License Renewal Application, both of which are effective _______ and adopted herein by reference. The forms effective 6-21-10, adopted herein by reference, which forms are also listed in Rule 61D-15.001, F.A.C., and can be obtained at www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering at 1940 North Monroe Street, Tallahassee, Florida 32399-1035.:

(a) through (7) No change.

(8) A request to upgrade an individual slot machine occupational license shall be made on Form DBPR PMW-3450, Slot Machine Occupational License Upgrade Application, effective ________________, adopted herein by reference, which can be obtained at www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering at 1940 North Monroe Street, Tallahassee, Florida 32399-1035.

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, __________.

 

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

(1) No change.

(2) An application for a business slot machine occupational license shall be made on Form DBPR PMW-3420, Slot Machine Business Entity Occupational License Application, effective ________ 6-21-10, adopted herein by reference, which form is also listed in Rule 61D-15.001, F.A.C., and can be obtained at www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering at 1940 North Monroe Street, Tallahassee, Florida 32399-1035.

(3) through (9) No change.

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

 

61D-14.011 Occupational License and Fingerprint Fees.

(1) The license fee for an individual applying for a license under Rule 61D-14.005, F.A.C., shall be $50 for a one-year license, or $100 $150 for a three-year license.

(2) The slot machine occupational license fee for a business entity applying for an occupational licensee under Rule 61D-14.006, F.A.C., shall be $1,000 for a one-year license, or $2,000 $3,000 for a three-year license.

(3) through (5) No change.

(6) An applicant for a business entity occupational license, including those individuals employed by the business entity, shall provide a check or money order for payment of fingerprint fees with their occupational license applications application for a slot machine occupational license. The employing business entity may provide payment for its A check or money order can be provided for the individual employees by the employing business entity. The fee for fingerprinting shall equal the fee established by Section 943.053(3)(b), F.S., and subsection 11C-6.010(5), F.A.C.

(7) No change.

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

 

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

(1) through (17) No change.

(18) Any adjustments made to a slot machine’s gaming options, slot machine components, or a progressive system during a RAM clear must be completed pursuant to Rule 61D-14.044, F.A.C. witnessed and approved by the division or a licensed independent laboratory.

(19) Software, software components, and hardware shall:

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

(b) Not be duplicated by the facility; and

(c) Be stored within a locked cabinet located at the designated slot facility with 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 destroyed beyond recognition in accordance with a division approved method in the facility’s internal controls.

(d) Be tracked using a log that includes:

1. Date and time inventory is changed;

2. Independent testing laboratory certification number;

3, Software version;

4. Software status;

5. Manufacturer name;

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

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

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

(f) Exclude those 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,________.

 

61D-14.024 Logic Compartment.

(1) No change.

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

(a) A licensed independent testing laboratory has certified that it meets all requirements of Chapter 551, F.S., and Chapter 61D-14, F.A.C.;

(b) The division has verified the identity of the slot machine software program and confirmed that it has been certified by an independent testing laboratory; and

(c) The division has sealed the logic compartment slot machine with evidence tape as prescribed by this rule.

(3) The In accordance with the licensed slot machine facility’s internal controls, the division shall apply evidence tape to any slot machine components that could affect the outcome of the game, including progressive systems where applicable and as required by this chapter.

(4) Any occupational licensee who observes that a piece of evidence tape has been tampered with in any way shall disable the slot machine from play and immediately notify facility security and surveillance, which shall:

(a) Notify the division; and

(b) Ensure the slot machine is not offered for play until the completion of an any investigation; and its evidence tape has been replaced.

(c) Notify the division regarding the results of the investigation.

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,________.

 

61D-14.041 Randomness Requirements and Game Play Auditing.

(1) Each slot machine shall use an internal random number generator (RNG). The RNG shall:

(a) through (3) No change.

(4) The independent licensed testing laboratory shall include a copy of each of the certifications required under this rule as part of the formal approval documentation certifying the machine and/or game for play in Florida to the division.

(5) Any misstatements, omissions or errors in the required certification provided by either the independent licensed testing laboratory or the manufacturer and/or distributor is a violation of rules governing slot machine gaming.

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,________.

 

61D-14.044 Identification of Program Storage Media, and Slot Machine Technical Requirements.

(1) through (9) No change.

(10) The authentication methodology shall detect 99.99 percent of all possible failures. All critical memory shall:

(a) Have the ability to retain data for a minimum of thirty (30) days after power is removed from the slot machine. If a rechargeable battery is used, the battery used to retain power shall recharge itself to its full potential in a maximum of twenty-four (24) hours. The shelf life of the battery used shall be at least five (5) years;

(b) Be cleared only in accordance with the RAM clear procedures prescribed within the slot machine licensee’s internal controls which shall include:;

1. Completion of all data required in Form DBPR PMW-3480, Slot Machine Activity, effective _______, adopted herein by reference, which can be obtained at www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering at 1940 North Monroe Street, Tallahassee, Florida 32399-1035;

2. Notification to surveillance to record the RAM clear procedure in its entirety, which surveillance shall include information in a daily log consisting of the date, time, machine location, asset numbers, and licensed employee name(s) who are performing the RAM clear;

3. Insertion of an electronic access identification card assigned to the slot licensed employee performing the RAM clear procedures; and

4. Submission of completed Form DBPR PMW-3480, adopted by reference in sub-paragraph 1. above, and FBMS printout showing the time and date of each RAM clear performed no later than 12:00 noon on the first business day following all RAM clear procedures performed.

(c) Provide a RAM error message, if the control program detects an unrecoverable memory error; and

(d) Not be cleared automatically, but shall require division approval of and presence for a full RAM clear that is performed by a slot machine technician the facility has determined to be qualified to perform the task.

(11) No change.

(12) No RAM clear procedure shall be performed without prior division approval and division presence for the RAM clear procedure.

(12)(13) Following the initiation of a RAM clear procedure, the slot machine’s control program shall execute a routine that initializes all data in RAM to the default state, except those portions of RAM that are critical to the operation of the slot machine. The default reel position or game display after a RAM clear shall not indicate the top award on any selectable line. The default game display, upon entering game play mode, shall also not display the top award.

(13)(14) Slot machines shall be capable of detecting and displaying error conditions and illuminating the tower light for each slot machine in those cases where such a light is available. Upon detection of error conditions, a slot machine shall disable play, and the slot machine and/or the facility based monitoring system (FBMS) shall maintain an internal record if the error is for:

(a) through (k) No change.

(14)(15) The slot machine licensee shall:

(a) through (b) No change.

(15)(16) A slot machine that has authentication or RAM or ROM errors shall:

(a) through (c) No change.

(16)(17) A description of slot machine error codes and their meanings shall be affixed inside the slot machine. However, this subsection does not apply to video-based games that shall display text messages for error conditions on the game console.

(17)(18) The software shall be able to recover to the state it was in immediately prior to the occurrence of a program interruption. Communications to an external device shall not begin until the program resumption routine is completed, and:

(a) through (b) No change.

(18)(19) The slot machine’s main door shall affect game play in the following ways:

(a) through (c) No change.

(19)(20) Each slot machine and/or bill acceptor shall detect and display an error condition and the bill acceptor shall be disabled for the following conditions:

(a) through (d) No change.

Rulemaking Authority 550.0251(2), 551.103(1), 551.122 FS. Law Implemented 550.0251(2), 551.103(1)(c), (d), (e), (f), (g), 559.79(2) FS. History–New 8-13-06, Amended 6-21-10,________.

 

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) The original employment application required by the slot licensee;

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

(c) A copy all occupational licenses issued by the division during employment;

(d) A current detailed position description that includes access rights granted to the employee relating to secure areas, keys, or information;

(e) A chronological log of all positions held by the employee indicating the effective and termination date of each position;

(f) All performance evaluations conducted by the slot licensee;

(g) Documentation relating to performance issues such as promotions, demotions, reprimands, or separations;

(h) Signed drug-free workplace agreement; The slot licensee shall ensure that persons in positions requiring professional occupational licenses satisfactorily complete Form DBPR PMW-3440, Professional or Business Employee Supplemental Information, which is adopted and incorporated by Rule 61D-15.001, F.A.C.; and

(i) No change.

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

 

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.;

(b) Maintain a copy of the business entity’s internal controls completed Form DBPR PMW-3430, Business Entity Internal Control Information, which is adopted and incorporated by Rule 61D-15.001, F.A.C.; and

(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.

 

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

(1) through (8) No change.

(9) Prior to payment of a slot jackpot of $25,000 or more, the slot machine licensee shall conduct a verification check of the game. The game verification check shall:

(a) Be completed by two slot machine licensee employees, at least one of whom shall be in a supervisor’s position. The two slot machine licensee employees shall be:

1. In possession of a valid slot machine occupational license issued by the state; and

2. Assigned to different departments.

(b) Confirm the condition of the division security tape on the slot machine involved in the jackpot.

1. If the division security tape is not broken, the slot machine licensee may shall complete its payment procedure as outlined in its internal control procedures.

2. If the division security tape is found to be have been broken or tampered with, the following shall be accomplished:

a. The slot machine licensee shall notify the surveillance department in order to determine if a RAM clear has recently been performed on the game. to provide coverage of the slot machine area involved; remove the designated slot machine involved in the jackpot from play; retain all surveillance records regarding the designated slot machine; notify the division of the jackpot and broken or tampered division security tape; and secure the designated slot machine until such time as the division representative may make a determination regarding the jackpot;

a. If a RAM clear has been performed within the gaming day, the slot machine licensee may complete its payment procedures as outlined in its internal control procedures.

b. If a RAM clear has not been performed, the surveillance department shall provide coverage of the slot machine area involved and retain all surveillance records regarding the designated slot machine, and:

(I) The slot machine licensee shall remove the designated slot machine involved in the jackpot from play, notify the division of the jackpot and broken or tampered division security tape, and secure the designated slot machine until such time as a division representative may make a determination regarding the jackpot;

(II)b. A division representative shall conduct an investigation, including a verification check of game-related storage media using a device that is approved by the division for testing slot machines for compliance with Chapter 551, F.S., and Chapter 61D-14, F.A.C. If the test results from the verification device reflect that: and obtain confirmation that all documents are complete and legible;

(A) The program in the slot machine is an authorized version for play in the state of Florida, the slot machine licensee may place the machine back into play.

(B) The program in the slot machine is not an authorized version for play in the state of Florida, the machine will remain out of play pending further investigation.

c. The division shall use a verification device that is approved by the division for testing slot machines for compliance with Chapter 551, F.S., and Chapter 61D-14, F.A.C.; and

d. If the test results from the verification device reflect that:

(I) The program in the slot machine is an authorized version for play in the State of Florida, the slot machine licensee shall proceed with its jackpot payout procedures as outlined in its internal control procedures; or

(II) The program in the slot machine is not an authorized version for play in the State of Florida, the jackpot shall be held in abeyance for further investigation.

e. If a jackpot is held in abeyance for further investigation, the designated slot machine and all jackpot records and surveillance information shall be retained until an investigation is completed. A jackpot payment decision shall be made based upon the outcome of the investigation.

(10) 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,________.

 

61D-14.080 Retention, Storage and Destruction of Books, Records, and Documents.

(1) through (2) No change.

(3) All books, records and documents shall be retained by a slot machine licensee in accordance with the following schedules:

(a) The following books, records and documents shall be retained indefinitely unless destruction is requested by the licensee and authorized by the division:

1. Corporate records required by Rule 61D-14.085, F.A.C.;

2. Records of corporate investigations and due diligence procedures;

3. Current employee personnel files; and

4. A record of any book, record or document destroyed, identifying the particular book, record or document, the period of retention and the date of destruction;

(b) All other books, records and documents shall be retained by a licensee for a minimum of five years unless additional time is requested by the division or FDLE for audit or investigation; and

(c) Tickets and vouchers shall be retained:

1. In hard-copy format on site for a period of sixty (60) days, after which they are authorized to be stored in a secure location for a period of no less than 90 days; and a year. The slot machine licensee shall provide for the retrieval of specific tickets or vouchers in its system of internal control procedures.

2. In electronic data format within the facility based monitoring system for a period of no less than a year.

(d) The slot machine licensee shall provide for the retrieval of specific tickets or vouchers in its internal controls.

(4) No change.

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

 

61D-14.081 Monthly Remittance Reports.

(1) Monthly remittance reports documenting the previous month’s slot machine gaming activity shall be due in accordance with Section 551.106(3), F.S. by the 5th calendar day of each month. Each slot machine license shall file a Slot Operations Monthly Remittance Report, Form DBPR PMW-3660, Slot Operations Monthly Remittance Report, and Slot Operations Cumulative Monthly Remittance Report, Form DBPR PMW-3670, Slot Operations Cumulative Monthly Remittance Report, both of which are effective _______ and adopted herein by reference. The forms can be obtained at www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering which are adopted and incorporated by Rule 61D-15.001, F.A.C., with the division at 1940 North Monroe Street, Tallahassee, Florida 32399-1035.

(2) When reporting credits on Forms DBPR PMW-3660 and 3670:

(a) “Credits In” shall include all credits on the ‘total in meter’ of a slot machine referenced in subsection 61D-14.042(1), F.A.C.; and

(b) “Credits Out” shall include all credits on the ‘total out meter’ of a slot machine referenced in subsection 61D-14.042(1), F.A.C.; and

(c) “Hand Pays” shall include all manual handpays.

(3) Each report to the division shall be received or postmarked not later than the required filing date referenced in subsection (1).

(3)(4) Tickets and vouchers which remain unclaimed after 30 days shall be accounted for as taxable slot machine revenue reported as referenced in subsection (1).

(4)(5) Winnings withheld from an excluded person shall be accounted for as taxable slot machine revenue reported as referenced in subsection (1).

(5) Non-redeemable credits shall be accounted for on, and deducted from, the taxable slot machine revenue reported as referenced in subsection (1).

(6) Each report to the division shall be received or postmarked not later than the required filing date referenced in subsection (1).

Rulemaking Authority 550.0251(2), 551.103(1), 551.122 FS. Law Implemented 550.0251(2), 551.103(1)(d), (g), 551.106(3), 559.79(2) FS. History–New 7-30-06, Amended________.

 

61D-14.200 Educational or Training Facilities.

(1) The following entities, upon division approval, may be permitted to have slot machines for educational or training purposes:

(a) Certified educational facilities;

(b) Florida Department of Law Enforcement; and

(c) The Department of Business and Professional Regulation.

(2) Certified educational facilities shall:

(a) Be licensed under Rule 61D-14.203, F.A.C., prior to:

1. Enrolling any student for slot machine maintenance or operations courses;

2. Offering any course concerning slot machine maintenance or operations; and

3. Conducting any business whatsoever with a slot machine licensee or applicant for a slot machine license, its employees, or agents.

(b) Submit written certification from the Florida Department of Education that it recognizes the applicant as a certified educational facility;

(c) Use only slot machine equipment and components (including software) verified by the division for instructional, training, or demonstration purposes;

(d) Follow Rules 61D-14.096, 61D-14.097, and 61D-14.098, F.A.C., regarding the shipment of slot machines or slot machine components into or out of the certified educational facility;

(e) Establish a slot machine training area that is:

1. Segregated from all other training or classroom areas;

2. Enclosed by walls from floor to ceiling;

3. Secured from all unauthorized access;

4. Secured through the use of a lock and key or similar entry control system to which only personnel holding a slot machine occupational license have access; and

5. Used exclusively for slot machine educational and training purposes.

(f) Be licensed pursuant to Rules 61D-14.006 and 61D-14.203, F.A.C.;

(g) Have filed with the division a set of written internal controls that include:

1. Administrative controls providing for the acquisition and qualification of students receiving training;

2. Requirements for slot machine training students to receive at least one block of instruction and written testing on Chapter 551, F.S., and Chapter 61D-14, F.A.C.;

3. Requirements for written certification of acknowledgement from each student that he or she understands that the slot machines are not to be used for wagering, betting, gaming, or similar activity;

4. Procedures to authorize and control access to the slot machine training area during class and non-class time periods;

5. Requirement of a statement signed by the certified educational facility chief administrator that the internal controls conform to the requirements of Chapter 551, F.S., and Chapter 61D-14, F.A.C.; and

6. A requirement that all books, records, and documents (including student records) be maintained pursuant to Rule 61D-14.080, F.A.C.

(h) Require all personnel employed or under contract with the certified educational institution who are associated with access, instruction activity, or the operation of the slot machine training area to obtain licensure pursuant to Rule 61D-14.005, F.A.C.

(3) The division shall evaluate the certified educational institution’s internal controls and all amendments thereto for conformity with Chapter 551, F.S., and Chapter 61D-14, F.A.C.

(4) A current copy of the internal controls as approved by the division shall be maintained in:

(a) The chief administrator’s office;

(b) The security office, when one is provided; and

(c) The slot machine training area.

(5) The certified educational institution shall obtain approval from the division for any amendment to its internal controls prior to implementing any change.

(6) Failure of the certified educational institution to comply with its internal controls is a violation of this section and may result in disciplinary action.

Rulemaking Authority 551.103(1), (2), (5), 551.109(2)(b), 551.122 FS. Law Implemented 551.103(1)(a), (b), (d), (e), (g), (i), (2), 551.109(2)(a), (b), 551.122, 849.15(2) FS. History–New__________.

 

61D-14.203 Certified Educational Facility License Application.

(1) The license requirements of this section apply to certified educational facilities intending to provide instruction for slot machine operation and maintenance.

(2) A license may be issued only to an educational facility that is certified by the Florida Department of Education (FDOE) to provide educational instruction within the state of Florida.

(3) All requirements of Rule 61D-14.200, F.A.C., must be met by a certified educational facility prior to licensure.

(4) An application for a slot machine certified educational facility license shall be made on Form DBPR PMW-3422, Slot Machine Certified Educational Facility License Application, effective _______, adopted herein by reference, which can be obtained at www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering at 1940 North Monroe Street, Tallahassee, Florida 32399-1035.

(5) If the applicant intends to claim any public records exemption from the Florida public records law, Chapter 119, F.S., it shall indicate in its application the specific sections for which it claims an exemption and the basis for the exemption.

(6) Each application shall be filed with the division’s office located at 1940 North Monroe Street, Tallahassee, Florida 32399-1035.

(7) The division shall deny the application for a certified educational facility license if the application and its supporting documents fail to meet the requirements of Chapter 551, F.S., or Chapter 61D-14, F.A.C.

(8) A certified educational facility license shall be suspended or revoked if at any time during the period of licensure the facility is suspended or removed from the list of educational facilities certified by the FDOE.

(9) A certified educational facility license shall be suspended throughout the period of time that the facility is under suspension or similar discipline imposed by the FDOE.

Rulemaking Authority 550.0251(2), 551.103(1), 551.109(2)(b), 551.122 FS. Law Implemented 550.0251(2), 551.103(1)(a), (b), (d), (e), (g), (i), (2), 551.107(4)(a), 551.109(2), (a), (b), 559.79(2) FS. History–New__________.

 

NAME OF PERSON ORIGINATING PROPOSED RULE: Leon M. Biegalski, Director, Division of Pari-Mutuel Wagering

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

DATE PROPOSED RULE APPROVED BY AGENCY HEAD: March 19, 2013

DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAR: August 10, 2012, December 14, 2012