The purpose of this rule amendment is to update licensure application forms and rule language with the goals of streamlining the licensing process, clarifying all requirements for the same, and providing applicants and licensees additional notice ...

 

DEPARTMENT OF BUSINESS AND PROFESSIONAL REGULATION

Division of Pari-Mutuel Wagering

RULE NOS.:RULE TITLES:

61D-14.002Application Requirements

61D-14.005Occupational License Requirements for Individual Persons

61D-14.0055Temporary Slot Machine Occupational License

61D-14.006Occupational License Application Requirements for Business Entities

61D-14.008Occupational License Renewal Application

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

61D-14.010Identification of the Occupational License Applicant

61D-14.011Occupational License and Fingerprint Fees

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

PURPOSE AND EFFECT: The purpose of this rule amendment is to update licensure application forms and rule language with the goals of streamlining the licensing process, clarifying all requirements for the same, and providing applicants and licensees additional notice regarding how to challenge FBI criminal history records.

SUMMARY: Slot Machine Licensing

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 economic review conducted by the Agency.

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(1), 550.105(2)(b),(10)(a), 551.103(1), 551.107(2)(b), 551.1045, 551.122,  849.086(4)(a),(6)(d)(f), F.S.

LAW IMPLEMENTED: 550.0251, 550.105, 551.103(1), 551.104(4), (10), 551.1045, 551.106(1), 551.107, 551.108, 551.118, 559.79, 849.086(6), F.S.

IF REQUESTED WITHIN 21 DAYS OF THE DATE OF THIS NOTICE, A HEARING WILL BE SCHEDULED AND ANNOUNCED IN THE FAR.

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

 

THE FULL TEXT OF THE PROPOSED RULE IS:

 

61D-14.002 Application Requirements.

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

(a) Be filed by a pari-mutuel wagering permitholder;

(b) Be filed on Form DBPR PMW-3400, Permitholder Application for Annual Slot Machine License, effective May 2017, incorporated herein by reference, http://www.flrules.org/Gateway/reference.asp?No=Ref-08244, and can be obtained at http://www.myfloridalicense.com/DBPR/pari-mutuel-wagering/ www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering at 2601 Blair Stone Road, Tallahassee, Florida 32399-1037 1035;

(c) Include the full name of the applicant;

(d) Include a list of all ownership interests of five percent or greater and: ;

1. If the applicant is a corporation, provide 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

2. If the applicant is a business entity other than a corporation, provide the names and addresses of the principals, partners, shareholders or any other person holding five percent or more equity; .

(e) Include the names and addresses of the ultimate equitable owners for a corporation or other business entity, if different from those provided under subsection paragraph (d) above, unless:

1. The securities of the corporation or entity are registered pursuant to Section 12 of the Securities Exchange Act of 1934, 15 United States Code Sections 78a-78kk, ; and,

2. The corporation or entity files the reports required by Section 13 of the Act with the United States Securities and Exchange Commission, or the securities of the corporation or entity are regularly traded on an established securities market in the United States; ,

(f) Include the names and addresses of any mortgagee of the applicant’s pari-mutuel facility and information on any financial agreement between the parties including the names and addresses of:

1. The officers and directors of the mortgagee,

2. The stockholders in the mortgagee who hold more than five percent of the stock, and

3. The equitable owners under subsection paragraph (e) above, if applicable. and the mortgagee is a publicly traded company; .

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

1. A complete set of each owner, partner, officer, or director’s fingerprints that are 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 livescan 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 FD-258, it must be scanned and submitted by a FDLE-approved livescan live-scan vendor or service provider. The complete set of fingerprints and payment of the fingerprint fee must comply with the following:

a. Each owner, partner, officer, or director required to be reported pursuant to this section must provide the livescan service provider the correct Originating Agency Identifier (ORI) number, which is FL923230Z, in order for the division to receive his or her fingerprint results. 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,

b. The cost of fingerprint processing shall be paid by the applicant directly to the FDLE-approved vendor or livescan service provider. ; and,

2. Form DBPR PMW-3140, DBPR PMW-3460, Disclosure for Individuals Related to a Business, Authorization for Release of Information, effective 6-21-10, incorporated herein by reference in Rule 61D-11.008, F.A.C., 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 (k) No change.

(l) Include a complete Form DBPR PMW-3470, Surety Bond for Florida Slot Machine Licensee, effective (Month Year), 6-21-10, incorporated herein by reference, https://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX, and which can be obtained at http://www.myfloridalicense.com/DBPR/pari-mutuel-wagering/ www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering at 2601 Blair Stone Road, Tallahassee, Florida 32399-1037 1035. This form provides proof of a bond, in the amount of at least 2 million dollars ($2,000,000.00) payable to the Governor of the State of Florida and his or her successors in office. The bond required by this section must:

1. through 4. No change

5. Provide that the surety may reserve the right to withdraw from the bond, except the surety may not withdraw as to any liability already incurred or accrued during the period of the bond, and may do so only upon giving written notice of the withdrawal to the Director of the Department of Business and Professional Regulation, 2601 Blair Stone Road, Tallahassee, Florida 32399-1037 1035. The bond must further provide that any approved withdrawal shall not be effective until sixty (60) days have elapsed after the division’s acknowledgement of the notice,

6. through 7. No change.

(m) through (r) No change.

(2) The applicant for a slot machine license shall file its application under oath.

(3) If the applicant for a slot machine license is a business entity, the application shall be filed under oath by an officer, director or manager who is authorized by the applicant business entity to bind the applicant to the representations made in the license application. The officer, director or manager signing the application of a business entity shall affirm under oath that he or she is authorized to sign on behalf of the business entity applying for the slot machine license.

(4) The applicant for a slot machine license shall indicate:

(a) through (b) No change.

PROPOSED EFFECTIVE DATE:  September 1, 2020

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(a), (b), (f), (g), 551.104(4), (10), 551.106(1), 551.107(7), 551.118, 559.79(2) FS. History–New 6-25-06, Amended 6-21-10, 5-30-17,                 .

 

61D-14.005 Occupational License Requirements for Individual Persons.

(1) The following slot machine occupational license requirements apply to individual persons having access to the designated slot machine area or who may be granted access to the slot machine area by reason of the positions they hold:

(a) Slot Machine Professional Individual Occupational License – Individuals meeting any of the following criteria must shall apply for a Slot Machine Pprofessional Iindividual Ooccupational Llicense. An individual seeking a license as an employee of a slot machine facility who:

1. An employee of a slot machine facility who wWill be a security or supervisory employee who requires access to the slot gaming floor of a slot machine facility, or a surveillance employee,

2. An employee of a slot machine facility who wWill have access to the interior of a slot machine, a slot machine’s revenue, or accounting and reporting records associated with slot machine revenue, or

3. An employee of a slot machine facility who hHolds a position as the head of a department referenced in Rule 61D-14.015, F.A.C., or a supervisor of employees of the slot machine licensee, or .

4. An employee of any person or entity providing slot machine related services as referenced in Section 551.107(2)(a)3., F.S., to a slot machine licensee, who may be granted access to slot machine areas of a slot machine licensee due to his or her employment.

(b) Slot Machine General Individual Occupational License – An individual seeking a license as an employee of a slot machine facility with no management or supervisory authority related to the slot machine licensee’s facility or employees not covered in subsection paragraph (1)(a) above, must shall apply for a Slot Machine Ggeneral Iindividual Ooccupational Llicense. ; and,

(c) Slot Machine/Cardroom/Pari-Mutuel Combination Occupational License –An individual required to hold a Slot Machine Professional or General Individual Occupational License who also needs access to pari-mutuel areas and/or holds a position that requires a Cardroom Employee Occupational License must apply for a Slot Machine/Cardroom/Pari-Mutuel Combination Occupational License. Applicants seeking a combination occupational license shall be subject to the eligibility and licensure requirements stated in Chapters 61D-5, 61D-11, 61D-14 F.A.C. and Chapters 550 and 551 and Section 849.086, F.S. Business Employee Occupational License – An individual seeking a license as an employee of any person or entity providing slot machine related services as referenced in Section 551.107(2)(a)3., F.S., to a slot machine licensee, who may be granted access to slot machine areas of a slot machine licensee due to their employment, shall apply for a business employee occupational license.

(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, http://www.flrules.org/Gateway/reference.asp?No=Ref-03157, or Form DBPR PMW-3415, Slot Machine Individual Occupational License Renewal Application, http://www.flrules.org/Gateway/reference.asp?No=Ref-03158, both of which are effective 9-26-13 and incorporated herein by reference. The forms can be obtained at www.myfloridalicense.com/dbpr/pmw or by contacting the Department of Business and Professional Regulation, 2601 Blair Stone Road, Tallahassee, Florida 32399.

(a) Name, including any prior names, aliases, maiden name or nicknames;

(b) Date of birth;

(c) Current physical and mailing address, a mailing address alone shall not be sufficient unless it is also the applicant’s physical address;

(d) Social security number;

(e) Telephone number of current place of employment and home;

(f) The applicant’s marital status and the name, date of birth, race, and gender of the applicant’s spouse, children, siblings, grandchildren, the applicant’s parents and any other relative over the age of 21 living in the same household as the applicant;

(g) Disclosure of other jurisdictions in which the applicant holds, has held, or is applying for a gaming license including:

1. Any license, permit or registry required in order to participate in any legal gaming operation; and,

2. Any denial, suspension or revocation of a license, permit or certification issued by any governmental agency.

(h) Information regarding any administrative, civil or criminal proceedings, or any investigations known to the applicant that have been initiated by any governmental agency or any other state or federal agency regarding the applicant in that jurisdiction, or any judgment entered as the result of any such proceeding to include:

1. The date of any listed action,

2. A copy of any complaint filed in the above actions; and,

3. A copy of any final orders, judgments, or other final judicial disposition in the above actions.

(2)(3) Every applicant for a slot machine or combination occupational license pursuant to subsections paragraphs (1)(a) or (c) above, shall disclose in his or her application:

(a) through (b) No change.

(c) An employment history including:

1. All gaming-related employment,

2. Any non-gaming employment for the previous ten years; and,

3. Any period of unemployment in excess of one month in the previous ten years.

(d) Education and training experience in management or gaming; and,

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

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

(a) A duly completed original Form DBPR PMW-3410, Slot Machine Individual Occupational License Application, effective (Month Year), incorporated herein by reference, https://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX. The form can also be obtained at http://www.myfloridalicense.com/DBPR/pari-mutuel-wagering/ or by contacting the Department of Business and Professional Regulation, 2601 Blair Stone Road, Tallahassee, Florida 32399-1037. incorporated by reference in subsection (2) above, in accordance with subsection (3);

(b) No change.

(c) A complete 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 livescan 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 FD-258, it must be scanned and submitted by a FDLE-approved livescan live-scan vendor or service provider. Applicants timely renewing their license, whose fingerprints have been retained by FDLE, shall not be required to submit a complete set of fingerprints. The complete set of fingerprints and payment of the fingerprint fee must comply with the following:

1. Each applicant sending fingerprints via a livescan device must provide the livescan service provider the correct Originating Agency Identifier (ORI) number, which is FL923230Z, in order for the division to receive his or her fingerprint results 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 appropriate cost of fingerprint processing fee, as established by FDLE and the Federal Bureau of Investigation, shall be paid by the applicant directly to the FDLE-approved livescan vendor or service provider or, if fingerprints are submitted to the division on a fingerprint card FD-258 or are retained by FDLE, shall be paid by the applicant directly to the division; and,

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

(4)(5) In the event the division determines that the licensee has applied for multiple positions that have been determined as incompatible functions as set forth in the internal controls of the employing slot machine licensee under subsection 61D-14.015(4), F.A.C., the licensee shall be informed in writing and allowed to amend the application to select the position of his or her preference.

(5)(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, in its application or by written notice to the division, the specific information for which it claims an exemption and the basis for the exemption.

(6)(7) Each application shall be filed with the division’s office located at the slot machine licensee’s facility or to the division at Department of Business and Professional Regulation, 2601 Blair Stone Road, Tallahassee, Florida 32399-1037.

(7) Slot machine and combination occupational licenses issued pursuant to Section 551.107, F.S., shall have an effective date of July 1st and shall be valid for a period of three state fiscal years. A license granted pursuant to an application for a slot machine or combination occupational license submitted between April 1st and June 30th shall have an effective date beginning July 1st of the following state fiscal year. A license granted pursuant to an application received outside of this period shall have an effective date beginning July 1st of the same state fiscal year in which the application was received.

(8) During the three year term of a valid occupational license issued by the division, an individual may need another type of occupational license for any reason, such as a change in his or her employment or job duties. From the date an occupational license is granted until April 1 of the year in which the license expires, a licensee may request to upgrade the valid occupational license they hold to another occupational license type to which the division allows an upgrade. 

(a) A licensee may request the division to upgrade their existing license as follows:

1. A Slot Machine General Individual Occupational Licensee may upgrade to a Slot Machine Professional Individual Occupational License or a Slot/ Cardroom/ Pari-Mutuel Combination Occupational License.

2. A Slot Machine Professional Individual Occupational Licensee may upgrade to a Slot/ Cardroom/ Pari-Mutuel Combination Occupational License.

(b) In order to request an upgrade of the valid occupational license held by an individual the licensee must submit the following to the division:

1. A request to upgrade the existing occupational license on Form DBPR PMW-3450, License Upgrade Application, effective (Month Year), incorporated herein by reference, https://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX, and which can be obtained at http://www.myfloridalicense.com/DBPR/pari-mutuel-wagering/ or by contacting the Department of Business and Professional Regulation, 2601 Blair Stone Road, Tallahassee, Florida 32399-1037.

2. The difference in the license fee, if any, between the occupational license held by the licensee and the license type to which the licensee is requesting to upgrade. The difference in license fees that must be paid are as follows: 

a. A Slot Machine General Occupational Licensee must pay no fee to upgrade to a Slot Machine Professional Occupational License.

b. A Slot Machine General Occupational Licensee must pay no fee to upgrade to a Slot/ Cardroom/ Pari-Mutuel Combination Occupational License.

c. A Slot Machine Professional Occupational Licensee must pay no fee to upgrade to a Slot/ Cardroom/ Pari-Mutuel Combination Occupational License.

(c) All upgrade applicants, except for applicants requesting to upgrade a Slot Machine General Occupational License to a Slot Machine Professional Occupational License, shall provide the division with the fingerprint resubmission fee established by FDLE and the Federal Bureau of Investigation. An application for a license upgrade shall be granted or denied according to the specific licensure requirements of the license for which an applicant has applied to upgrade pursuant to Chapters 550, 551, and/or Section 849.086, F.S., and pursuant to the licensing requirements of Section 120.60, F.S. The appropriate fingerprint processing fee, as established by FDLE and the Federal Bureau of Investigation, shall be paid by the applicant to the division as part of an application for upgrade.

(d) A license issued by the division pursuant a license upgrade request shall have the following effect:

1. The license held by the applicant prior to the license upgrade request shall no longer be effective and shall be deemed void on the date the division grants the upgraded license.

2. The license to which the applicant requested to upgrade shall be valid on the date the division grants the license and shall expire on the same date as the license from which the applicant upgraded expired.

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 May 2017, incorporated herein by reference, http://www.flrules.org/Gateway/reference.asp?No=Ref-08245, which 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.

(9) A license application shall lapse and no longer be processed by the division, if the applicant fails to provide the division with a complete application within 120 days of a notice issued by the division pursuant to Section 120.60(1), F.S. A person with a lapsed license application shall not be eligible to participate in activities that require an occupational license. An applicant seeking a slot machine or combination license as an initial or renewal applicant following the lapse of their previous license application shall be required to reapply by submitting all materials and fees required in subsection (3) or (8) above. 

(10) An applicant for a Slot Machine/Cardroom/Pari-Mutuel Combination Occupational License, who is subject to denial pursuant to Section 849.086(6)(g), F.S., may request a waiver by submitting Form DBPR PMW-3180, Request for Waiver, incorporated by reference in Rule 61D-5.001, F.A.C., which can be obtained at www.dbpr.state.fl.us/pari-mutuel-wagering/, or by contacting the Department of Business and Professional Regulation, 2601 Blair Stone Road, Tallahassee, Florida 32399-1037.

PROPOSED EFFECTIVE DATE:  September 1, 2020

Rulemaking Authority 550.0251(12), 550.105(2)(b), (10)(a), 551.103(1), 551.107(2)(b), 551.122, 849.086(4)(a), (6)(d), (f), FS. Law Implemented 550.0251, 550.105, 551.103(1)(b), 551.107(4)(a), 551.107(7), 551.108, 559.79(2), 849.086(6), FS. History–New 6-25-06, Amended 12-6-06, 6-21-10, 9-26-13, 5-30-17,           .

 

61D-14.0055 Temporary Slot Machine Occupational License.

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

(a) The applicant has submitted a completed Form DBPR PMW-3410, Slot Machine Employee Occupational License Application incorporated by reference in Rule 61D-14.005, F.A.C., or  Form DBPR PMW-3420, Slot Machine Business Entity Occupational License Application, incorporated by reference in Rule 61D-14.006, F.A.C., and has paid all applicable licensing and fingerprint fees The applicant has submitted a complete license application;

(b) The applicant has not been convicted of or had adjudication withheld on any disqualifying criminal offense listed in Section 551.107(6), F.S.; and,

(c) The division has not issued the applicant’s permanent occupational license.;

(d) If the applicant has previously applied to the division for a license, the applicant’s most recent application prior to the current application for licensure did not lapse pursuant to Rule 61D-14.005, F.A.C.; and

(e) The applicant is in good standing, not under suspension, has not had a license revoked and has not been denied a license or declared ineligible in Florida or any other racing or gaming jurisdiction;

(2) The 30-day requirement of subsection (1) shall be tolled when the division issues a letter notifying the applicant of errors or omissions in the license application pursuant to Section 120.60(1), F.S.

(2)(3) All temporary licenses issued by the division are subject to the same terms and conditions of Chapter 551, F.S. and Chapter 61D-14, F.A.C., as other occupational are permanent licenses. and shall be immediately surrendered if the division:

(a) Grants the applicant a permanent license;

(b) Denies the applicant a permanent license, or

(c) Finds the applicant in violation of Chapter 551, F.S., or Chapter 61D-14, F.A.C.;

(3) The granting of a temporary license is conditioned on the honesty of an applicant in his, her or its application.  If the division determines the applicant falsely swore to a material statement in the application relating to the applicant’s criminal history or suspension, unpaid fines, revocation or denial in Florida or another gaming or racing jurisdiction, the division may revoke a temporary license.

(4) An applicant who is not eligible for a temporary license is not prevented from applying for an occupational license referenced in Rules 61D-14.005 and 61D-14.006, F.A.C. A holder of a temporary individual slot machine occupational license shall cease all activity requiring the possession of a slot machine occupational license if:

(a) The division denies the application, or

(b) The applicant is convicted of a disqualifying criminal offense listed in Section 551.107(6), F.S.

PROPOSED EFFECTIVE DATE:  September 1, 2020

Rulemaking Authority 551.103(1), 551.1045, 551.122 FS. Law Implemented 551.1045, 551.107 FS. History–New 6-21-10, Amended 5-30-17,            .

 

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 (month year) May 2017, incorporated herein by reference, http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX http://www.flrules.org/Gateway/reference.asp?No=Ref-08246, which can be obtained at http://www.myfloridalicense.com/DBPR/pari-mutuel-wagering/ www.myfloridalicense.com/dbpr/pmw or by contacting the Division of Pari-Mutuel Wagering at 2601 Blair Stone Road, Tallahassee, Florida 32399-1037 1035.

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

(a) through (c) No change.

(d) Whether the applicant is seeking a one or three-year license;

(d)(e) A check or money order for Tthe applicable business license fee as provided in Rule 61D-14.011, F.A.C.;

(e)(f) The physical and mailing address(es), including the country if not the United States of America;

(f)(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;

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

(h)(i) 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 FD-258, it must be scanned and submitted by a FDLE-approved live-scan vendor or service provider.

a. 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;

b. The cost of fingerprint processing shall be paid by the applicant directly to the FDLE-approved livescan vendor or service provider or, if fingerprints are submitted to the division on a fingerprint card FD-258, shall be paid by the applicant directly to the division; and,

2. A Form DBPR PMW-3140, Disclosure for Individuals Related to a Business, DBPR PMW-3460, Authorization for Release of Information, incorporated by reference in Rule 61D-11.008 61D-14.002, F.A.C., signed by the individual.

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

(j)(k) 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.

(k)(l) 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. A list of the applicable license, permit, or registry required in order to participate in any legal gaming operation, including any license which has been relinquished in lieu of prosecution,

2. Any denial, suspension, or revocation of a license, permit, or certification issued by any governmental agency; and,

3. A copy of all court or administrative records regarding any denial, suspension, or revocation of a license, permit, or certification issued by any governmental agency.

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

(m)(n) 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;

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

1. through 2. No change.

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

1. through 6. No change.

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

(4) through (6). No change.

(7) An applicant for a license as a manufacturer or distributor of slot machines, or any equipment necessary for the operation of slot machines, shall attest in the application include with its application an affidavit attesting to the fact that the applicant, its officers, directors, or employees have no ownership or financial interest in a slot machine licensee or any business owned by a slot machine licensee.

(8) No change.

(9) Each application shall be filed with the division’s office located at Department of Business and Professional Regulation, 2601 Blair Stone Road, Tallahassee, Florida 32399-1037.

(10) A business slot machine occupational licensee shall be permitted to provide goods and services to all slot machine and cardroom licensees and pari-mutuel permitholders. A business slot machine occupational licensee shall not be required to hold a Pari-Mutuel Business Occupational License or a Cardroom Business Occupational License to provide goods and services. 

(11) A license application shall lapse and no longer be processed by the division, if the applicant fails to provide the division with a complete application within 120 days of a notice issued by the division pursuant to Section 120.60(1), F.S. An applicant with a lapsed license application shall not be eligible to participate in activities that require an occupational license. An applicant seeking a business slot machine occupational license as an initial or renewal applicant following the lapse of their previous license application shall be required to reapply by submitting all applicable materials and fees required by this rule and Rule 61D-14.011, F.A.C. 

(12) Business slot machine occupational licenses issued pursuant to Section 551.107, F.S., shall have an effective date of July 1st and shall be valid for a period of three state fiscal years. A license granted pursuant to an application for a business slot machine occupational license submitted between April 1st and June 30th shall have an effective date beginning July 1st of the following state fiscal year. A license granted pursuant to an application received outside of this period shall have an effective date beginning July 1st of the same state fiscal year in which the application was received.

PROPOSED EFFECTIVE DATE:  September 1, 2020

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 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, 5-30-17,                 .

 

61D-14.008 Occupational License Renewal Application.

(1) The application for renewal of a slot machine occupational license shall include:

(a) A completed original Form DBPR PMW-3410 3415, Slot Machine Individual Occupational License Renewal Application, incorporated by reference in Rule 61D-14.005, F.A.C., or Form DBPR PMW-3420 3425, Slot Machine Business Entity Occupational License Renewal Application, effective 6-21-10, incorporated herein by reference in Rule 61D-14.006, F.A.C., and can be obtained at www.myfloridalicense.com/dbpr/pmw or by contacting the Department of Business and Professional Regulation, 2601 Blair Stone Road, Tallahassee, Florida 32399;

(b) The fees to be paid as provided in Rule 61D-14.011, F.A.C.; and,

(c) Disclosure of the following administrative, civil, or criminal actions that have occurred since the issue of the current license:

1. All administrative, civil, or criminal proceedings that have been initiated by any governmental agency or any other state or federal agency; and,

2. A complete copy of the complaint, pleadings, and any final order, judgment, or other final judicial disposition for each administrative, civil, or criminal proceeding disclosed.

(2) The division shall issue a slot machine occupational license for a period of one year or three years. Applications shall be accompanied by the corresponding license fee, beginning on July 1 of each year and expiring on June 30 of the anniversary year for the license.

(2)(3) Slot machine occupational licenses renewed pursuant to Section 551.107, F.S., shall have an effective date of July 1st and shall be valid for a period of three state fiscal years. A license granted pursuant to an application for a slot machine occupational license submitted between April 1st and June 30th  shall have an effective date of July 1st of the next state fiscal year. A license granted pursuant to an application received outside of this period shall have an effective date beginning July 1st of the same state fiscal year in which the application was received. The completed renewal application shall be filed with and received by the division between April 1st and June 30th of the year the license is due to expire.

(3)(4) The license for any person who fails to submit a completed renewal application in accordance with this section shall expire on the expiration date.

(4)(5) Any person or business entity whose slot machine occupational license has expired and who seeks a subsequent slot machine occupational license:

(a) Within one year of the expiration of the current license, shall be considered an applicant for renewal of that license; .

(b) Longer than one year after expiration of the original license shall be considered an initial applicant for a slot machine occupational license required to make application using Form DBPR PMW-3410, Slot Machine Individual Occupational License Application, incorporated by reference in Rule 61D-14.005, F.A.C., and shall provide the information required pursuant to Rule 61D-14.005, F.A.C.

(6) Any business entity whose slot machine occupational license has expired and who seeks a subsequent slot machine occupational license shall be considered an initial slot machine occupational license applicant.

PROPOSED EFFECTIVE DATE:  September 1, 2020

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, 5-30-17,                 .

 

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) The applicant fails to provide any document required by Rule 61D-14.005 or 61D-14.006, F.A.C.;

(1)(2) The applicant is not at least 21 years old;

(3) The applicant has failed to pay the license fee or fingerprint fees;

(2)(4) The applicant has unpaid fines from any gaming or racing jurisdiction or holds any gaming license that is currently suspended, held a gaming license that has been suspended on multiple occasions resulting in a total time suspended of one year or more, or that has been revoked or relinquished in lieu of prosecution for a criminal, civil or administrative offense;

(3) The applicant holds a gaming or racing license that is currently suspended;

(4) The applicant held or holds a gaming or racing license that has been suspended on multiple occasions resulting in a total time suspended of one year or more;

(5) The applicant has had a gaming or racing license revoked;

(6) The applicant has relinquished a racing or gaming license in lieu of prosecution for a criminal, civil or administrative offense;

(7)(5) The applicant is an employee of the division;

(8)(6) The applicant is a manufacturer or distributor of slot machines who has or holds a direct or indirect ownership or financial interest in a business owned by a slot machine licensee; and,

(9) The applicant has been convicted of any disqualifying offense under Section 551.107(6), F.S.; or

(10)(7) The applicant is a business entity with an officer, director, manager, shareholder, equity holder or other person with the ability to control the actions of the applicant who:

(a) Has been convicted of any disqualifying offense under Section 551.107(6), F.S., or

(b) Has unpaid fines from any gaming jurisdiction or holds any gaming license that is currently suspended, held a gaming license that has been suspended on multiple occasions, or that has been revoked or relinquished in lieu of prosecution for a criminal, civil or administrative offense.

PROPOSED EFFECTIVE DATE:  September 1, 2020

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

 

61D-14.010 Identification of the Occupational License Applicant.

Every applicant for a Slot Machine Pprofessional Iindividual, Slot Machine Ggeneral Iindividual, or Slot Machine/Cardroom/Pari-Mutuel Combination business employee slot machine occupational license shall establish his/her identity in one of the following ways:

(1) through (2). No change.

PROPOSED EFFECTIVE DATE:  September 1, 2020

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

 

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 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 for a three-year license.

(3) An applicant for a Slot Machine General Individual Occupational License general slot machine occupational license shall provide his or her application to the division with a written acknowledgement from the slot machine licensee agreeing to pay the division the fee established in subsection (1).

(4) An applicant for a Slot Machine Professional Individual Occupational License who is or will be employed by a slot machine licensee professional occupational license shall submit payments for licensure and fingerprinting to the slot machine licensee and shall provide the division with an acknowledgement from the slot machine licensee agreeing to pay the division the fee established in subsection (1).

(5) An applicant for a Slot Machine/Cardroom/Pari-Mutuel Combination Occupational License who is or will be employed by a slot machine licensee shall comply with either the requirements of subsections (3) or (4) above when applying for licensure with the division.

(6)(5) The slot machine licensee shall remit a check or money order daily for payment of all general and professional occupational license application fees licenses for employees who work at the slot machine facility outlined in subsections (3), and (4), and (5) above, to the division. Payment of employee occupational license application fees by the slot machine licensee shall be submitted to the division at the division’s office located on the grounds of the slot machine licensee’s facility.

(7)(6) An applicant for a business entity occupational license, including those individuals employed by the business entity, shall provide to the division the fee established in subsection (2) above. a check or money order for payment of fingerprint fees with their occupational license applications. The employing business entity may provide payment for its individual employees. For each set of fingerprints the appropriate fingerprint processing fee, as established by the Florida Department of Law Enforcement and the Federal Bureau of Investigation, shall be paid by the applicant to the livescan service provider or, if fingerprints are submitted to the division on a fingerprint card FD-258 or are retained by FDLE, shall be paid by the applicant directly to the division. 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.

(8)(7) An applicant for a slot machine professional or combination occupational license who is not an employee of the slot machine licensee shall pay to the division the fee established in subsection (1) above. An employing business entity may provide payment to the division on behalf of its employees. For each set of fingerprints the appropriate fingerprint processing fee, as established by the Florida Department of Law Enforcement and the Federal Bureau of Investigation, shall be paid by the applicant to the livescan service provider or, if fingerprints are submitted to the division on a fingerprint card FD-258 or are retained by FDLE, shall be paid by the applicant directly to the division. Payment of professional and general employee application fees by the slot machine licensee shall be submitted to the division at the division’s office located on the grounds of the slot machine licensee’s facility.

PROPOSED EFFECTIVE DATE:  September 1, 2020

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(a), (b), (g), 551.107(1), (4)(a), (d), (7)(b), (d) FS. History–New 6-25-06, Amended 9-26-13,                 .

 

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, Slot Machine Occupational License Upgrade Application, effective May 2017, incorporated herein by reference, http://flrules.org/Gateway/reference.asp?No=Ref-08245, 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.

(1)(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 performing the professional-level duties.

(2)(3) 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)(4) Any person or entity holding a slot machine occupational license shall inform the division in writing of any change in their name or their physical or mailing address within seven days of the date the name or address changed.

PROPOSED EFFECTIVE DATE:  September 1, 2020

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(a), (b), (g), 551.107(4)(a), 559.79 FS. History–New 6-25-06, Amended 5-30-17,                 .

 

NAME OF PERSON ORIGINATING PROPOSED RULE: Bryan Barber, Division of Pari-Mutuel Wagering, [e-mail], 2601 Blair Stone Rd., Tallahassee, FL 32399, [phone]

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

DATE PROPOSED RULE APPROVED BY AGENCY HEAD: March 3, 2020

DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAR: November 4, 2019 and December 20, 2019