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Definitions - 4 Pa. Cons. Stat. § 1103Legal Research Home > Pennsylvania Statutes
§ 1103. Definitions.
The following words and phrases when used in this part shall
have the meanings given to them in this section unless the
context clearly indicates otherwise:
"Affiliate," "affiliate of" or "person affiliated with." A
person that directly or indirectly, through one or more
intermediaries, controls, is controlled by or is under common
control with a specified person.
"Applicant." Any person who, on his own behalf or on behalf
of another, is applying for permission to engage in any act or
activity which is regulated under the provisions of this part.
In cases in which the applicant is a person other than an
individual, the Pennsylvania Gaming Control Board shall
determine the associated persons whose qualifications are
necessary as a precondition to the licensing of the applicant.
"Approved," "approval" or "approve." When used in reference
to an application submitted to the State Horse Racing Commission
or the State Harness Racing Commission to conduct harness or
thoroughbred race meetings or the Pennsylvania Gaming Control
Board to authorize and regulate the placement and operation of
slot machines, the terms refer to the date that an application
to the State Horse Racing Commission, State Harness Racing
Commission or the board is granted regardless of the pendency of
any administrative or judicial appeals or other legal action
challenging the decision of either commission or the board.
"Associated equipment." Any equipment or mechanical,
electromechanical or electronic contrivance, component or
machine used in connection with gaming, including linking
devices which connect to progressive slot machines or slot
machines, replacement parts, equipment which affects the proper
reporting of gross revenue, computerized systems for controlling
and monitoring slot machines, including, but not limited to, the
central control computer and devices for weighing or counting
money.
"Authority." An authority created by the Commonwealth which
purchases State gaming receipts under section 1202 (relating to
general and specific powers).
"Background investigation." A security, criminal, credit and
suitability investigation of a person as provided for in this
part. The investigation shall include the status of taxes owed
to the United States and to the Commonwealth and its political
subdivisions.
"Backside area." Those areas of the racetrack facility that
are not generally accessible to the public and which include,
but are not limited to, those facilities commonly referred to as
barns, track kitchens, recreation halls, backside employee
quarters and training tracks, and roadways providing access
thereto. The term does not include those areas of the racetrack
facility which are generally accessible to the public, including
the various buildings commonly referred to as the grandstand or
the racing surfaces, paddock enclosures and walking rings.
"Board." The Pennsylvania Gaming Control Board established
under section 1201 (relating to Pennsylvania Gaming Control
Board established).
"Bonds." Bonds, notes, instruments, refunding notes and
bonds and other evidences of indebtedness or obligations, which
an authority issues to fund the purchase of State gaming
receipts.
"Bureau." The Bureau of Investigations and Enforcement of
the Pennsylvania Gaming Control Board.
"Central control computer." A central site computer
controlled by the Department of Revenue and accessible by the
Pennsylvania Gaming Control Board to which all slot machines
communicate for the purpose of auditing capacity, real-time
information retrieval of the details of any financial event that
occurs in the operation of a slot machine, including, but not
limited to, coin in, coin out, ticket in, ticket out, jackpots,
machine door openings and power failure, and remote machine
activation and disabling of slot machines.
"Cheat." To alter without authorization the elements of
chance, method of selection or criteria which determine:
(1) The result of a slot machine game.
(2) The amount or frequency of payment in a slot machine
game.
(3) The value of a wagering instrument.
(4) The value of a wagering credit.
The term does not include altering for required maintenance and
repair.
"Commission" or "commissions." The State Horse Racing
Commission or the State Harness Racing Commission, or both as
the context may require.
"Compensation." Any thing of value, money or a financial
benefit conferred on or received by a person in return for
services rendered, or to be rendered, whether by that person or
another.
"Complimentary service." Any lodging, service or item which
is provided to an individual at no cost or at a reduced cost
which is not generally available to the public under similar
circumstances. Group rates, including convention and government
rates, shall be deemed to be generally available to the public.
"Conduct of gaming." The licensed placement and operation of
games of chance under this part and approved by the Pennsylvania
Gaming Control Board at a licensed facility.
"Controlling interest." For a publicly traded domestic or
foreign corporation, a controlling interest is an interest in a
legal entity, applicant or licensee if a person's sole voting
rights under State law or corporate articles or bylaws entitle
the person to elect or appoint one or more of the members of the
board of directors or other governing board or the ownership or
beneficial holding of 5% or more of the securities of the
publicly traded corporation, partnership, limited liability
company or other form of publicly traded legal entity, unless
this presumption of control or ability to elect is rebutted by
clear and convincing evidence. For a privately held domestic or
foreign corporation, partnership, limited liability company or
other form of privately held legal entity, a controlling
interest is the holding of any securities in the legal entity,
unless this presumption of control is rebutted by clear and
convincing evidence.
"Conviction." A finding of guilt or a plea of guilty or nolo
contendere, whether or not a judgment of sentence has been
imposed as determined by the law of the jurisdiction in which
the prosecution was held. The term does not include a conviction
that has been expunged or overturned or for which an individual
has been pardoned or an order of Accelerated Rehabilitative
Disposition.
"Corporation." Includes a publicly traded corporation.
"Department." The Department of Revenue of the Commonwealth.
"Financial backer." An investor, mortgagee, bondholder,
noteholder or other sources of equity or capital provided to an
applicant or licensed entity.
"Fund." The State Gaming Fund established under section 1403
(relating to establishment of State Gaming Fund and net slot
machine revenue distribution).
"Gaming employee." Any employee of a slot machine licensee,
including, but not limited to:
(1) Cashiers.
(2) Change personnel.
(3) Counting room personnel.
(4) Slot attendants.
(5) Hosts or other persons authorized to extend
complimentary services.
(6) Machine mechanics or computer machine technicians.
(7) Security personnel.
(8) Surveillance personnel.
(9) Supervisors and managers.
The term includes employees of a person holding a supplier's
license whose duties are directly involved with the repair or
distribution of slot machines and associated equipment sold or
provided to the licensed facility within this Commonwealth as
determined by the Pennsylvania Gaming Control Board. The term
does not include bartenders, cocktail servers or other persons
engaged solely in preparing or serving food or beverages,
clerical or secretarial personnel, parking attendants,
janitorial, stage, sound and light technicians and other
nongaming personnel as determined by the board.
"Gross terminal revenue." The total of cash or cash
equivalent wagers received by a slot machine minus the total of:
(1) Cash or cash equivalents paid out to patrons as a
result of playing a slot machine which are paid to patrons
either manually or paid out by the slot machine.
(2) Cash paid to purchase annuities to fund prizes
payable to patrons over a period of time as a result of
playing a slot machine.
(3) Any personal property distributed to a patron as the
result of playing a slot machine. This does not include
travel expenses, food, refreshments, lodging or services.
The term does not include counterfeit money or tokens, coins or
currency of other countries which are received in slot machines,
except to the extent that they are readily convertible to United
States currency, cash taken in fraudulent acts perpetrated
against a slot machine licensee for which the licensee is not
reimbursed or cash received as entry fees for contests or
tournaments in which the patrons compete for prizes.
"Holding company." A person, other than an individual,
which, directly or indirectly, owns or has the power or right to
control or to vote any significant part of the outstanding
voting securities of a corporation or other form of business
organization. A holding company indirectly has, holds or owns
any such power, right or security if it does so through an
interest in a subsidiary or successive subsidiaries.
"Horsemen of this Commonwealth." A thoroughbred or
standardbred horse owner or trainer who enters and runs his or
her horse at a licensed racing entity in the current or prior
calendar year and meets the requirements of the horsemen's
organization of which he or she is a member to participate in
the receipt of benefits therefrom; or an employee of a trainer
who meets the requirements of the horsemen's organization of
which he or she is a member to participate in the receipt of
benefits therefrom.
"Horsemen's organization." A trade association which
represents the majority of owners and trainers who own and race
horses at a licensed racetrack.
"Independent contractor." A person who performs
professional, scientific, technical, advisory or consulting
services for the Pennsylvania Gaming Control Board for a fee,
honorarium or similar compensation pursuant to a contract.
"Institutional investor." Any retirement fund administered
by a public agency for the exclusive benefit of Federal, State
or local public employees, investment company registered under
the Investment Company Act of 1940 (54 Stat. 789, 15 U.S.C. §
80a-1 et seq.), collective investment trust organized by banks
under Part Nine of the Rules of the Comptroller of the Currency,
closed-end investment trust, chartered or licensed life
insurance company or property and casualty insurance company,
banking and other chartered or licensed lending institution,
investment advisor registered under The Investment Advisors Act
of 1940 (54 Stat. 847, 15 U.S.C. § 80b-1 et seq.) and such other
persons as the Pennsylvania Gaming Control Board may determine
consistent with this part.
"Intermediary." A person, other than an individual, which:
(1) is a holding company with respect to a corporation
or other form of business organization, which holds or
applies for a license under this part; and
(2) is a subsidiary with respect to any holding company.
"Issued," "issuance" or "issue." When used in reference to
an application submitted to the State Horse Racing Commission or
the State Harness Racing Commission to conduct harness or
thoroughbred race meetings or the Pennsylvania Gaming Control
Board to authorize the placement and operation of slot machines,
the terms refer to the date when a determination by the
commissions or the board approving an application brought before
the agencies becomes final, binding and nonappealable and is not
subject to a pending legal challenge.
"Key employee." Any individual who is employed in a director
or department head capacity and who is empowered to make
discretionary decisions that regulate slot machine operations,
including the general manager and assistant manager of the
licensed facility, director of slot operations, director of cage
and/or credit operations, director of surveillance, director of
marketing, director of management information systems, director
of security, comptroller and any employee who supervises the
operations of these departments or to whom these department
directors or department heads report and such other positions
which the Pennsylvania Gaming Control Board shall determine
based on detailed analyses of job descriptions as provided in
the internal controls of the licensee as approved by the board.
All other gaming employees unless otherwise designated by the
board shall be classified as non-key employees.
"Licensed entity." Any slot machine licensee, manufacturer
licensee, supplier licensee or other person licensed by the
Pennsylvania Gaming Control Board under this part.
"Licensed facility." The physical land-based location at
which a licensed gaming entity is authorized to place and
operate slot machines.
"Licensed gaming entity" or "slot machine licensee." A
person that holds a slot machine license pursuant to this part.
"Licensed racetrack" or "racetrack." The physical facility
and grounds where a person has obtained a license from either
the State Horse Racing Commission or the State Harness Racing
Commission to conduct live thoroughbred or harness race meetings
respectively with pari-mutuel wagering. The term "racetrack" or
"its racetrack" shall mean the physical land-based location at
which live horse racing is conducted even if not owned by the
person.
"Licensed racing entity." Any legal entity that has obtained
a license to conduct live thoroughbred or harness horse race
meetings respectively with pari-mutuel wagering from either the
State Horse Racing Commission or the State Harness Racing
Commission pursuant to the act of December 17, 1981 (P.L.435,
No.135), known as the Race Horse Industry Reform Act.
"Manufacturer." A person who manufactures, builds, rebuilds,
fabricates, assembles, produces, programs, designs or otherwise
makes modifications to any slot machine or associated equipment
for use or play of slot machines in this Commonwealth for gaming
purposes.
"Manufacturer license." A license issued by the Pennsylvania
Gaming Control Board authorizing a manufacturer to manufacture
or produce slot machines or associated equipment for use in this
Commonwealth for gaming purposes.
"Manufacturer licensee." A manufacturer that obtains a
manufacturer license.
"Member." An individual appointed to and sworn in as a
member of the board in accordance with section 1201(b) (relating
to Pennsylvania Gaming Control Board established).
"Municipality." A city, borough, incorporated town or
township.
"Net terminal revenue." The net amount of the gross terminal
revenue less the tax and assessments imposed by sections 1402
(relating to gross terminal revenue deductions), 1403 (relating
to establishment of State Gaming Fund and net slot machine
revenue distribution), 1405 (relating to Pennsylvania Race Horse
Development Fund) and 1407 (relating to Pennsylvania Gaming
Economic Development and Tourism Fund).
"Nonprimary location." Any facility in which pari-mutuel
wagering is conducted by a licensed racing entity other than the
racetrack where live racing is conducted.
"Occupation permit." A permit authorizing an individual to
be employed or work as a gaming employee at a licensed facility.
"Permittee." A holder of a permit issued pursuant to this
part.
"Person." Any natural person, corporation, foundation,
organization, business trust, estate, limited liability company,
licensed corporation, trust, partnership, limited liability
partnership, association or any other form of legal business
entity.
"Principal." An officer; director; person who directly holds
a beneficial interest in or ownership of the securities of an
applicant or licensee; person who has a controlling interest in
an applicant or licensee, or has the ability to elect a majority
of the board of directors of a licensee or to otherwise control
a licensee; lender or other licensed financial institution of an
applicant or licensee, other than a bank or lending institution
which makes a loan or holds a mortgage or other lien acquired in
the ordinary course of business; underwriter of an applicant or
licensee; or other person or employee of an applicant, slot
machine licensee, manufacturer licensee or supplier licensee
deemed to be a principal by the Pennsylvania Gaming Control
Board.
"Progressive payout." A slot machine wager payout that
increases in a monetary amount based on the amounts wagered in a
progressive system.
"Progressive system." A computerized system linking slot
machines in one or more licensed facilities within this
Commonwealth and offering one or more common progressive payouts
based on the amounts wagered.
"Publicly traded corporation." A person, other than an
individual, which:
(1) has a class or series of securities registered under
the Securities Exchange Act of 1934 (48 Stat. 881, 15 U.S.C.
§ 78a et seq.);
(2) is a registered management company under the
Investment Company Act of 1940 (54 Stat. 789, 15 U.S.C. §
80a-1 et seq.); or
(3) is subject to the reporting obligations imposed by
section 15(d) of the Securities Exchange Act of 1934 by
reason of having filed a registration statement which has
become effective under the Securities Act of 1933 (48 Stat.
74, 15 U.S.C. § 77a et seq.).
"Race Horse Industry Reform Act." The act of December 17,
1981 (P.L.435, No.135), known as the Race Horse Industry Reform
Act.
"Revenue- or tourism-enhanced location." Any location within
this Commonwealth determined by the Pennsylvania Gaming Control
Board, in its discretion, which will maximize net revenue to the
Commonwealth or enhance year-round recreational tourism within
this Commonwealth, in comparison to other proposed facilities
and is otherwise consistent with the provisions of this part and
its declared public policy purposes.
"Security." As defined in the act of December 5, 1972
(P.L.1280, No.284), known as the Pennsylvania Securities Act of
1972.
"Slot machine." Any mechanical or electrical contrivance,
terminal, machine or other device approved by the Pennsylvania
Gaming Control Board which, upon insertion of a coin, bill,
ticket, token or similar object therein or upon payment of any
consideration whatsoever, including the use of any electronic
payment system except a credit card or debit card, is available
to play or operate, the play or operation of which, whether by
reason of skill or application of the element of chance or both,
may deliver or entitle the person or persons playing or
operating the contrivance, terminal, machine or other device to
receive cash, billets, tickets, tokens or electronic credits to
be exchanged for cash or to receive merchandise or anything of
value whatsoever, whether the payoff is made automatically from
the machine or manually. A slot machine:
(1) May utilize spinning reels or video displays or
both.
(2) May or may not dispense coins, tickets or tokens to
winning patrons.
(3) May use an electronic credit system for receiving
wagers and making payouts.
The term shall include associated equipment necessary to conduct
the operation of the contrivance, terminal, machine or other
device.
"Slot machine license." A license issued by the Pennsylvania
Gaming Control Board authorizing a person to place and operate
slot machines pursuant to this part and the rules and
regulations under this part.
"Slot machine licensee." A person that holds a slot machine
license.
"State gaming receipts." Revenues and receipts required by
this part to be paid into the State Gaming Fund, the
Pennsylvania Race Horse Development Fund and the Pennsylvania
Gaming Economic Development and Tourism Fund, and all rights,
existing on the effective date of this section or coming into
existence later, to receive any of those revenues and receipts.
"State Treasurer." The State Treasurer of the Commonwealth.
"Subsidiary." A person other than an individual. The term
includes:
(1) a corporation, any significant part of whose
outstanding equity securities are owned, subject to a power
or right of control, or held with power to vote, by a holding
company or an intermediary company;
(2) a significant interest in a person, other than an
individual, which is owned, subject to a power or right of
control, or held with power to vote, by a holding company or
an intermediary company; or
(3) a person deemed to be a subsidiary by the
Pennsylvania Gaming Control Board.
"Supplier." A person that sells, leases, offers or otherwise
provides, distributes or services any slot machine or associated
equipment for use or play of slot machines in this Commonwealth.
"Supplier license." A license issued by the Pennsylvania
Gaming Control Board authorizing a supplier to provide products
or services related to slot machines or associated equipment to
slot machine licensees.
"Supplier licensee." A supplier that holds a supplier
license.
"Underwriter." As defined in the act of December 5, 1972
(P.L.1280, No.284), known as the Pennsylvania Securities Act of
1972.
(Nov. 1, 2006, P.L.1243, No.135, eff. imd.)
2006 Amendment. Act 135 amended the defs. of "affilate" or
"affiliated company," "applicant," "controlling interest,"
"gross terminal revenue" and "licensed facility" and added the
defs. of "compensation," "complimentary service," "conduct of
gaming," "corporation," "holding company," "independent
contractor," "intermediary," "member," "principal," "publicly
traded corporation," "subsidiary" and "underwriter."
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